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| HIGHER CERTIFICATE IN BUSINESS IN ENTERPRISE AND INNOVATION LC_BENIM_IMY YEAR 1 | | | | |
|---|---|---|---|---|
| EXAM TIMETABLE BENIM_6_M1 | | | | |
| DAY | DATE | SUBJECT | TIME | LOCATION |
| Wednesday | 4th May 2022 | Principles of Microeconomics for Marketing ECON 06033 | 09:30 - 11:30 | Sports Hall |
Please note there will be no admittance to Examination Halls without Photo I.D.
Please note that your K NUMBER is your examination number
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ISOKEN
Maximum Strenght
ISOKEN system is a solution for standing seam roofs
It is applied with seam clamps directly to the seam
There are several clamps to fit different seams types
This system is used with ISOBEAM profile
www.isotec.com.tr
ISOKEN
+90 216 693 23 49
ISOBEAM V.1.2
ISOBEAM profile is used in layouts where lateral connection is needed
Compatible with EasyClamps
Compatible with M8 T-Head Bolts
ISOKEN Standing seam Clamp
Clamp for standing seam roofs are suitable for standing seams and round seams
Can use Landscape and Portrait
EasyClamp V.1.2 Middle + V.1 End Clamp
Delivered in set with integrated nut and spring. Can reduce pv module installation time up to 25%
Compatible with all Isotec profiles. Universal clamps work with framed pv modules between 35 - 45 mm height.
L Profile
This part is used to connect ISOBEAM profile to the anchor
Profile height can ve adjusted up to 6mm
Beam Connector
This part is used to extend ISOBEAM profiler
Compatible with M8 T-Head Bolts
www.isotec.com.tr
ISOKEN
Technical Data
+90 216 693 23 49
www.isotec.com.tr
Dimensions
ISOBEAM Item No: 5836
2.150 mm
ISOBEAM Item No: 5726
4.300 mm
ISOBEAM Item No: 5860
6.050 mm
+90 216 693 23 49
www.isotec.com.tr
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SAFETY RECOMMENDATION SI-18-009
Details
| Synopsis | |
|---|---|
| Recommendation | |
| Original Recommendation Transmittal Letter | |
| Overall Status | Closed - Acceptable Actioni |
| Location | |
| Accident Number | |
| Accident Report | |
| Accident Date | |
| Issue Date | |
| Date Closed | |
| Addressee(s) | |
| Addressee(s) Response | |
Safety Recommendation History
| From | AAIA |
|---|---|
| To | BCAA |
| Date | 1st May, 2018 |
| Response | Recommendation Letter Recommendation |
SAFETY RECOMMENDATION SI-18-009
Details
| To | |
|---|---|
| Date | |
| Status | Closed - Acceptable Action |
| Response | |
| To |
|---|
| Date |
| Response |
i Closed – Acceptable Action – Response by recipient indicates action on the safety recommendation has been completed. The action complies with the safety recommendation.
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Research Paper
EPRA International Journal of Economic and Business Review -Peer Reviewed Journal
e-ISSN : 2347 - 9671| p- ISSN : 2349 - 0187
Volume - 8, Issue -7, July 2020 |
ISI Value:1.433 |Journal DOI URL :https://doi.org/10.36713/epra2012
SJIF Impact Factor(2020) : 8.107||
EMPOWERMENT OF WOMEN THROUGH ENTREPRENEURSHIP AND MSMEs
ABSTRACT
Article DOI URL:
https://doi.org/10.36713/epra2658
Women constitute 50% of the total population. In traditional Indian societies, they were confined to four walls but in the modern society, they come out of four walls to participate in all types of activities, including entrepreneurship. Women entrepreneurship plays a prime role in industrial development. In India empowering women through entrepreneurship has become an integral part of our development efforts because of three important reasons; i) Women development, ii) Economic growth and iii) Social stability through gender equality. The idea and practice of Women entrepreneurship is a recent phenomenon. There is growing evidence all over the world that MSMEs play a significant role in economic growth, productivity, innovation and employment of the country. Today, the village and MSMEs units account for about 45% of the total industrial production and 30% of the country's exports. MSMEs do not only constitute of enterprises but they are strongly influenced by people, and most of all by the entrepreneurs behind them. There are different kinds of entrepreneurs which may be classified on the basis of business characteristics, education, motivation etc. One of the most expanding categories is that of Women Owned Enterprises (WOEs). WOEs now account for a growing share of all new enterprises. Women should create their own jobs and become entrepreneurs since opportunities of getting employment in either government, non-government or a private organization is almost declining. This article shows the present scenario of Women Owned SMEs in India and the support they acquire from Government and other institutes.
KEYWORDS: Women Empowerment, Entrepreneurship, MSMEs, Economic Development, Government
INTRODUCTION
In the words of Former President APJ Abdul Kalam "empowering women is a prerequisite for creating a good nation, when women are empowered, society with stability is assured. Empowerment of women is essential as their thoughts and their value systems lead to the development of a good family, good society and ultimately a good nation."
Women entrepreneurship is the process where women take, lead and organize a business or industry and provide employment opportunities to other. Women are venturing in all kind of enterprises. Women entrepreneurs are considered to be the most important economic agents for economic augmentation of the country. They are the owners, producers, co-coordinators, sellers decision makers, risk takers, innovators etc. They also generate employment opportunities and contribute in improving family's living standard.
MSMEs provide an effective tool for economic growth through participation in global supply chains. In developing
Women in India constitute around half of the country's population. They are regarded as the "better half of the society". It is fact that, 'when there is development of women , family develops, the society develops and the country develops'. Empowering women has proven time and again to be the catalyst for rapid socio economic growth of the country. According to previous studies women entrepreneurship is an important tool for empowering women. The word empower means to bestow power. Empowerment of Women through entrepreneurship involves access to resources and markets, actual ownership and active control, these may be the three important factors for the empowering women. In the process of empowerment, women should consider their strength, weakness, opportunities and threats and move forward to unfold their own potential to achieve their goals through selfdevelopment.
counties like India, micro, small and medium enterprises (MSMEs) have a crucial role to play because of their potential contributions to employment creation, improvement of income distribution, poverty reduction, export growth of manufactured products, and development of rural economy. MSMEs are also considered as an important place for women, who are actively involved in economic activities.
OBJECTIVES OF THE STUDY
i) To study the concept of women empowerment through entrepreneurship.
ii) To analyze the present scenario of Women owned SMEs in India.
iii) To examine schemes and initiatives taken by the Government for Women Owned SMEs.
HYPOTHESIS
i) Women Empowerment has raised the standard of living of women.
ii) Women Entrepreneurship has increased the earning capacity of women.
METHODOLOGY
Concept of Women as an Entrepreneur
The paper is descriptive in nature. The data collected in the paper is mainly from secondary sources like research papers, books, articles, Annual reports of Government, MSME Census Report and Economic Surveys.
Women Entrepreneurs may be defined as the women or a group of women who initiate, organize and operate a business enterprise. Women are expected to innovate, imitate or adopt an economic activity to be called women entrepreneurs. The term "Women Entrepreneur" deals with the section of the female population who venture out into industrial activities i.e. manufacturing, assembling, job workers, repairs/servicing and other businesses.
Currently, the women's enterprise is defined as a small scale industrial unit/industry related service or a business enterprise managed by one or more women entrepreneurs in proprietary concerns in which she/they individually or jointly have a share of capital of not less than 51 percent as partners/ shareholders/directors of private limited companies/members of cooperative societies.
Women Entrepreneur's explore the prospects of starting the new enterprise; undertake risks, introduction of new innovations, coordinate administration and control of business and providing effective leadership in all aspects of business and have proved their footage in the male dominated business arena.
WOMEN AND MSMEs DEVELOPMENT IN INDIA
The President under Notification dated 9 th May 2007 has amended the Government of India (Allocation of Business) Rules, 1961. Pursuant to this amendment, Ministry of Agro and Rural Industries (KrishiEvamGraminUdyogMantralaya) and Ministry of Small Scale Industries (LaghuUdyogMantralaya) have been merged into a single Ministry, namely, "MINISTRY OF MICRO, SMALL AND MEDIUM ENTERPRISES (SUKSHMA LAGHU AUR MADHYAM UDYAM MANTRALAYA)".
In India, the MSMEs play a vital role in the overall industrial economy of the country. In recent years the MSMEs sector has consistently registered higher growth rate compared to the overall industrial sector. With its agility and Dynamism, the sector has shown admirable innovativeness and adaptability to survive the recent economic downturn and recession.
According to the Government of India, a woman entrepreneur is defined as, "an enterprise owned and controlled by a woman and having a minimum financial interest of 51 percent of the employment generated in the enterprises to women".
Figure 1.1 depicts that, there are over 6000 products ranging from traditional to high tech items, which are being manufactured by the MSME sector besides providing wide range of services. The leading industries with their respective shares are as depicted below:
In Present Scenario Women are flourishing as Designers, Interior Decorators, Exporters, Publishers, Garment manufacturers and still exploring new avenues of economic participation. Today's women are taking more and more professional and technical degrees to cope up with market need. It is perhaps for these reasons that Government bodies, NGO's, Researchers and International Agencies have started showing interest in the issues related to entrepreneurship among women in India.
enterprise. It was found that 13.85 percent (205419) of the units in the registered MSME sector were women enterprises, whereas share of enterprises actually managed by female was 10.10%. There are 6.95% of the units in the unregistered MSMEs are women enterprises.
As per the Fourth All India Census of MSME reveals that the total number of registered enterprises was 15.53 lakhs out of which 2.15 lakhs units were registered as women
The CSO Survey of Manufacturing Enterprises (199495) showed that out of a total of 2.14 million proprietary units owned by women entrepreneurs 1.65 million (76% of units) and (24% of units) were located in rural and urban areas respectively. The Survey also pointed out that the women entrepreneurs have been undertaking activities in almost all industry groups and units like food products, garments, cotton textiles and wood products.
Table 1.1
Source: Fourth Census Report on SSI Sector, 2007-08 p.20
Area wise distribution of female enterprises
There is male dominance in ownership of MSMEs. However, Female Enterprises contribute 13.72 percent in the MSME Sector. The table below shows the percentage of female enterprises in SMEs in India. It is evident from the table that the Percentage of Rural female SMEs (15.27%) is more than the urban areas (12.45%).
Table 1.2
Source: MSMEs Census Report Fourth (2007-08)
Sector wise distribution of female enterprises
Table 1.3 depicts the sector wise distribution of female Enterprises in Micro, small and medium scale Enterprises. Micro Enterprises are the major contributor in case of female enterprises which account for 14.91%. Whereas, in case of
Medium Enterprises it account for 4.21% where as small enterprises contribute to 5.06%. The overall contribution is 13.72% by female enterprises as against 86.28% by Male Enterprises.
Table 1.3
Source: MSMEs Census Report Fourth (2007-08)
GOVERNMENT SCHEMES AND INITIATIVES FOR WOMEN ENTERPRISES
The Government of India has been taking several measures for the welfare, upliftment and empowerment of Women. There are several schemes of the Government like the Income Generating Scheme, implemented by the Department of Women and Child Development, which provides assistance for setting up training-cum-income generating activities for needy women to make them economically independent.
institutions/ NGOs for imparting training to the women entrepreneurs. Under this scheme, proposals involving grant of Rs 51.65 lakh to 16 NGOs/ institutions, have been approved for benefiting to 1700 women.
TRADE RELATED ENTREPRENEURSHIP ASSISTANCE AND DEVELOPMENT (TREAD)
The Government launched a scheme, namely, "Trade Related Entrepreneurship Assistance and Development" (TREAD) during the 11 th Plan. The scheme envisaged economic empowerment of women through the development of their entrepreneurial skills in non-farm activities. Further, the government grants up to Rs 1 lakh per program to training
The Cluster Development Programme (CDP) being implemented envisages diagnostic study of identified clusters of traditional skill based MSEs to identify appropriate technologies and their providers and to facilitate adoption of available technology meeting the specific needs of the end users. The Cluster Development aims at enhanced competitiveness, technology improvement, adoption of best manufacturing practices, marketing of products, employment generation etc.
MICRO AND SMALL ENTERPRISES CLUSTER DEVELOPMENT PROGRAM (MSE-CDP)
MAHILA COIR YOJANA
Mahila coir Yojana is a woman-oriented selfemployment scheme in the coir industry, which provides self employment opportunities to the rural women artisans in
regions producing coir fiber. The scheme envisages distribution of motorized ratts for spinning coir yarns to women artisans after giving training. Women spinners are trained for 2 months in spinning coir yarn on motorized ratt at the Coir Board Training Centers. A stipend of Rs 500 per month is also paid to the trainees.
Rural Employment Generation programme (REGP) is a flagship scheme of the Government for employment generation programmes in the unorganized sector. Under this programme, 3,656 projects of women entrepreneurs involving margin money of Rs 6397.99 lakh have been assisted as government grant during 2007-08 up to December 2007.
RURAL EMPLOYMENT GENERATION PROGRAM
The Micro, Small and Medium Enterprises Development Organizations (MSME-DO), the various State Small Industries Development Corporations (SSIDCs), the nationalized banks and even NGOs are conducting various programs including Entrepreneurship Development Programs (EDPs). Further, the Government of India has also started the programme of linking the Self-help groups- which is an informal group of people coming together for credit support, savings and other services. The SIDBI- Small Industries Development Bank of India has been implementing two special schemes for women namely MahilaUdyamNidhi which is an exclusive scheme for providing equity to women entrepreneurs and the MahilaVikasNidhi which offers developmental assistance for pursuit of income generating activities to women.
CONCLUSION
Women entrepreneurship has played a very vital role in fulfilling the Socio-economic objectives of the nation. The unexplored talents of young women can be identified, trained and used for various types of industries to increase the productivity in the industrial sector. Thus, MSME is playing a remarkable role in widening the base of industrial entrepreneurship in India. The contribution of the women entrepreneurs with the help of MSME to our national economy cannot be underscored. Thus, technically sound and professionally qualified women should be encouraged for managing their own business, rather than dependent on wage employment outlets.
REFERENCES
1. Annual Report, (2013-2014), Ministry of MSME, Government of India.
2. Hazarika Dhruba,(2011), Women Empowerment in India: A brief discussion; International Journal of Educational Planning and Administration, ISSN 22493093, Vol 1, Number 3.
3. Fourth Census Report on SSI Sector. 2007-08 pp.20.
4. Trivedi M.P and Gaur Ashok, Jan 2015, Role of Women Entrepreneurs in Micro, Small and Medium Enterprises (MSMEs); Pacific Business Review, Vol 7.
5. MSME Census Report Fourth, Ministry of MSME, Government of India.
6. Khan Nasreen and Bhatt Adil, March 2014, Role of Women in Micro, Small and Medium Enterprises; International Journal, Vol 1, Issue I, March 2014.
7. Kumar Surendra; Success towards Women Entrepreneurship in India- Issues and Challenges; Eduved International Journal of Interdisciplinary Research, ISSN 2348-6775 (Online).
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Charter of the Board of Directors CORUS ENTERTAINMENT INC.
Overview
The board of directors (the "Board") of Corus Entertainment Inc. (the "Company" or "Corus Entertainment") is responsible for the stewardship of the Company and overseeing the management of the Company's business and affairs. .
The Board discharges its responsibilities both directly and by delegation through Board Committees.
The key responsibilities of the Board are to understand and approve the Company's goals, strategies and fundamental objectives and be kept current on the Company's progress toward such goals or objectives; be satisfied that appropriate policies to facilitate risk management and legal and regulatory compliance are implemented; evaluate the performance of executive management and their compensation; be satisfied that investors and shareholders are being provided with material information on a timely basis, and function effectively with strong governance and appropriate composition.
Board Organization
* The Board is responsible for meeting its fiduciary obligation to the Corporation and acting in the best interests of the Company.
* The Board is responsible for representing and safeguarding the interests of all shareholders while recognizing that the interests of employees, customers, suppliers, and the general public must also be taken into account.
* The Board will receive recommendations from its Corporate Governance Committee, but retains responsibility for managing its own affairs by giving its approval for its composition and size, the selection of the Executive Chair, the selection of the Vice Chair, the selection of the Independent Lead Director of the Board, if applicable, candidates nominated for election to the Board, committee and committee chairperson appointments, committee charters and director compensation.
* The Board may establish committees of the Board, where required or prudent, and define their mandate. The Board may delegate to Board committees matters it is responsible for, including the approval of compensation of the Board and management, the conduct of performance evaluations and oversight of internal controls systems, but the Board retains its oversight function and ultimate responsibility for these matters and all other delegated responsibilities.
* The Board will oversee orientation and education program for new directors and ongoing educational opportunities for continuing directors.
* The Board will meet at least four (4) times per year and will have an in camera portion without management at all regularly scheduled Board meetings.
* The independent directors of the Board will hold a meeting at all regularly scheduled Board meetings.
* The Board will review, may receive recommendations from the Corporate Governance Committee on, and approve director compensation.
_____________________________________________________________________________________
Individual Responsibilities of the Members of the Board
* Each member of the Board is expected to attend all meetings of the Board, unless adequate notification of absence is provided.
* Each member of the Board is expected to have reviewed all materials provided in connection with a meeting in advance of such meeting and be prepared to discuss such materials at the meeting.
Appointment and Oversight of CEO and Management
* The Board is responsible for appointing a chief executive officer (the "CEO") and monitoring and evaluating their performance, providing for adequate succession to that position, and replacing the CEO when appropriate. The Board will approve the CEO's objectives annually upon recommendation from the Human Resources and Compensation Committee.
* The Board will appoint the other senior officers of the Company and monitor their performance, overseeing that there is adequate succession to their positions and programs to develop management, and that they are replaced when appropriate.
* The Board will satisfy itself as to the integrity of the CEO and senior officers and that these officers are creating a culture of integrity throughout the Company.
* The Board is responsible for monitoring the progress of the CEO in achieving acceptable current financial results relative to or in light of the Company's strategic objectives, budgets, and the economic environment, and in developing the resources necessary for future success. These resources may include:
o management competence, organization and depth;
o marketing capability and knowledge
o fixed assets;
o work force and employee relations;
o reputation; and
o financial resources, including relations with the financial community;
o corporate culture
* The Board will collectively and individually respond constructively to requests for advice and assistance from the CEO.
* The Board will review the overall executive leadership team performance annually.
* The Board from time to time may delegate to senior officers the authority to enter into certain types of transactions, including financial transactions, subject to specified limits. Investments and other expenditures above the specified limits, and material transactions outside the ordinary course of business will be reviewed by and are subject to the approval of the Board.
* The Board is responsible for overseeing the overall compensation structure of the senior officers and management team of the Company. This includes approving any compensation plans where Board approval is required by law or by the terms of the plan. This also includes establishing minimum shareholding requirements for senior management.
_____________________________________________________________________________________
Strategic Planning and Material Transactions
* The Board will review and approve the Company's strategic and operating plan(s) at least annually and will review and approve any material changes to such plan(s).
* The Board may evaluate, and as required, provide guidance, opinion or direction to enhance the effectiveness of the strategic planning process.
* The Board will monitor the Company's execution of the strategic plans and progress toward its achieving its stated goals, and it may revise and/or alter its assessment, guidance or opinion in light of changing circumstances affecting the Company.
* The Board's oversight of strategic planning and execution will include consideration of material opportunities and the potential material risks and impacts on the strategy, business and operations of the Company.
* The Board is responsible for reviewing and approving material transactions outside the ordinary course of business and those matters which the Board is required to approve under the Articles, including the payment of dividends, purchase and redemptions of securities, acquisitions and dispositions.
Internal Controls, Compliance and Financial Reporting Oversight
* The Board is responsible for implementing and ensuring that systems are in place to monitor and maintain the integrity of the Company's internal control and management information systems.
* The Board is responsible for overseeing that management has appropriate financial controls systems, processes and operations, including as they relate to:
o capital structure management;
o financial results reporting;
o maintaining reasonable financial flexibility and safety while achieving an appropriate return on equity;
o allocation of assets;
o pension funds and other major employee benefit programs;
o maintaining access to suitable sources of new capital;
o dividend pay-out policy and action;
o insurance
o selection of outside auditors for approval by the shareholders; and
* The Board is responsible for overseeing adherence to relevant legal, regulatory, accounting and compliance requirements by the Company.
General Risk Management
* The Board is responsible for overseeing the identification by the Company of the material risks of the Company's business and for overseeing management's implementation and monitoring of processes and systems that manage these risks effectively.
_____________________________________________________________________________________
Conduct and Culture
* The Board is responsible for setting "the tone from the top" for a corporate culture of integrity and responsible conduct throughout the Company. The Board expects the highest levels of integrity from the CEO and all other executives of the Company.
* The Board oversees the implementation of the Company's policies for respect in the workplace and ethical conduct.
* The Board shall enforce the commitment of its members to respecting confidential treatment of the Company's proprietary information and the confidentiality of Board deliberations.
* The Board is responsible for satisfying itself that the Company has in place appropriate environmental, health and safety policies, having regard to legal, industry and community standards, and that there are appropriate management systems to monitor the effectiveness of those policies.
Disclosure and Reporting
* The Board is responsible for overseeing the accurate reporting of the financial performance and condition of the Company to shareholders, other security-holders and regulators on a timely and regular basis.
* The Board will approve the Company's audited financial statements, management's discussion and analysis accompanying such financial statements and the annual earnings press release.
* The Board is responsible for ensuring that systems are in place for communication and relations with stakeholder groups, including, but not limited to, shareholders, the investing public, employees, the financial community, and the communities in which the Company operates, as well as Heritage Canada and the Canadian Radio-television and Telecommunications Commission. The Board also monitors system effectiveness and significant sensitive and legally required communications.
* The Board oversees Company procedures which accommodate stakeholder feedback.
Review of this Charter (and those of its Committees)
* The Board will review and reassess the adequacy of this Charter for the Board of Directors at least biennially or as it deems appropriate and amend it accordingly.
* The Board will review and approve the Charters of its Committees at least biennially.
* The performance of the Board shall be evaluated with reference to this Charter.
* This Charter shall be disclosed on the Company's website and this Charter or a summary of it which has been approved by the Corporate Governance Committee shall be disclosed in accordance with all applicable securities laws or regulatory requirements.
Dated October 19, 2022
_____________________________________________________________________________________
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Modern Mothers plan Christmas party
Written by Information Submitted Friday, November 15, 2013 9:57 PM -
The Modern Mother's Chapter of the Ohio Child Conservation League met recently at the home of Jacquie Fritz.
Officers for 2013-14 were elected and include: President Theresa Looser; Vice President Wendy Schmelzer; Secretary Anita Topp; Treasurer Fritz; Reporter Colleen Harter; and Sunshine Schmelzer.
Reports were given and the Christmas party was schedule for Dec. 9.
Margie Rostorfer was the guest speaker. The local author spoke about her book "She Came Home" written under the pen name Maggie Ann Ross. She is currently writing her second novel, "Whispers of the Heart."
Devotions were given by Schmelzer on Thanksgiving and refreshments were served. Everyone sat around the table and visited as the snow began to fall.
1 / 1
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Storage Agreement
Castle Property, 206 South Ave., Harrisonburg, VA 22801
Tenant Name: _____________________________________ Room: _______________
Property Address: _______________________________________________________
Items to be stored until (estimated date): _____________________________________
Items to be stored from Tenant bedroom (Bedroom # __ )
Store everything in bedroom? ____ yes ___ no if no, list all items.
______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________
Additional items listed on back __ yes __ no
Other items not in bedroom: (List each item and location):
______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________
Additional items listed on back __ yes __ no
1: Cost for packaging, loading and transporting to the storage location:
We charge the regular labor rate listing in the lease plus a $10 truck charge and any needed supplies for packing. Tenant can reduce the total time and cost to transport by boxing up loose items and marking items clearly. Items such as beds, dressers or couches require two people to safely move.
2A: Storage cost: (stored with other items is the default if separate storage not chosen)
$75 per month for the first 50 square feet of storage space
$1 per month for each additional square foot
Or 2B: Storage cost in separate unit: (Requested by Tenant ___ yes __no)
We will choose the smallest available unit to store your items
Cost per unit per month: $100 for 5X10, $150 for 10X10, $200 for 10X20
Or 2C: Tenant has obtained a storage unit in Harrisonburg that CP can access.
Unit Number: ______ Complex name or address:_____________________________
Key Location or Combination: _____________________________________________
Castle Property will make reasonable efforts to protect and secure all items left by Tenant. CP does not inventory or inspect items before moving to the storage area and therefore cannot guarantee the condition of the items being stored. Tenant can reduce cost by packaging items into stackable boxes that can be hand carried. Tenant agrees by signing below to pay both the moving, packaging and storage costs and to not hold Castle Property responsible for damage to or loss of any items.
Signature: _________________________________________ Date:____________________
Storage-Agreement 0419
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Ccna Questien Answer
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TOP 70 CCNA INTERVIEW QUESTIONS & ANSWERS
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EditStor Omni
SHARED STORAGE FOR ALL EDITORIAL WORKFLOWS
EditStor Omni provides creative facilities a single networked storage solution for all their high performance media collaboration needs. From 4K to 6K media files, to every day compressed video and audio streams, Omni has the performance and capacity to handle it all. Omni is setting new standards for demanding post production workflows
KEY BENEFITS:
EXTREME SPEEDS
Up to 8000 MB per second of bandwidth utilizing 12 Gig storage technology available with 10 gig optical and 10 gig copper. (40 GIgE optional)
MULTI PROTOCOL & OS
Sharing of files over multiple protocols, including AFP, NFS and SMB, for greater sharing efficiency across Mac, Windows and Linux operating systems
USERS AUTHENTICATION
Windows Active Directory, internal/external LDAP and more advanced users and groups control
PROJECT SHARING
Sharing of storage and projects that is transparent to Avid MediaComposer systems and requires no changes to Avid Workflows. Mac and PC
STORAGE AND THROUGHPUT EXPANSION
*Usable Storage is the amount of RAID 5 protected storage less the failover hot spare. The usable capacity can vary based on type of configuration. Performance numbers should not be used to configure playback, but can be used to determine the aggregate bandwith available.
Hot pluggable expansion chassis' can be added to expand both throughput and storage up to 8000 MB/sec. The virtual share sizes can be increased on the fly through the GUI.
It's time for media facilities to move on from the complicated and expensive SAN technology which require multiple servers to support metadata, SAN software and more while limiting important functionality. EditStor Omni's tremendous capabilities are delivered in a single, online high density networked storage server for simplicity and cost effectiveness. With 10GigE optical Copper connections standard and optional 40Gig (as well as just basic GigE copper), your storage technology can seamlessly blend in with your existing IT architecture.
Media facilities need to be prepared for highly demanding editorial requirements and EditStor Omni is solution to rely on. Finishing and compositing professionals have been mostly limited to local storage in the past because networked storage could not provide the provide the necessary speeds, management and affordability. With 4-fold or greater increase over HD, 4K play back is a challenge for most networked media storage systems. Omni is different and delivers the throughput, IOPS and performance optimized storage technology to address the demands of high bandwidth networking.
EditStor Omni is your ultimate compatibility and collaborate engine with interoperability for all the favorite production tools - including 4K cameras from AJA, ARRI, Blackmagic, RED, Sony and more - as well as all the editorial applications - such as Adobe Premiere® and After Affects®, Avid Media Composer® and ProTools®, Apple Final Cut Studio®, Autodesk Smoke® and Flame, Blackmagic Resolve, and other popular finishing tools. Includes the Archion's PICS media management system for searching and playback of media on the Omni. The flexibility of EditStor Omni is truly unmatched for media workflows. With a comprehensive, yet easy to use, GUI, connecting up an unlimited number Windows, Macintosh and Linux clients is simple; there are no drivers, installers or client licenses required. Adding to this is a broad spectrum of media management features. This begins with ability to create shared volumes of any size while also having the convenience of being able to expand those volumes on the fly without downtime and performance degradation. EditStor Omni expansion chassis's can be added to expand the throughput up to 8000 MB/sec as well expanding the capcity to the same volume group or separate without shutting down or stopping work.
A true 4K digital workflow is available and affordable with EditStor Omni.
TECHNICAL SPECIFICATIONS:
Storage
* EditStor Omni comes in 48TB, 96TB, 144TB and 192TB capacities with the latest 12 GB architecture.
* Each Editstor Omni is fully populated with high speed SATA 3.0 drives on a PCIe 3.0 bus for Max Throughput
* The storage is preconfigured with RAID 5 and a hot spare for maximum protection.
* 128 gig of system RAM for fast processing
* EditStor Omin RAID controller with 12GB/s data transfer rate
* 512 gig of cache RAM tuned for Digital Video
* Hot pluggable expansion chassis with 48TB, 96TB, 144TB and 192TB capacities
* Supports RAID Levels 0, 1, 5, 6, 10, 50 and 60
RAID Operation
* Automatic failover and rebuild is pre-configured. Global hot spare covers all drives
* RAID is configured and tuned for digital video over IP
GigE and Host Connections
* Comes standard with 4 1000BaseT ports (10 GigE)
* Comes standard with 4 optical ports (10 GigE)
* Upgrade options include up to three additional 4 port 10GigE optical cards or 4 port GigE cards Maximum of 16 ports.
* Configured for either direct connect or multiport switch
* Web based configuration GUI for headless operation. No need for Monitor, keyboard or mouse for operation
* Supports load balancing and jumbo frames for maximum throughput
* Sharing with up to 16 clients without Ethernet switch
Storage Management
* Support for Logical Volumes over 50 TB
* S.M.A.R.T. with E-Mail Notification
* Multiple Snapshots (multiple active snapshots per one LV at time)
* Online Logical Volume Expansion
* Multiple Logical Volumes and Groups
* Support for Online Capacity Expansion
* Built-in, SNMP based monitoring system
Network Storage Features
* Windows Active Directory / Primary Domain Controller
EditStor Omni
SHARED STORAGE FOR ALL EDITORIAL WORKFLOWS
* Avid Project Sharing
* User and Group Quota Control
* File System with Journaling Support
* Antivirus
Backup Utilities
* Integrated Backup System
* Local Backup
* NDMP v3.0 Support (Network Data Management Protocol)
* Backup-Agents (Backup Exec®, Retrospect®, BrightStor®…)
* USB Storage Support for Dynamic Disk
Cooling
* Built-in environmental management for constant optimal temperature control of entire chassis
* Redundant, hot-swappable fans with automatic speed control and front to back cooling.
Electrical
* Maximum input current 4A at 100-120V or 5A at 220-240V
* Dual redundant hot-swappable power supplies (950W) universal input (100-240V AC)
* Frequency: 47Hz to 64Hz, single phase
* RoHS compliant
* Power Usage: 400W typical continuous power, 700W maximum continuous power.
Environmental requirements
* Non-operating/Storage -40 to 70C
* Operating Temperature 5C to 35C
* Relative humidity (non-operating): 95% at 30C non-condensing
Dimensions and Weight
* Width: 17 inches (43.2 cm)
* Height: 4RU rackmount
* Depth: 27.875 inches (70.8 cm)
* Weight 150 lbs (68 kg)
* Fits industry standard 19 inch rack for 30 to 36 inches deep.
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http://www.archion.com/downloads/Archion_EditStorOmniv8000.pdf
|
2017-11-21T18:56:11Z
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September 26, 2014
Via Hand Delivery
Ms. Lysia H. Bowling
City Attorney
City Hall, Third Floor
72 W. College Ave.
San Angelo, Texas 76903
Re: Republic Waste Services of Texas, Ltd. Refund Review
Dear Ms. Bowling:
This letter provides an update regarding the review of San Angelo commercial billing statements that Republic Waste Services of Texas, Ltd. announced on June 27, 2014. Today we reconfirm that Republic will be refunding certain amounts charged to our commercial and industrial customers located in San Angelo going back to August 1, 2004. All the amounts to be refunded were charged in good faith. Nonetheless, Republic is voluntarily refunding these charges, with interest, to address any concern that amounts charged by Republic were incorrect or unauthorized.
The refund to be paid to San Angelo commercial and industrial customers consists of the following components: (1) all environmental recovery fees (ERF); (2) all fuel recovery fees, above the amounts expressly authorized by ordinance (FRF); and (3) all franchise fee and sales tax amounts that were added to bills on the basis of these ERF or FRF amounts. Although the applicable statutes of limitations would restrict legal claims to, at most, the last four years, Republic has elected to provide the refund for bills going back to August 1, 2004, which includes the full ten-year term of Republic’s prior contract with the City. The refund also will include interest at the rate of 3.5%. The total amount subject to refund is in excess of $6 million.
Republic’s refund is based on a review of ten years of billing data for San Angelo commercial and industrial customers. We were assisted in this review by a leading international accounting firm. We have worked with the accountants to provide for refund calculations that are comprehensive and accurate. Republic takes responsibility for these calculations. We stand ready to make corrections or adjustments if warranted by additional information.
Republic will begin mailing refund notices and checks to customers in October. Refund notices and checks will be mailed to current and last known customer addresses. We recognize that there will be challenges locating customers who may have moved from the area, gone through name changes, and for other reasons, and we will attempt to locate rightful recipients.
Republic looks forward to completing its refund program. We will keep the City informed of our progress. Republic is committed to making its new contract with the City a success for all our customers, for the City, and for Republic, and to continuing to provide all of its San Angelo customers with quality service and integrity at the highest level.
Sincerely,
Don W. Griffis
Don W. Griffis
|
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|
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| 391,662,734
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Indoor Market
Open every Saturday from 9am to 4 pm in the Corn Exchange at the Guildhall, Helston.
A variety of goods are available at the market including plants, cards, jewellery, memorabilia and bric-a-brac. Refreshments are also available during the day.
The indoor market can accommodate a maximum of 10 traders. We currently have some stalls available and new traders are always welcome.
Stalls are available for hire at a cost of £6.00 per table. Tables are supplied.
Should you be interested in having a stall please contact Mrs Sam Goss on 01326 572063 for further information.
Other Markets
Helston's historic Charter Market is one of few remaining street markets in Cornwall and has been taking place since the Charter was granted in 1336.
The Flora Day Market takes place throughout the town on Flora Day (8 th May). Stalls are available at a cost of: £25 (charities), £50 (non-food), £100 (food) for each 3m of stall frontage. Contact Helston Town Council for more information.
The South Kerrier Alliance hold a Farmers' Market on the first Saturday of the month in the Old Cattle Market building near the Coronation Lake. (contact number: 01326 560606)
HALL HIRE AND MARKETS
HELSTON TOWN COUNCIL
The Guildhall HELSTON CORNWALL TR13 8ST
Telephone 01326 572063
Email [email protected]
Website www.helston-tc.gov.uk
The Corn Exchange is located on the ground floor of the Guildhall. The hall is approximately 70m 2 and will accommodate 50 people. It is ideally suited for Coffee Mornings as the kitchen is located directly off the hall. However, the hall is also regularly used for small meetings or public consultations.
The fitted kitchen is equipped with a wall mounted water boiler, a gas hob, an electric oven, a fridge, a microwave and a toaster. Crockery is also available if required.
Corn Exchange
Council Chamber
The Council Chamber is located on the first floor of the Guildhall and will accommodate a maximum of 100 people. The room is ideal for larger meetings or public consultations.
A stair lift is provided to assist those less mobile with access to the first floor.
There are electric sockets and a screen is available for presentations and slide shows.
Hire Charges
To confirm availability and prices please call us on 01326 572063 or e-mail on [email protected]
|
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SPECIAL BOARD MEETING
Tuesday, October 31, 2023
EHDC
AGENDA
The Board of Commissioners of the Edinburg Housing Development Corporation will conduct a Special Board Meeting at 5:30 p.m. on Tuesday, October 31, 2023, at the Edinburg Housing Authority / Ciro Trevino Administrative Building 910 S. Sugar Road, Edinburg, Texas 78539
The Commissioners may conduct a closed meeting pursuant to §551.071 of the Texas Government Code to seek the advice of its attorney regarding issues of law; to consult with its attorney on a matter in which the duty of its attorney under the Texas Disciplinary Rules of Professional Conduct of the State Bar of Texas clearly conflicts with the Open Meetings Act; pursuant to §551.072 of the Texas Government Code to deliberate the purchase, exchange, lease, or value of real property, if deliberation in an open meeting would have a detrimental effect on the position of the Authority in negotiations with a third person.
AGENDA
1. Call Meeting to Order and Establish a Quorum – Chairman, Jose Rodriguez
2. Public Comment – Public Comments are limited to three (3) minutes. The Public Comments form will be located at the reception window at the Administration building and must be completed and submitted no later than 5:00 pm to the board secretary. Please note that this public comment period is not interactive.
3. Discuss and Approve Board Minutes:
a. Regular Board Meeting of July 27, 2023
4. Administration Report:
a. Financial Report
5. Executive Session
a. Legal issues in accordance with §551.071 of the Texas Government Code.
b. Discussion of purchase, exchange, lease, or value of real property pursuant to §551.072 of the Texas Government Code.
6. Adjournment
WITNESS MY HAND AND SEAL OF said Edinburg Housing Development Corporation this 27th day of October 2023.
Dr. Martin Castillo Jr., Secretary
Edinburg Housing Development Corp.
MINUTES
EDINBURG HOUSING DEVELOPMENT CORPORATION
910 S. Sugar Rd.
Edinburg, Texas 78539
Emergency Board Meeting
July 27, 2023, at 5:30 p.m.
MINUTES OF JULY 27, 2023
AGENDA
1. Call Meeting to Order and Establish a Quorum – Vice Chairman, Armando Barrera welcomed everyone to the meeting; established there was a quorum; and called the meeting to order at 6:51 pm.
Board Members: Alexis Villarreal, Sandra Garza, Armando Barrera
Legal Counsel: Rebecca Vela
EHA Staff: Richard Christian, Robert Hernandez, Karla Trevino, Dr. Martin Castillo
2. Public Comment – No Public Comments
3. Discuss and Approve Board Minutes:
a. Regular Board Meeting of April 27, 2023
b. Emergency Board Meeting of June 2, 2023
c. Emergency Board Meeting of June 7, 2023
d. Emergency Board Meeting of July 6, 2023
Alexis Villarreal motioned to approve Minutes of April 27, 2023, June 2, 2023, June 7, 2023, and July 6, 2023, seconded by Sandra Garza
Carried 3-0
4. Administration Report:
a. Financial Report – Rich Christian provided financial report for period ending 05/31/2023.
5. Executive Session
a. Legal issues in accordance with §551.071 of the Texas Government Code.
b. Discussion of purchase, exchange, lease, or value of real property pursuant to §551.072 of the Texas Government Code.
6. Adjournment
Alexis Villarreal motioned to adjourn the meeting at 6:52 pm, Sandra Garza seconded the motion.
Carried 3-0
/s/
Jose Rodriguez, Chairman
/s/
Dr. Martin Castillo Jr., Secretary
ADMINISTRATION REPORTS
## Edinburg Development Comparative Balance Sheet
### Nonprofit Component Units
#### Development Corporation
**As of Date:** 8/31/2023
| Assets | 8/31/2023 | 8/31/2022 | Variance |
|---------------------------------------------|-----------|-----------|----------|
| **Cash and Cash Equivalents** | | | |
| Cash Unrestricted | 10.24 | 10.24 | 0.00 |
| **Total Cash and Cash Equivalents** | 10.24 | 10.24 | 0.00 |
| **Total Assets** | 10.24 | 10.24 | 0.00 |
| Owner's Equity | | | |
|---------------------------------------------|-----------|-----------|----------|
| **Net Position** | | | |
| Unrestricted Net Position | 10.24 | 13.33 | (3.09) |
| **Total Net Position** | 10.24 | 13.33 | (3.09) |
| Net Income (Loss) | 0.00 | (3.09) | 3.09 |
| **Total Owner's Equity** | 10.24 | 10.24 | 0.00 |
| **Total and Owner's Equity** | 10.24 | 10.24 | 0.00 |
---
**Report Criteria**
- PHA: 2
- Project: '01'
- Include UnApproved: False
- Include Zero Balance: False
- User Define 1:
- User Define 2:
- User Define 3: DEV
Prepared by Lindsey and Company, Inc.
| Operating Expenses | Start: 04/01/2023 | Start: 04/01/2022 | Variance |
|--------------------|------------------|------------------|----------|
| Administrative Expense | | | |
| Other Administration Expenses | 0.00 | 3.09 | 3.09 |
| Total Administrative Expense | 0.00 | 3.09 | 3.09 |
| Total Operating Expenses | 0.00 | (3.09) | 3.09 |
| Net Income (Loss) | 0.00 | (3.09) | 3.09 |
Report Criteria PHA: 2 Project: '01'
Include Unapproved: False Include Zero Balance: False Custom 1:
Custom 2: Custom 3: DEV
Prepared by Lindsey and Company, Inc.
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122-16 122-20
LUMINOUS BOWL
Design Sustainability Value
Shown in Satin Aluminum
COMPANION
322
FEATURES
• Transitional design fits contemporary and traditional spaces.
• Available in two sizes.
• Tool-free relamping.
MATERIALS
• Solid brass or aluminum metal work, hand finished
• Luminous bowl is white acrylic with a matte finish.
FINISHES
| Code | Finish |
|------|----------------|
| SAL | Satin Aluminum |
| SB | Satin Brass |
| AB | Antique Brass |
| CCP | Custom Color Painted |
Standard metal finishes are hand satinied and either waxed or sealed with a water-based clear coat. Other metal finishes are available. Contact factory.
LAMPING
CF: 122-16: 2-CF26WDTT
122-20: 2-CF26WDTT, 32, 42
Lamp not included.
LED: 122-16: 2-GU24 base A-lamps, 12W.
1100 lumens each, 3000K, supplied.
122-20: 3-GU24 base LEDs as above.
BALLAST
CF: Integral electronic HPF, 120V/277V
LED: Electronic driver is built into the lamp, 120V only.
Dimmable to 10% with most incandescent dimmers.
ECO INFO
METALS: Aluminum and brass with the highest available recycled content for lower embodied energy. Both metals are valuable and recyclable at the end of the product’s useful life. For more information see “GENERAL INFO”
FINISHING: Aluminum and Antique Brass finishes are sealed with a hand-applied bees wax. No paint or lacquer is used in order to avoid pollution associated with the manufacture and application of these substances. Satin Brass is clear-coated with a very low VOC water-based coating. Paint finishes are low VOC and oven cured.
ENERGY: Designed exclusively for compact fluorescent lamps using HPF electronic ballasts.
Shown in Antique Brass.
**OPTIONS**
**FAUX:** Hand applied faux alabaster finish available, specify FAUX.
**DIMMING:** Lutron & Advance dimming available
**EMERGENCY BATTERY PACK:** Integral EBP with addition of 1¼ inch deep collar available for 120-16 and 120-20. Specify IEM. For 120-12 EBP is remote mounted. Specify REM.
**EBP CONFIGURATION**
**MOUNTING:** Standard J-box or plaster ring.
**WEIGHT:** 5 lbs
**SPEC GUIDE**
| CAT# | SIZE | LAMPING | VOLT | FINISH | OPTION |
|------|------|---------|------|--------|--------|
| 122 | 16 | CF2/26 | 120 | SAL | FAUX |
| | 20 | CF2/32 | 277 | AB | IEM |
| | | CF2/42 | | SB | REM |
| | | LED 2/12 (16") | | CCP | DIM |
| | | LED 3/12 (20") | | MW | |
| | | | | MB | |
| | | | | MBZ | |
**SAMPLE SPEC:** 122-16-CF2/26-120-SAL-FAUX
**VARIATIONS / MODIFICATIONS**
- Special finishes
- Addition of decorative detail, such as finials.
Our fixtures are handcrafted here in the USA using the highest quality materials.
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BOROUGH OF GREENCASTLE COUNCIL MEETING AGENDA
November 4, 2019 7:00 P.M.
Call to Order…………………………………………...………….…………………………………... Council President Miller
Invocation ……………………………………………………………….………………………………
Pledge of Allegiance to the Flag …………………………………………………………….….Council President Miller
Consider the approval of the proposed agenda for November 4, 2019 regular Council Meeting.
Opportunity to be Heard:
Borough citizens may address Council at this time on specific issues of concern.
CONSENT AGENDA
The following is a list of routine items which do not appear to be controversial in nature and which likely do not require additional discussion. They can be acted on by one motion in their current form. If discussion is desired on any particular item, any member of Council, or the public, may request the item be removed from the Consent Agenda and that item will be considered separately.
Minutes of Previous Meeting:
Borough Council Meeting of October 7, 2019.
Borough Council Special Meeting: Budget Workshop of October 30, 2019.
Accept resignation of Len Trautner from the Zoning Hearing Board effective October 15, 2019.
Accept resignation of Kim Trautner from the Sidewalk Board of Appeals effective October 15, 2019.
Accept the promotion of Emilee Little to the position of Finance/HR Manager effective October 21, 2019.
Approve Incognito Tattoo to hold a promotional event with Surfin' Cow Comics on November 14, 2019 at 15 Center Square, closing the parking spaces on the southeast corner of the square and the usage of square electricity.
Consider the approval of the Greencastle Christmas Parade to be held at 9:21a.m. on November 23, 2019 and authorize no parking and road closures as outlined in the correspondence received October 29, 2019.
REGULAR AGENDA
Payment of bills
1. Approve disbursements listed on the October 2019 Disbursement Report in the amount of $82,834.37
Reports from Elected Officials
President's Report
Mayor's Report
Chief's Report
Manager's Report
1. Administration & Finance:
1. Authorize the execution of a quote from Pryz Water Supply Co. Inc in the amount of $XXXX to replace the decholorination pumps at the Wastewater Treatment Facility.
2. Authorize the execution of a quote from Coastal Technical Sales, Inc. in the amount of $7,467.75 to replace the chlorine storage tank at the Wastewater Treatment Facility.
3. Consider the approval of the 2020 Franklin County Area Tax Board 2020 Operating Budget and the renewal terms of the current representative for 2020 calendar year.
2. Personnel:
1. Consider Ordinance 2019-05 to amend the Non-Uniform Pension Plan Document to modify the accrued benefit formula to 2% of average compensation effective January 1, 2020.
3. Public Safety:
4. Public Facilities:
1. Consider the unnamed alley off of East Madison Street, connecting to North Ridge Avenue to be named
Foley Lane.
2. Approve Degrange Concrete to install the final three sidewalks within the 2016 Sidewalk Implementation Program in the amount of $11,157.00
3. Approve Ganoe Paving to make blacktop repairs due to the installation of the final three sidewalks within the 2016 Sidewalk Implementation Program in the amount of $2,454.00.
4. Approve the authorization to send the Corrective Action Plan response letter as written by WM. F. Hill & Associates, Inc. regarding the Carlisle Street Pumping Station to PA-DEP as obligated.
5. Consider a motion to rescind the motion to suspend the January 2020 collection of the Stormwater Pollutant Impact Fees, pending an independent engineer's review of the fee and related calculations.
6. Consider the submission of a waiver request to Pennsylvania Department of Environmental Protection in response to MS4 obligations stated in the Borough of Greencastle's PAG-13 General Permit based on the need to collect sediment data in designated outfalls.
5. Community Development:
1. Consider the approval of a waiver request from United Enterprises Construction LLC at 301 S. Antrim Way as recommended by the Planning Commission.
6. Correspondence:
1. Consider the reduction of the sewer bill for 75-79 Eastern Ave in the amount of $980.40 from the third quarter 2019 billing.
2. Thank you notes from middle school students to Council.
Adjourn
Respectfully submitted, Lorraine Hohl Borough Manager
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Certificate of Analysis
www.tocris.com
Product Name: TP 003
Catalog No.: 4414
Batch No.: 2
CAS Number: 628690-75-5
IUPAC Name: 2',4-Difluoro-5'-[8-fluoro-7-(1-hydroxy-1-methylethyl)imidazo[1,2-a]-pyridin-3-yl]-[1,1'-biphenyl]-2-carbonitrile
1. PHYSICAL AND CHEMICAL PROPERTIES
Batch Molecular Formula:
C23H16F3N3O
Batch Molecular Weight:
407.39
Physical Appearance:
Off White solid
Solubility:
DMSO to 100 mM ethanol to 50 mM
Storage:
Store at +4°C
Batch Molecular Structure:
2. ANALYTICAL DATA
TLC:
Rf = 0.4 (Dichloromethane:Methanol:Ammonia soln. [97.5:2.5])
HPLC:
Shows 98% purity
1 H NMR:
Consistent with structure
Mass Spectrum:
Consistent with structure
Microanalysis:
Carbon Hydrogen Nitrogen
Theoretical 67.81 3.96 10.31
Found
67.66
3.93
10.14
China
Product Information
www.tocris.com
Product Name: TP 003
Catalog No.: 4414
Batch No.: 2
CAS Number: 628690-75-5
IUPAC Name: 2',4-Difluoro-5'-[8-fluoro-7-(1-hydroxy-1-methylethyl)imidazo[1,2-a]-pyridin-3-yl]-[1,1'-biphenyl]-2-carbonitrile
Description:
Storage:
Store at +4°C
GABA receptor partial agonist that demonstrates affinity for the benzodiazepine site. Potentiates GABA α3 response with high efficacy. Produces anxiolytic-like effects in rodent elevated plus maze via action at GABA α2 subtype receptors. Also evokes GABA α1 mediated sedation and GABA α3 mediated muscle relaxation in mice. A A A A A
Physical and Chemical Properties:
Batch Molecular Formula: C H F N O 23 16 3 3
Batch Molecular Weight: 407.39
Physical Appearance: Off White solid
Minimum Purity: >98%
Batch Molecular Structure:
Solubility & Usage Info:
DMSO to 100 mM ethanol to 50 mM
Stability and Solubility Advice:
Some solutions can be difficult to obtain and can be encouraged by rapid stirring, sonication or gentle warming (in a 45-60°C water bath).
Information concerning product stability, particularly in solution, has rarely been reported and in most cases we can only offer a general guide. Our standard recommendations are:
SOLIDS: Provided storage is as stated on the product label and the vial is kept tightly sealed, the product can be stored for up to 6 months from date of receipt.
SOLUTIONS: We recommend that stock solutions, once prepared, are stored aliquoted in tightly sealed vials at -20°C or below and used within 1 month. Wherever possible solutions should be made up and used on the same day.
References:
Neumann et al (2018) TP003 is a non-selective benzodiazepine site agonist that induces anxiolysis via α2GABA receptors. Neuropharmacology 143 71. PMID: 30240781 . A
Fischer et al (2011) Contribution of GABA(A) receptors containing α3 subunits to the therapeutic-related and side effects of benzodiazepine-type drugs in monkeys. Psychopharmacology (Berl.) 215 311. PMID: 21190016.
Dias et al (2005) Evidence for a significant role of α3-containing GABAA receptors in mediating the anxiolytic effects of benzodiazepines. J.Neurosci. 25 10682. PMID: 16291941.
China [email protected]
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3D Archery- Determining Your Dominant Eye
Lesson 1
“…your young men shall see visions.” Joel 2:28c (KJV)
Life Application
The fundamental principle of visualization is a significant key to becoming an effective archer. The efforts put forth in focusing and envisioning a successful shot many times is what separates the good archer and the mediocre archer. As you move forward in life, what is the vision you have for your future?
“Vision is the art of seeing the invisible.” - Jonathan Swift
Are you applying the proper character traits and skills now to see your vision come to fruition? What are some steps you might take in order to hit the mark as you stay on target for life?
Biblical Application
Joel 2:28
And it shall come to pass afterward, that I will pour out my spirit upon all flesh; and your sons and your daughters shall prophesy, your old men shall dream dreams, your young men shall see visions:
People talk a lot about “vision.” And they mean different things by that. Sometimes the word is used to mean actual things that a person sees, even if others cannot see it. A movie came out in 1999 called “The Sixth Sense,” starring Bruce Willis. In the movie a little boy told Willis (his dad), “I see dead people.” Other times people speak of vision not as something that they literally see, but as something very vivid in their minds, as if they could see it. Often we use the word to mean the ability to imagine or conceptualize something that we believe in very strongly. Most people do not have visions like the little boy in the movie, but it is important to visualize your dreams. In the Bible verse we are looking at this time, the main meaning is that people will be able to visualize something new that most others had not seen before. We know that because Simon
Peter quoted this verse in Acts 2 when the Holy Spirit came upon the people gathered for worship. No one saw any literal visions that day, but they saw something new coming upon them—salvation through Jesus accomplished by the gift of the Holy Spirit. If you are a follower of Jesus, you, too, can have visions for your life that will enable you to live strong and be a blessing to others. Your vision may be to be a great musician or athlete. It may be to start a business one day or to be a teacher. The vision the prophet Joel spoke about saw lots of people come to Jesus, and then they went along through the Book of Acts being a blessing to lots of others. Your vision may be for your own life, but bring others along with you. Have a big vision.
**How To**
When it comes to archery, determining your dominant eye is crucial. This exercise will determine which hand you should use to hold your bow. To sum it up, if you are right eye dominant, you will have the bow in your left hand and you will pull the string with your right hand, while your left side will face the target.
Everyone knows whether they are right or left-handed, but few know whether they are right or left eye dominant. Follow this simple procedure to find out which eye to use when aiming your bow.
To determine your dominant eye:
1. Make a triangle with both of your hands by overlapping your thumbs and the top half of your fingers.
2. Extend your arms toward your target.
3. Look through the triangle at the target closing your non-dominant eye. The target should remain centered in the opening.
4. Keep your hand-triangle small enough so that only one eye can look through it up close.
5. Keep both eyes open.
6. Move your hands back to your face while still looking at the target through your hands. Whichever eye your hands gravitate toward is your dominant eye.
7. Double check by holding the triangle at arms distance again and closing your nondominant eye. The target should remain centered in the opening.
**Did You Get It?**
1. Why is it important to determine your dominant eye? *It allows you to understand which hand you should use to hold the bow. This simple step sets you up to become a successful archer.*
2. What should happen to the target when you close your dominant eye? *When you close your dominate eye the target should move.*
3. What hand should you hold the bow with if you are right eye dominant? *You should hold your bow with the left hand and pull the string with the right hand if you are right eye dominant (the opposite if you are left eye dominant).*
4. Why is focusing on the right path in life important? *When you focus on the right path you are able to deter distractions that would prevent you from staying on target for life (You could have students list some of their life goals as well).*
Sample How To’s
The How To section should be fun and exciting for each student. Make sure that you have all the necessary elements available to insure you are properly teaching this section. Make sure you reiterate SAFETY and the importance it has in our lives and in our sport. Having them participate will have a significant impact on their overall experience of your group:
Sample How To’s:
1. **Gold**: Walk the students through the correct procedure for determining their dominant eye.
2. **Platinum**: Divide the students into pairs with one person blindfolded and the other person leading. Set up a simple obstacle course and have the pairs walk through it. Discuss the importance of vision and sight and any observations they might have.
3. **Titanium**: Invite an archery instructor or seasoned archer to talk to the class about the importance of determining the dominant eye in archery. (Can be a part of a comprehensive archery demonstration)
LESSON #1
OUTDOOR STUDENT EXPERIENCE
P.O. Box 6266
McKinney, Texas 75071
888.244.1611
www.soelive.com
HOW TO DETERMINE YOUR DOMINANT EYE
“…your young men shall see visions.”
Joel 2:28c (KJV)
The fundamental principle of visualization is a significant key to becoming an effective archer. The efforts put forth in focusing and envisioning a successful shot many times is what separates the good archer and the mediocre archer.
As you move forward in life, what is the vision you have for your future?
“Vision is the art of seeing the invisible.” - Jonathan Swift
Are you applying the proper character traits and skills now to see your vision come to fruition? What are some steps you might take in order to hit the mark as you stay on target for life?
LEARN IT!
When it comes to archery, determining your dominant eye is crucial. This exercise will determine which hand you should use to hold your bow. To sum it up, if you are right eye dominant, you will have the bow in your left hand and you will pull the string with your right hand, while your left side will face the target.
Everyone knows whether they are right or left-handed but few know whether they are right or left eye dominant. Follow this simple procedure to find out which eye to use when aiming your bow.
To determine your dominant eye:
1. Make a triangle with both of your hands by overlapping your thumbs and the top half of your fingers.
2. Extend your arms toward your target.
3. Look through the triangle at the target closing your non-dominant eye. The target should remain centered in the opening.
4. Keep your hand-triangle small enough so that only one eye can look through it up close.
5. Keep both eyes open.
6. Move your hands back to your face while still looking at the target through your hands. Whichever eye your hands gravitate toward is your dominant eye.
7. Double check by holding the triangle at arms distance again and closing your non-dominant eye. The target should remain centered in the opening.
DID YOU GET IT?
1. Why is it important to determine your dominant eye?
2. What should happen to the target when you close your dominant eye?
3. What hand should you hold the bow with if you are right eye dominant?
4. Why is focusing on the right path in life important?
Stance
Lesson 2
“…stand fast in the Lord…” Philippians 4:1b (KJV)
Life Application
The stance of a person doing any activity takes priority over everything. If the basic skills of standing correctly are not fine tuned, then the archer will never be consistent.
In life, we all stand stronger for some things than others. As life continues you will find some things that are very important to stand for, and you will find other things that you won’t feel compelled to stand for. What are some things, values, or positions that you would stand for in a public arena?
Biblical Application
Philippians 4:1
Therefore, my brethren dearly beloved and longed for, my joy and crown, so stand fast in the Lord, my dearly beloved.
In most sports, standing correctly is one of the keys to playing well. Offensive linemen in football, for instance, learn very complex foot maneuvers in order to get the best of the defensive players they face. It is not always their size and strength that gives them the advantage, but how they stand. In professional baseball some hitters are well known for their unique stances as they stand at the plate to hit the ball. How we stand says a lot about us. You will be called upon to take a stand many times in your life. You may have to stand up and defend your family, or your church, or the very fact that you are a Christian. Gale Sayers was one of the most famous football players of the 1960s. He said, “There comes a time when you have to stand up and be counted.” That takes courage, especially if you are in the minority, but courage to stand for the right things comes from the Holy Spirit who indwells us. Our world today is moving away from biblical morality in many areas. Gay marriage, abortion rights, alcohol abuse, drug usage are all areas where Christian people have to stand for what Scripture teaches. That is going to be difficult at times, but stand we must.
How To
In the sport of archery the stance is very important. But when hunting or in 3D archery shooting, a stance does not always mean standing. In 3D shooting you may find yourself on a knee shooting through an opening in a tree or a bush, or you may find yourself sitting in a chair shooting out of a blind. Regardless of your position, everything about a stance comes into play no matter how or where you are shooting.
When shooting at a target follow these few steps and perfect your stance to allow you to shoot consistently at your target.
1. Draw an imaginary straight line from the target to you.
2. If you are right handed, your left side will be towards the target and if you are left handed, your right side will be towards the target.
3. Put the tip of your toes against that imaginary straight line.
4. Put both feet on the same side of the line.
5. Place your feet about shoulder’s width apart.
6. Stand straight and tall.
7. Your shoulders should be down and relaxed.
8. Just relax!
Did You Get It?
1. Check your feet, are they on the target line?
The shooter’s feet should be on an imaginary line going toward the target.
2. How far apart are your feet?
The shooter’s feet should be about shoulder’s width apart.
3. What side of your body is facing the target if you are right handed?
For the right handed shooter the left side will be toward the target.
4. What is the position of your shoulders when in your stance?
The shoulders should be down and relaxed.
5. An archer has to play very close attention to the way he or she stands holding the bow. Why is how we stand on important moral, spiritual, and family issues critical?
Answers may vary.
Sample How To’s
The How To section should be fun and exciting for each student. Make sure that you have all the necessary elements available to insure you are properly teaching this section. Make sure you reiterate SAFETY and the importance it has in our lives and in our sport. Having them participate will have a significant impact on their overall experience of your group:
Sample How To’s:
1. **Gold**: Discuss the proper archery shooting stance using pictures or video.
2. **Platinum**: Have the students line up and practice going through their stance and set up.
3. **Titanium**: Invite an archery instructor or seasoned archer to talk about the importance of a proper stance in archery.
LESSON #2
STUDENT OUTDOOR ROOFTOP SKY EXPERIENCE
P.O. Box 6266
McKinney, Texas 75071
888.244.1611
www.soealive.com
STANCE
“…stand fast in the Lord…” Philippians 4:1b (KJV)
LIFE APPLICATION
The stance of a person doing any activity takes priority over everything. If the basic skills of standing correctly are not fine tuned, then the archer will never be consistent.
In life, we all stand stronger for some things than others. As life continues you will find some things that are very important to stand for, and you will find other things that you won’t feel compelled to stand for. What are some things, values, or positions that you would stand for in a public arena?
LEARN IT!
In the sport of archery the stance is very important. But when hunting or in 3D archery shooting, a stance does not always mean standing. In 3D shooting you may find yourself on a knee shooting through a opening in a tree or a bush, or you may find yourself sitting in a chair shooting out of a blind. Regardless of your position, everything about a stance comes into play no matter how or where you are shooting.
When shooting at a target follow these few steps and perfect your stance to allow you to shoot consistently at your target.
1. Draw an imaginary straight line from the target to you.
2. If you are right handed, your left side will be towards the target and if you are left handed, your right side will be towards the target.
3. Put the tip of your toes against that imaginary straight line.
4. Put both feet on the same side of the line.
5. Place your feet about shoulder’s width apart.
6. Stand straight and tall.
7. Your shoulders should be down and relaxed.
8. Just relax!
Did You Get It?
1. Check your feet, are they on the target line?
2. How far apart are your feet?
3. What side of your body is facing the target if you are right handed?
4. What is the position of your shoulders when in your stance?
5. Why is how we stand on important moral, spiritual, and family issues critical?
Life Application
In most circumstances in life, when you grip something it is to squeeze or hold it firmly so that it will not fall. But when it comes to gripping your bow that is not the case. Most beginning archers want to grip the bow tightly in their hand to prevent it from flinging out of their hand after the string has been released.
We all have things that we will grip tightly in life and never want to let go. Often, it is because we do not trust others to help us with these things that we have gripped for so long. Archery teaches us that with the most important things (a bow when shooting) we must have trust and faith in ourselves. And with this faith and trust we must let go of some of the things that we hold so close in our lives because we can only hold so much before we drop it all.
Biblical Application
Hebrews 10:23
Let us hold fast the confession of our hope without wavering, for He who promised is faithful..
“Hang in there, baby!” That is a common line that we use in all sorts of contexts. We may say it to a friend who is studying hard for a final exam. We might say those words to someone whose boyfriend or girlfriend seems to have lost affection for them. A person might say that to one of us who is trying to get a starting position on the basketball team at school. It is also something appropriate to voice to one another when it comes to keeping on in our Christian faith. Being a Christian is sometimes hard. We are tempted to dabble in sin when we see our friends going out on Saturday night to do things they should not
do. We all want to be liked by our buddies, and when they regularly say, “Oh, come on, just this once,” it is easy to fall to temptation. The Christian life is also hard sometimes because it requires discipline from us. Going to church, reading the Bible daily, praying every day, and living up to the Bible’s expectations are all difficult at times. So, let us say to one another, with our Bible passage, “Let us hold to the hope we profess.” Hang in there, baby!
**How To**
The grip of your bow is very important because with the slightest movement or misdirection of your bow hand your shot will never be consistent. An improper grip of the bow is one of the common problems that seasoned archers have when they are under pressure or facing an important shot in a 3D tournament or in range of a prize animal. So we must learn the basics of the grip to start the proper muscle memory form of holding your bow.
When holding your bow, follow these few steps to ensure the proper technique each time and get the consistent shot you want.
1. Find the “life line” or “pressure line” on your bow hand. (It can be found by simply applying pressure with your string hand into the fatty part of your hand where your thumb and palm meet. Where you apply the pressure and it hurts; that is the pressure line).
2. The pressure of the bow should be across the whole pressure line of your bow hand, while your thumb points towards the target.
3. Relax your fingers. They do not need to go around the bow handle with a grip.
4. Your index finger and thumb may touch slightly, but they need to be relaxed. Your hand needs to be at a 45° angle out from the bow (bottom of palm away from bow).
1. How can you find the “pressure line” of your hand?
Apply pressure with your string hand into the fatty part of your hand where your thumb and palm meet. Where you apply the pressure and it hurts; that is the pressure line.
2. In which direction does the thumb of your bow hand point?
Toward the target.
3. Can your index finger and thumb touch?
They may touch slightly but need to be relaxed.
4. At what angle is your hand away from your bow?
45° angle out from the bow.
5. An archer has to learn the proper grip on the bow in order to hit the target. He or she has to hold it correctly. What are some things we can do to encourage one another to hold on to our faith correctly?
Answers will vary. You may have to start the discussion with a few quick examples.
Sample How To’s
The *How To* section should be fun and exciting for each student. Make certain that all the necessary elements are available to properly teach this section. Make sure to reiterate SAFETY and the importance it has in our lives and in our sport. Their participation will have a significant impact on their overall experience of your group:
**Sample How To’s:**
1. **Gold:** Discuss proper archery shooting grip using pictures or video.
2. **Platinum:** Bring in a bow and have student practice gripping correctly and setting up in the proper stance.
3. **Titanium:** Invite an archery instructor or seasoned archer to talk to the class about the importance of a proper grip in archery.
LESSON #3
STUDENT OUTDOOR EXPERIENCE, INC.
P.O. Box 6266
McKinney, Texas 75071
888-244-1611
www.soelive.com
GRIP
“Let us hold fast the profession of our faith without wavering” Hebrews 10:23a (KJV)
LIFE APPLICATION
In most circumstances in life, when you grip something, it is to squeeze or hold it firmly so that it will not fall. But when it comes to gripping your bow that is not the case. Most beginning archers want to grip the bow tightly in their hand to prevent it from flinging out of their hand after the string has been released.
We all have things that we will grip tightly in life and never want to let go. Often, it is because we do not trust others to help us with these things that we have gripped for so long. Archery teaches us that with the most important things (a bow when shooting) we must have trust and faith in ourselves. And with this faith and trust we must let go of some of the things that we hold so close in our lives because we can only hold so much before we drop it all.
LEARN IT!
The grip of your bow is very important because with the slightest movement or misdirection of your bow hand your shot will never be consistent. An improper grip of the bow is one of the common problems that seasoned archers have when they are under pressure or facing an important shot in a 3D tournament or in range of a prize animal. So we must learn the basics of the grip to start the proper muscle memory form of holding your bow. When holding your bow, follow these few steps to ensure the proper technique each time and get the consistent shot you want.
1. Find the “life line” or “pressure line” on your bow hand. (It can be found by simply applying pressure with your string hand into the fatty part of your hand where your thumb and palm meet. Where you apply the pressure and it hurts; that is the pressure line).
2. The pressure line of the bow should be across the whole pressure line of your bow hand, while your thumb points towards the target.
3. Relax your fingers. They do not need to go around the bow handle with a grip.
4. Your index finger and thumb may touch slightly, but they need to be relaxed. Your hand needs to be at a 45° angle out from the bow (bottom of palm away from bow).
DID YOU GET IT?
1. How can you find the “pressure line” of your hand?
__________________________________________________________________________________________
2. In which direction does your thumb of your bow hand point?
__________________________________________________________________________________________
3. Can your index finger and thumb touch?
__________________________________________________________________________________________
4. At what angle is your hand away from your bow?
__________________________________________________________________________________________
5. What are some things we can do to encourage one another to hold on to our faith correctly?
__________________________________________________________________________________________
Raising the Bow
Lesson 4
“Lift up your heads…” Psalm 24:7a (KJV)
Life Application
In life, whenever you choose to raise our hands it is intentional. Whether you are in school and need to ask or answer a question, telling a teammate that you are ready for the ball, or raising your arms to shoot a bow; raising your arm is an important task and tells a lot about you.
As life continues you will have the need to figuratively raise your arms to make your statement or let your voice be heard. When the time comes to raise your hand in front of everyone, you must know what you going to say and say it well. Leaders will show themselves in life by rising up and speaking up for those who are following.
Biblical Application
Psalm 24:7
7 Lift up your heads, O ye gates; and be ye lift up, ye everlasting doors; and the King of glory shall come in.
Indiana Jones and the Raiders of the Lost Ark is an old movie now, but everybody has seen it and it has kept its appeal over the years. Most of you know that the “Ark” in the film is supposed to be the Ark that Moses constructed to symbolize the presence of the Lord with the people of Israel, and that eventually King Solomon placed the Ark in the temple he built. But some years before the temple, King David brought the Ark into the city of Jerusalem that he had just conquered for Israel. It seems likely that this was when he wrote Psalm 24. So, its meaning is, “The Lord is coming through the gates of the city. Gates, lift up your heads for the Lord!” In other words, “Turn your face toward God in worship!” We do a lot of things with our heads in worship. Sometimes we bow them in solemn prayer. Other times we are to raise them, as if we were gazing into the very throne room of the Lord in praise and celebration of who he is. “Lift up your heads, and worship God.” Worship involves adoration of God, praise to him for saving us,
prayer to him for our needs and the needs of others. Worship should be both private and corporate. That is, we should have our own times of worship in our homes, but we should also come together in our churches and Bible study groups and worship the Lord. Lift up your heads, you gates!”
**How To**
When it comes to archery the slightest misalignment will cause the shot to be off. After the grip is solid, the next step is to extend the bow arm to prepare for the shot. This step brings the stance and the grip all together to form a great machine known as an archer.
Whether shooting at 3D targets uphill, downhill or level with you, all these steps should be followed to ensure proper alignment with the whole body.
1. Bring the bow arm to shoulder height, but remember to keep your shoulders down. (Don’t stiffen up.)
2. Your bow arm should have some flex at the elbow.
3. The elbow of your bow arm should be turned away from the string.
4. Keeping your bow arm stretched out, raise the elbow of your string hand so it is at least level or slightly above your shoulder.
5. Turn your head and look directly at the target.
**Did You Get It?**
1. Where should the flex be at on your bow arm?
*Your bow arm should have some flex in the elbow.*
2. Should the elbow of your bow hand be turned toward or away from your bow?
*The elbow of your bow arm should be turned away from the string.*
3. Where should your string hand be during this time of raising your bow?
By your side.
4. Your head is facing where during this stance?
The head is facing directly at the target.
5. Why is it important for leaders to rise up?
To speak for those they lead and those who have no influence.
6. Discussion question: An archer must raise the bow in the same way every time when about to take a shot. At the same time the archer must raise his or her head. There are also times when we are to raise our heads in worship. Why is that important?
Answers may vary.
Sample How To’s
The How To section should be fun and exciting for each student. Make sure that you have all the necessary elements available to insure you are properly teaching this section. Make sure you reiterate SAFETY and the importance it has in our lives and in our sport. Having them participate will have a significant impact on their overall experience of your group:
Sample How To’s:
1. **Gold**: Discuss properly raising the bow hand using pictures or video.
2. **Platinum**: Bring in a bow and have the students practice raising it properly. (Note: do not allow the students to dry fire the bow as this could lead to serious damage to the bow and/or injury to the student.)
3. **Titanium**: Invite an archery instructor or seasoned archer to demonstrate properly raising the bow (can be part of a comprehensive demonstration/explanation.)
LESSON #4
STUDENT OUTDOOR ROOFTOP EXPERIENCE
PO. Box 6266
McKinney, Texas 75071
888.244.1611
www.soealive.com
LIFE APPLICATION
In life, whenever you choose to raise our hands it is intentional. Whether you are in school and need to ask or answer a question, telling a teammate that you are ready for the ball, or raising your arms to shoot a bow; raising your arm is an important task and tells a lot about you.
As life continues you will have the need to figuratively raise your arms to make your statement or let your voice be heard. When the time comes to raise your hand in front of everyone, you must know what you going to say and say it well. Leaders will show themselves in life by rising up and speaking up for those who are following.
LEARN IT!
When it comes to archery, the slightest misalignment will cause the shot to be off. After the grip is solid, the next step is to extend the bow arm to prepare for the shot. This step brings the stance and the grip all together to form a great machine known as an archer.
Whether shooting at 3D targets uphill, downhill or level with you, all these steps should be followed to ensure proper alignment with the whole body.
1. Where should the flex be on your bow arm?
____________________________________________
2. Should the elbow of your bow hand be turned toward or away from your bow?
____________________________________________
3. Where should your string hand be during this time of raising your bow?
____________________________________________
4. Your head is facing where during this stance?
____________________________________________
5. Why is it important for leaders to rise up?
____________________________________________
Anchoring / Aiming
Lesson 5
“Which hope we have as an anchor of the soul...”
Hebrews 6:19a (KJV)
Life Application
A foundation or anchor point is pivotal in any structure to keep it from moving, shaking or sinking. The same is true in archery and in life. You may not be a building or a boat, but you do have a foundation or anchor. Everyone stands firm on what he or she believes, but sometimes his or her foundation or anchor is not solid enough to hold.
“Good order is the foundation of all things.” – Edmund Burke
I have seen boats that were tied to cinder blocks or buckets of concrete used as an anchor. While these may keep the boat from drifting in a normal current when fishing, when the winds pick up and the water speed increases these improper anchors cannot dig into the bottom of the lake or river. As a leader, be certain your anchor point in life is firm and will not drift.
Biblical Application
Hebrews 6:19-20
19 Which hope we have as an anchor of the soul, both sure and stedfast, and which entereth into that within the veil;
20 Whither the forerunner is for us entered, even Jesus, made an high priest for ever after the order of Melchisedec.
Anchors are used for keeping ships or boats in the same place in the water, preventing them from drifting in the wind or from the tide. Big ships need big anchors. The Titanic, which sank after hitting an iceberg in 1914, had the largest anchor of any ship to that time. Its center anchor was 18 and one-half feet long and weighed 30,000 pounds.
You think that is big? In 2007 a Dutch company produced a new anchor that weighs 150,000 pounds, is shaped like an airplane, and its “wingspan” is 110 feet long! You probably don’t need that for your fishing boat! Remember, an anchor keeps a ship or boat from drifting. Our Bible passage for today tells us that we have a spiritual anchor. If you study the text, you will find that it states that our anchor is found in the Cross of Jesus Christ, which is what it means by the phrase “the inner sanctuary behind the curtain.” The Cross is our one sure hope for not drifting. In Hebrews the author warns the people he is writing to over and over again not to drift away from their faith, and he assures them that Jesus can keep them from drifting because he has died for their sin on the Cross. Of course, an anchor requires a rope that keeps it attached to the boat. In our lives that rope is our church, our Christian friends, and others who come along with us in our spiritual voyage on the sometimes scary waters of life. Trust in your anchor. Keep trusting in Jesus.
**How To**
An anchor point in archery is similar to the foundation of a house. It is immovable. The anchor point is the point where you bring the string to every time to ensure that each shot released starts from the same place ensuring accuracy.
Follow these steps to shoot consistent groups on your 3D targets.
1. The string or the end of your string release should touch the corner of your mouth.
2. Keep your teeth together and your mouth closed.
3. Your finger should be on the trigger of the release.
4. Your hand should feel comfortable on your face.
5. You should be able to look straight down the arrow with ease and comfort.
Did You Get It?
1. Where is your anchor point?
The corner of the mouth serves as the anchor point.
2. How should your mouth be situated?
You should keep your teeth together and your mouth closed.
3. What is the first thing you look down to start the aiming process?
You should be able to look straight down the arrow.
4. To be successful in hunting for prey with a bow, an archer has to “anchor” himself on the ground. Why is it important to anchor ourselves in our spiritual lives? What is our anchor?
So you do not drift toward uncertain and bad decisions. Jesus is our anchor.
Sample How To’s
The How To section should be fun and exciting for each student. Make sure that you have all the necessary elements available to insure you are properly teaching this section. Make sure you reiterate SAFETY and the importance it has in our lives and in our sport. Having them participate will have a significant impact on their overall experience of your group:
Sample How To’s:
1. **Gold**: Discuss proper anchoring using pictures or video.
2. **Platinum**: Bring in a bow and have the students practice drawing the bow and anchoring (note: do not allow the students to dry fire the bow as this could lead to serious damage to the bow and/or injury to the student).
**Dry fire**: pulling back the string and letting go without an arrow.
3. **Titanium**: Invite an archery instructor or seasoned archer to demonstrate proper anchoring technique (can be part of a comprehensive demonstration/explanation).
LESSON #5
STUDENT OUTDOOR ROOFTOP EXPERIENCE
PO. Box 6266
McKinney, Texas 75071
888.244.1611
www.soealive.com
ANCHORING/AIMING
“Which hope we have as an anchor for the soul”
Hebrews 6:19a (KJV)
LIFE APPLICATION
A foundation or anchor point is pivotal in any structure to keep it from moving, shaking or sinking. The same is true in archery and in life. You may not be a building or a boat, but you do have a foundation or anchor. Everyone stands firm on what he or she believes, but sometimes his or her foundation or anchor is not solid enough to hold.
“Good order is the foundation of all things.”
- Edmund Burke
I have seen boats that were tied to cinder blocks or buckets of concrete used as an anchor. While these may keep the boat from drifting in a normal current when fishing, when the winds pick up and the water speed increases these improper anchors cannot dig into the bottom of the lake or river. As a leader, be certain your anchor point in life is firm and will not drift.
LEARN IT!
An anchor point in archery is like a foundation of your house. You never come home to find your house has moved a little or it has moved down the street. It is immovable. The anchor point in a point wear you bring the string to every time to ensure that every shot you release starts from the same place ensuring as much accuracy as you possibly can.
Follow these few easy steps to shoot better groups and be more consistent on your 3D targets.
1. The string or the end of your string release should touch the corner of your mouth.
2. Keep your teeth together and your mouth closed.
3. Your finger should be on the trigger of the release.
4. Your hand should feel comfortable on your face.
5. You should be able to look straight down the arrow with ease and comfort.
DID YOU GET IT?
1. Where is your anchor point?
2. How should your mouth be situated?
3. Where is your hand in location to your head?
4. Why is it important to anchor ourselves in our spiritual lives?
The Draw
Lesson 6
“I appeal as a fellow elder…” 1 Peter 5:1a (KJV)
Life Application
Drawing the bow is basically pulling the string against the resistance of the pulleys and the curvature of the bow.
Throughout life you may have to pull things or people to do what’s right, even when met with resistance. It is naturally easier to push than to pull. As a leader, you will need to learn when to push people and when to pull them in order to meet a common goal.
“If your actions inspire others to dream more, learn more, do more and become more, you are a leader.” - John Quincy Adams
Biblical Application
1 Peter 5:1-4
1 To the elders among you, I appeal as a fellow elder and a witness of Christ’s sufferings The elders which are among you I exhort, who am also an elder, and a witness of the sufferings of Christ, and also a partaker of the glory that shall be revealed:
2 Feed the flock of God which is among you, taking the oversight thereof, not by constraint, but willingly; not for filthy lucre, but of a ready mind;
3 Neither as being lords over God’s heritage, but being examples to the flock.
4 And when the chief Shepherd shall appear, ye shall receive a crown of glory that fadeth not away.
William Wallace lived from 1270 to 1305 AD. He was from Scotland and became the key leader in the Scottish revolt against England’s King Edward I. The Scots were under English rule and were treated cruelly, especially the common folk. You probably know that Mel Gibson made a film about Wallace a few years ago called Braveheart,
and that Gibson played in the starring role. Though the film altered some of the details of the story, its portrayal of Wallace was just about perfect. Wallace was one of the greatest leaders of men in history. He knew when to push people to do things in the revolution, and he knew when to pull them or draw them along. Simon Peter wrote a letter to a church that is found in our New Testament. We don’t know the name or the location of the church, but the letter has some great advice about leadership. He wrote to the elders (leaders) of the church and told them several things. Be shepherds of God’s flock (a metaphor for the congregation), that is, keep them safe from those who would do them harm, and help them be spiritually fed (from the Bible). Do this because you want to, not for money and not just because you feel you have to. And as you lead, don’t be bossy or always have to get your own way. If you do that, God will reward you in ways you cannot even imagine. Be an example to them. To put that another way, “Don’t be an exception, be an example.” Even if you are not a pastor, this is good advice. You will have opportunities to be a leader, probably even while you are in school. Take Peter’s advice.
**How To**
For many archers this can be a challenge because it uses the arm muscles and a lot of force is required to move the bowstring. Because of the resistance when drawing the bow, many beginning archers fall out of their proper stance, grip as they set up to draw the bow. Just like everything else mentioned, drawing the bow is muscle memory, but it is also a workout for certain muscle groups that are not commonly used.
You will need to practice this routine a lot to become efficient and be able to draw the bow back 20-40 times in a few hours at a 3D tournament. Follow these steps to ensure proper drawing techniques.
1. In a smooth motion, draw the string along the bow arm in a straight horizontal line.
2. While drawing back the string, use your back muscles moving your shoulders blades toward one another.
3. Bring the string to the corner of your mouth (anchor point).
4. Stand straight up and relax.
5. Keep both shoulders as low as possible.
Did You Get It?
1. What muscles do you use when drawing your bow?
Using your back muscles move your shoulder blades toward one another.
2. Where is your anchor point for your string hand?
The corner of the mouth is the anchor point.
3. How should your shoulders be after full draw?
Keep both shoulders as low as possible.
4.
5. Why would you want to push or pull those you are leading?
To lead them to a common goal.
6. Discussion topic: Archers have to learn the art of the draw, the art of drawing the string. We all have to learn that art of the draw in life – how to lead others. What are some things we learn from Peter’s advice to that church in the first century?
Answers may vary.
Sample How To’s
The How To section should be fun and exciting for each student. Make sure that you have all the necessary elements available to insure you are properly teaching this section. Make sure you reiterate SAFETY and the importance it has in our lives and in our sport. Having them participate will have a significant impact on their overall experience of your group:
Sample How To’s:
1. **Gold:** Discuss proper archery draw using pictures or video.
2. **Platinum:** Bring a bow and have the students practice drawing the bow (note: do not allow the students to dry fire the bow as this could lead to serious damage to the bow and/or injury to the student).
3. **Titanium:** Invite an archery instructor or seasoned archer to demonstrate proper drawing of the bow to the students (can be part of a comprehensive demonstration/explanation).
LESSON #6
STUDENT OUTDOOR & 3D ARCHERY EXPERIENCE
PO. Box 6266
McKinney, Texas 75071
888.244.1611
www.soealive.com
LESSON #6
THE DRAW
“...appeal as a fellow elder…”
1 Peter 5:1a (KJV)
LIFE APPLICATION
Drawing the bow is basically pulling the string against the resistance of the pulleys and the curvature of the bow.
Throughout life you may have to pull things or people to do what’s right, even when met with resistance. It is naturally easier to push than to pull. As a leader, you will need to learn when to push people and when to pull them in order to meet a common goal.
“If your actions inspire others to dream more, learn more, do more and become more, you are a leader.” -John Quincy Adams
LEARN IT!
For many archers, this can be a challenge because it uses the arm muscles and a lot of force is required to move the bowstring. Because of the resistance when drawing the bow, many beginning archers fall out of their proper stance, grip as they set up to draw the bow. Just like everything else mentioned, drawing the bow is muscle memory, but it is also a workout for certain muscle groups that are not commonly used.
You will need to practice this routine a lot to become efficient and be able to draw the bow back 20-40 times in a few hours at a 3D tournament.
1. In a smooth motion, draw the string along the bow arm in a straight horizontal line.
2. While drawing back the string, use your back muscles moving your shoulders blades toward one another.
3. Bring the string to the corner of your mouth (anchor point).
4. Stand straight up and relax.
5. Keep both shoulders as low as possible.
DID YOU GET IT?
1. What muscles do you use when drawing your bow?
_____________________________________________________________________________________
2. Where is your anchor point for your string hand?
_____________________________________________________________________________________
3. How should your shoulders be after full draw?
_____________________________________________________________________________________
4. Why would you want to push or pull those you are leading?
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Aiming
Lesson 7
“reaching forth unto those things which are before,”
Philippians 3:13b (KJV)
Life Application
To aim at something is to make that the goal of where you want to hit. In life you have many things you aim for like good grades, being the best athlete, finding a spouse, and getting a good job.
“Creativity requires the courage to let go of certainties.”
- Erich Fromm
People who are successful and leaders among their peers and industries have learned a very important principle about aiming. They have learned to “aim small”. This means they hone in on the exact spot of their goal and they figure out what it takes to hit that spot. What are some of your goals and how can you aim smaller on those goals and targets for your life?
Biblical Application
Philippians 3:12-14
12 Not as though I had already attained, either were already perfect: but I follow after, if that I may apprehend that for which also I am apprehended of Christ Jesus.
13 Brethren, I count not myself to have apprehended: but this one thing I do, forgetting those things which are behind, and reaching forth unto those things which are before,
14 I press toward the mark for the prize of the high calling of God in Christ Jesus.
Abraham Lincoln once said, “Our reach is higher than our grasp. Therefore, aim high.” Well said! In Philippians 3 the Apostle Paul aims about as high as a Christian can. He admits in these words that he has “not yet taken hold of it,” by
which he means that he is not as far along in his Christian life as he would like to be. Who is? If Paul, in his final years in life had not yet attained it, then no one will. There is a lot of confusion about these things among Christian people. At a family reunion a lady once announced to her visiting relatives that she had not sinned in 20 years! A certain twelve-year-old boy among those visiting started to say, “I am sorry, but you just did!” But his perceptive mother stopped him short. On the other hand, some people have come to believe that living the Christian life is just not possible. It is too hard. Paul has it right here. We will never achieve perfection, but we have to keep reaching for the goal, and that goal is being as much like Jesus as we can be. Keep reaching, keep praying, keep serving the Lord, and you go farther than most. Just don’t stop aiming high!
**How To**
When aiming at a 3D target or an animal you do not simply aim for the kill zone, but you shoot for the 10 ring which is the innermost and smallest part on the 3D target. This 10 ring is considered to be the ultimate death shot to an animal.
When you are looking at your 3D target, do not simply shoot at the target in the kill zone. Look through binoculars to find the 10 ring and determine what you need to hit the deadly 10 ring. If you aim for something big you will hit something big, but if you aim for something small you will hit small!
Follow these next few steps to learn how to aim small and increase your grouping and precision.
1. With the string pulled back, close your non-dominant eye and look at the target.
2. Look through the peep sight on your bowstring at the pins in your sight attached to your bow.
3. Pick the pin that matches the distance of the target and line that with the 10 ring of the target.
4. You are now aligning your vision through the peep sight onto the correct yardage pin, and then onto the 10 ring of the target.
5. This process should take between 3-6 seconds. Practice is the key to success.
Did You Get It?
1. Which eye do you leave open to aim?
You leave your dominant eye open.
2. What is the first thing you look through to start the aiming process?
You will look through the peep sight on your bowstring at your pins in your sight attached to your bow.
3. How long should the aiming process take?
The whole process should take between 3-6 seconds.
4. In hunting with a bow, you learn how to identify the target ring on your prey or on 3D targets. How do we keep aiming toward our target in the Christian experience?
Answers will vary.
Sample How To’s
The *How To* section should be fun and exciting for each student. Make certain that all the necessary elements are available to properly teach this section. Make sure to reiterate SAFETY and the importance it has in our lives and in our sport. Their participation will have a significant impact on their overall experience of your group:
**Sample How To’s:**
1. **Gold:** Discuss proper aiming of the bow using pictures or video.
2. **Platinum:** Bring in a bow and targets and have the students practice aiming.
3. **Titanium:** Invite an archery instructor or seasoned archer to demonstrate proper aiming technique (can be part of a comprehensive demonstration/explanation).
LESSON #7
STUDENT OUTDOOR EXPERIENCE
PO. Box 6266
McKinney, Texas 75071
888.244.1611
www.soelive.com
Aiming
“...reaching forth unto those things which are before,” Philippians 3:13b (KJV)
LIFE APPLICATION
To aim at something is to make that the goal of where you want to hit. In life you have many things you aim for like good grades, being the best athlete, finding a spouse, and getting a good job.
“Creativity requires the courage to let go of certainties.”
- Erich Fromm
People who are successful and leaders among their peers and industries have learned a very important principle about aiming. They have learned to “aim small.” This means they hone in on the exact spot of their goal and they figure out what it takes to hit that spot. What are some of your goals and how can you aim smaller on those goals and targets for your life?
LEARN IT!
When aiming at a 3D target or an animal you do not simply aim for the kill zone, but you shoot for the 10 ring which is the innermost and smallest part on the 3D target. This 10 ring is considered to be the ultimate death shot to an animal.
When you are looking at your 3D target, do not simply shoot at the target in the kill zone. Look through binoculars to find the 10 ring and determine what you need to hit the deadly 10 ring. If you aim for something big you will hit something big, but if you aim for something small you will hit small!
Follow these next few steps to learn how to aim small and increase your grouping and precision.
1. With the string pulled back, close your non-dominant eye and look at the target.
2. Look through the peep sight on your bowstring at the pins in your sight attached to your bow. If you do not have a peep sight you will look down the arrow shaft.
3. Pick the pin that matches the distance of the target and line that with the 10 ring of the target.
4. You are now aligning your vision down the arrow or through the peep sight onto the correct yardage pin, and then onto the 10 ring of the target.
5. This process should take between 3-6 seconds. Practice is the key to success.
DID YOU GET IT?
1. Which eye do you leave open to aim?
2. What is the first thing you look through to start the aiming process?
3. How long should the aiming process take?
4. How do we keep aiming toward our target in the Christian experience?
Release
Lesson 8
“For what is a man advantaged, if he gain the whole world…”
Luke 9:25a (KJV)
Life Application
Letting go of something is the same as sending it. When you send something you always have an intended destination for whatever you are letting go. When a great basketball player sends a shot to the basket they intend for it to go into the hoop to score the points. When an archer lets go of the string he or she is sending the arrow to the target.
“Creativity requires the courage to let go of certainties.”
- Erich Fromm
People let go of things all the time (words, actions, thoughts, etc.) that sometimes they wish they hadn’t. What are some things in your life that you have done or said but now regret? An archer can never take back an arrow, so be 100% confident of where the arrow is being sent.
Biblical Application
Luke 9:23-25
23 And he said to them all, If any man will come after me, let him deny himself, and take up his cross daily, and follow me.
24 For whosoever will save his life shall lose it: but whosoever will lose his life for my sake, the same shall save it.
25 For what is a man advantaged, if he gain the whole world, and lose himself, or be cast away?
There comes that moment in bow hunting when you have to release the arrow. No release, no kill. In *The Lord of the Rings* there came the moment when Frodo had to leave the Fellowship of the Ring and set out to Mordor. He was frightened. He did not know how to get there, he knew the road was fraught with dangers, and he left behind all of those who could protect him. But he did it anyway because he had to. Jesus said that if you wish to save your life you must lose it. “Deny yourself and follow me.” What does that mean? It means that we have to release the control of our life to him, and let him set the course of our future. You don’t get to make your own plans or chart your own course. At least not in the big things. God has a plan for you and you have to tell him that, as he unfolds that to you, that you will follow that plan, even if it means that you will go in a direction you had not originally wanted to. You have to die to yourself in order to live for the Lord. That does not mean life will be a dreary and ugly thing. Jesus’ disciples did as he asked (all but one of them), and when you read their story in the Book of Acts, it was anything but dull! They took a new course. Some had been fishermen; now they became evangelists and missionaries. It is not God’s will for everyone to be a preacher, of course, but it is important for all of us to find out just what God’s will is, and do it. In 1955 a college student named Jim Elliot wrote in his diary, “He is no fool who gives what he cannot keep to gain what he cannot loose.” A year later, while serving as a missionary in South America, he and four missionary friends were killed by hostile natives that they were trying to reach with the gospel. Jim could not keep his life, but as a result, thousands of those natives became Christians in the next few years.
**How To**
The moment you have been waiting for: the release! You have spent a lot of time practicing and thinking about the steps. The moment has come to release the arrow. Most think this is the easy part, but this is the time that if an archer is not aware and conscious of all the other steps, then the whole process will have been for nothing.
To release the string is usually the smallest movement in the whole process, but everything rides upon this one step. Follow these steps to ensure you will hit the target.
1. While holding the string back and properly aiming, pull your shoulder blades together while relaxing the shooting hand.
2. Place your trigger finger on the release trigger.
3. Relax your bow hand.
4. Breathe in through your nose.
5. Exhale through your nose slowly.
6. While exhaling through your nose, press the trigger of your release.
7. Watch your arrow all the way to and through your target.
**Did You Get It?**
1. How do you relax your shooting hand?
*While relaxing your shoulder blades.*
2. Should you breathe in through your mouth or nose?
*Through your nose.*
3. How should you exhale?
*Slowly through your nose.*
4. You have to release the arrow in order to achieve your goal of making the shot. Christian people also have to release control of their lives to the Lord. What are some ways they can do that?
*Answers will vary.*
Sample How To’s
The *How To* section should be fun and exciting for each student. Make certain that all the necessary elements are available to properly teach this section. Make sure to reiterate SAFETY and the importance it has in our lives and in our sport. Their participation will have a significant impact on their overall experience of your group:
**Sample How To’s:**
1. **Gold:** Discuss proper follow through using pictures or video.
2. **Platinum:** Bring in a bow and targets and have the students practice shooting at targets working on their release.
3. **Titanium:** Invite an archery instructor or seasoned archer to demonstrate proper anchoring technique (can be part of a comprehensive demonstration/explanation).
LESSON #8
STUDENT OUTDOOR ROOFING EXPERIENCE
P.O. Box 6266
McKinney, Texas 75071
888.244.1611
www.soelive.com
“Release”
“For what is a man advantaged, if he gain the whole world...” Luke 9:25a (KJV)
LIFE APPLICATION
Letting go of something is the same as sending it. When you send something you always have an intended destination for whatever you are letting go. When a great basketball player sends a shot to the basket they intend for it to go into the hoop to score the points. When an archer lets go of the string he or she is sending the arrow to the target.
“Creativity requires the courage to let go of certainties.”
- Erich Fromm
People let go of things all the time (words, actions, thoughts, etc.) that sometimes they wish they hadn’t. What are some things in your life that you have done or said but now regret? An archer can never take back an arrow, so be 100% confident of where the arrow is being sent.
LEARN IT!
The moment you have been waiting for: the release! You have spent a lot of time practicing and thinking about the steps. The moment has come to release the arrow. Most think this is the easy part, but this is the time that if an archer is not aware and conscious of all the other steps, then the whole process will have been for nothing.
To release the string is usually the smallest movement in the whole process, but everything rides upon this one step.
Follow these steps to ensure you will hit the target.
1. While holding the string back and properly aiming, pull your shoulder blades together while relaxing the shooting hand.
2. Place your trigger finger on the release trigger (if using a release.)
3. Relax your bow hand.
4. Breathe in through your nose.
5. Exhale through your nose slowly.
6. While exhaling through your nose, press the trigger of your release or roll the string off your fingers if you are using your hand.
7. Watch your arrow all the way to and through your target.
DID YOU GET IT?
1. How is relaxation given to you shooting hand?
_____________________________________________________________________________________
2. Should you breathe in through your mouth or nose?
_____________________________________________________________________________________
3. How should you exhale?
_____________________________________________________________________________________
4. What should you do after the release of your arrow?
_____________________________________________________________________________________
5. What are some ways Christians can release control of their lives?
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Follow Through
Lesson 9
“And he began to teach them....” Mark 8:31a (KJV)
Life Application
Doing something well means figuring out the principle of perseverance. Perseverance means to keep going no matter what happens. Most successful athletes and business leaders never stop moving toward their goal. They keep going because science teaches us that it is easier to keep moving than to start moving.
“You must know in your heart before anyone else does what is going to be good and then follow through.” - Bill Budge
People who train to do something and do not keep working at it will never be successful because they do not persevere. What are some things in your life that you have stopped or quit and later wished you had continued? Train yourself now about the importance of seeing through something till the end!
Biblical Application
Mark 8:31-34
31 And he began to teach them, that the Son of man must suffer many things, and be rejected of the elders, and of the chief priests, and scribes, and be killed, and after three days rise again.
32 And he spake that saying openly. And Peter took him, and began to rebuke him.
33 But when he had turned about and looked on his disciples, he rebuked Peter, saying, Get thee behind me, Satan: for thou savourest not the things that be of God, but the things that be of men.
34 And when he had called the people unto him with his disciples also, he said unto them, Whosoever will come after me, let him deny himself, and take up his cross, and follow me.
Imagine being Jesus! Or just imagine being around him. Suppose you could have Bill and Ted’s excellent adventure and go back in time to Galilee in Jesus’ day—to this day when he spoke these words. Here is this guy, and for the three years before he said these words he did and said amazing things. And he had been telling his friends all along that he actually came down from heaven to do these things. Healing sick people, raising dead people, teaching amazing new truths—his life had been amazing up to that point. Who would want it to change? After all, he was only in his early thirties; many people in his day lived into their seventies. Imagine how many more stories would be written in the Gospels if he had continued his work for another thirty years or so? But in this text, he reveals to his disciples, for the first time, that this was not the plan. And he told them that had never been the plan. The plan was for him to do those things, and then present himself to the authorities in Jerusalem in such a way that they would come to believe that they had to get rid of him, and that they would do just that. When Jesus spoke these words they were in fact on a long journey that would take them to Jerusalem just a few weeks away. Peter was so upset that he told Jesus, in essence, “You don’t know what you are talking about. We got a good thing going here. It can’t come to an end like that!” Jesus knew, that as important as everything else had been, that this was the endgame for him, and that he had to follow through with that plan, difficult as it might be. We have to follow through as well. When the game is over, you have to take a shower and put your stuff in your locker. You don’t just run to your parents’ car and wave at your coach. When the mission trip is over, we have to keep in touch with the people we served for that week. Follow through is important.
**How To**
In the game of golf the follow through is the most important part of the swing. It controls the spin, loft, trajectory and power. Just like the golfer, the entire body of an archer shooting at a target is in motion, and it needs a way to collectively come back together without haltering or impeding the flight of the arrow.
The archer needs to follow through after the release of the arrow to have consistent shots. Follow these next steps to help hone your follow through and get the maximum benefit of each shot.
1. Your relaxed bow hand will let the bow drop.
2. You will feel the tug of the bow sling on your rest letting you know the bow is caught and secure.
3. Try to keep your head, bow arm, and body in the same position as you aim.
4. Do not move until you see the arrow hit the target.
**Did You Get It?**
1. A Bowman has to finish his shot with a consistent follow through. Jesus had a follow through that was painful and hard, even for him. Why is important to follow through in the experiences we have in life? What are some of those follow-throughs?
*Answers will vary.*
2. What should you do with your head after the release of the arrow?
*Keep it still, in the same position as when shooting.*
3. When can you move?
*Once you see the arrow hit the target you can move.*
4. What does it mean to have pressures?
*To keep going no matter what happens or how hard it gets.*
Sample How To’s
The How To section should be fun and exciting for each student. Make sure that you have all the necessary elements available to insure you are properly teaching this section. Make sure you reiterate SAFETY and the importance it has in our lives and in our sport. Having them participate will have a significant impact on their overall experience of your group:
**Sample How To’s:**
1. **Gold:** Discuss proper follow through using pictures or video.
2. **Platinum:** Bring in a bow and targets and have the students practice shooting at targets working on their follow through.
3. **Titanium:** Invite an archery instructor or seasoned archer to demonstrate proper follow through (can be part of a comprehensive demonstration/explanation).
LESSON #9
STUDENT OUTDOOR ARCHERY EXPERIENCE
PO. Box 6266
McKinney, Texas 75071
888.244.1611
www.scealive.com
FOLLOW THROUGH
“And he began to teach them…”
Mark 8:31a (KJV)
LIFE APPLICATION
Doing something well means figuring out the principle of perseverance. Perseverance means to keep going no matter what happens. Most successful athletes and business leaders never stop moving toward their goal. They keep going because science teaches us that it is easier to keep moving than to start moving.
“You must know in your heart before anyone else does what is going to be good and then follow through.” - Bill Budge
People who train to do something and do not keep working at it will never be successful because they do not persevere. What are some things in your life that you have stopped or quit and later wished you had continued? Train yourself now about the importance of seeing through something till the end!
LEARN IT!
In the game of golf the follow through is the most important part of the swing. It controls the spin, loft, trajectory and power. Just like the golfer, the entire body of an archer shooting at a target is in motion, and it needs a way to collectively come back together without haltering or impeding the flight of the arrow.
The archer needs to follow through after the release of the arrow to have consistent shots.
Follow these next steps to help home your follow through and get the maximum benefit of each shot.
1. Your relaxed bow hand will let the bow drop.
2. You will feel the tug of the bow sling on your rest letting you know the bow is caught and secure.
3. Try to keep your head, bow arm, and body in the same position as you aim.
4. Do not move until you see the arrow hit the target.
YOU YOU GET IT?
1. Why is it important to follow through in the experiences we have in life?
_____________________________________________________________________________________
_____________________________________________________________________________________
2. What should you do with your head after the release of the arrow?
_____________________________________________________________________________________
_____________________________________________________________________________________
3. When can you move?
_____________________________________________________________________________________
_____________________________________________________________________________________
4. What does it mean to have pressures?
_____________________________________________________________________________________
_____________________________________________________________________________________
Life Application
As typical humans, we tend to like those who are similar to ourselves. Look around your school and you will see this in a very visible way. The football team sits together, the band players sit together and so on. We all prefer certain people around us and mostly they are people that are just like us. If you really want to become a better person and a better leader you will start hanging around those who are different than you. Make them feel comfortable when you are with them. We like those around us, who are like us, because we do not want to be questioned or pressured for anything. We want to be comfortable.
“A man who wants to lead the orchestra must turn his back on the crowd.”
- Max Lucado
True leaders surround themselves with friends, but also with those who do not look like them, think them, or even like the same things as they do. When you have to start giving reasons why you do certain things, then you will start to learn who you truly are and allowing others to see who you really are, too.
Biblical Application
1 Corinthians 12:12-19
12 For as the body is one, and hath many members, and all the members of that one body, being many, are one body: so also is Christ.
13 For by one Spirit are we all baptized into one body, whether we be Jews or Gentiles, whether we be bond or free; and have been all made to drink into one Spirit.
14 For the body is not one member, but many.
15 If the foot shall say, Because I am not the hand, I am not of the body; is it therefore not of the body?
16 And if the ear shall say, Because I am not the eye, I am not of the body; is it therefore not of the body?
17 If the whole body were an eye, where were the hearing? If the whole were hearing, where were the smelling?
18 But now hath God set the members every one of them in the body, as it hath pleased him.
19 And if they were all one member, where were the body?
Competition is a part of life. Most people love competition, which is why so much money is spent on sports. We have sports channels, sports commentators, and we have lots of sports at every level of life. General George Patton once said, “Americans play to win all the time.” There is nothing wrong with that, but it must also be tempered by our willingness to learn from others and to pass our knowledge and experience on to them. You can learn a lot from others in handling your archery equipment. The Apostle Paul wrote a letter to a church that had a competitive spirit. The problem is that they were not competitive with each other in sports, but in who had the most influence in the church. That is not wholesome! So he wrote these words. In them he states that a congregation is like a body. Each person in the congregation is like a different part of the body—a hand, an eye, a foot, a leg, an ear, and so on. Some may feel like they are one of the internal organs, and sometimes we may think of one guy at the church who must be the backside! But each one is important and serves a function, just as every part of our body does. A congregation is more like a family than it is like a business; it is more like a body than it is like a bunch of people who just happen to work in the same building. Because of that, we ought to help one another and bless one another. You might get up and let an elderly couple have your seat in the church building if that would help them. Take advantage of church “work days,” and go clean someone’s gutters. After all, if they are in your church, they are part of you.
How To
Reviewing all the content of these lessons on 3D archery will not only make sure that you understand these basic principles, but it sets up an atmosphere that you can interact with other students in the room to show them that you have mastered these basics of 3D archery.
Follow these steps showing others that you have understood the 3D archery tips.
1. Why is it important to add cooperation to our competition in our church life? What are some bad forms of competition?
2. Go over the parts of the bow and compare other bows. (Different peeps, sights, releases, etc.
3. Try setting up or finding some other terrain; then, practice shooting from different terrains, slopes and shot structures.
4. Have some shooting competitions, counting off for improper technique and form.
5. Final competition to see who knows the most about all the 3D archery facts.
Did You Get It?
1. Who are some students at your school who do not look, think or talk like you?
Answers will vary.
2. What are some local places that you could practice your target archery?
Answers will vary.
3. Do you have any more questions about target archery?
Answers will vary.
Sample How To’s
The *How To* section should be fun and exciting for each student. Make certain that all the necessary elements are available to properly teach this section. Make sure to reiterate SAFETY and the importance it has in our lives and in our sport. Their participation will have a significant impact on their overall experience of your group:
For this lesson it is suggested that you set up some shooting lanes and give the students an opportunity to put their new shooting skills to use. Be sure to review the earlier units.
LESSON #10
STUDENT OUTDOOR ARCHERY EXPERIENCE
PO. Box 6266
McKinney, Texas 75071
888.244.1611
www.soealive.com
LIFE APPLICATION
As typical humans, we tend to like those who are similar to ourselves. Look around your school and you will see this in a very visible way. The football team sits together, the band players sit together and so on. We all prefer certain people around us and mostly they are people that are just like us. If you really want to become a better person and a better leader you will start hanging around those who are different than you. Make them feel comfortable when you are with them. We like those around us, who are like us, because we do not want to be questioned or pressured for anything. We want to be comfortable.
“A man who wants to lead the orchestra must turn his back on the crowd.” - Max Lucado
True leaders surround themselves with friends, but also with those who do not look like them, think like them, or even like the same things as they do. When you have to start giving reasons why you do certain things, then you will start to learn who you truly are and allowing others to see who you really are, too.
LEARN IT!
Reviewing all the content of these lessons on 3D archery will not only make sure that you understand these basic principles, but it sets up an atmosphere that you can interact with other students in the room to show them that you have mastered these basics of 3D archery.
1. Look at one another’s stances, grips, and set-ups to discuss technique and make sure of proper form.
2. Go over the parts of the bow and compare other bows. (Different peeps, sights, releases, etc.)
3. Try setting up or finding some other terrain; then, practice shooting from different terrains, slopes and shot structures.
4. Have some shooting competitions, counting off for improper technique and form.
5. Final competition to see who knows the most about all the 3D archery facts.
DID YOU GET IT?
1. Why is it important to add cooperation to our competition in our church life? What are some bad forms of competition?
2. What are some local places that would be good hunting grounds?
3. Do you have any more questions about 3D archery?
4. What happens when we become uncomfortable as leaders?
The Big Love
Salvation Lesson
John 3:16 For God so loved the world, that he gave his only begotten Son, that whosoever believeth in him should not perish, but have everlasting life.
Life Application
Sometimes something very small makes all the difference in the world for something very big. Think about the rudder of a ship or a boat. In comparison to the size of the ship, the rudder is tiny. Yet, without the rudder the ship would just go around in circles and never get you anywhere. So, think about the verse of Scripture that we just read. It is the most famous verse in the Bible. At NFL football games people sitting behind the goal posts raise up banners with “John 3:16” on them when a team tries for a field goal or extra point. Even people who have never gone to church know this verse, and they all think they understand it, and I am sure they do, in part. But really, the verse is attempting to tell us, with crystal clarity, one thing: that God’s love is BIG LOVE! You know how I know? Because of the smallest word in the verse. The key to really understanding this amazing statement is the little word “so.” “God so loved . . . that.” It is telling us that God’s love is Big Love, and it brings the truth of that out in three simple ways.
How To
First, God’s love is so big that he loved “the world.” Now this does not mean that God loved the planet earth. If you read the Gospel of John you will find that John uses the word “world” to mean the world in darkness, the world in rebellion against God—people in rebellion against God. If you glance back at the first chapter of the Gospel, it says the Jesus was in the world, but the world did not know him because it was all in spiritual darkness. Do you know how big God’s love is? It is so big that he loves people who want nothing to do with him. He loves people who hate him, or who are indifferent toward him. That is amazing!
Second, God’s love is so big that he gave his only Son to die for that world. Fathers love their children and would do anything to protect them. God did not protect his Son, but sent him to die for our sins, because that is the only way we can be saved. Jesus came and took our sins on himself and suffered cruel torture and death so that we could be saved and have our lives changed.
Third, God’s love is so big that it saves us from the most terrible thing that could ever happen to us. That is what John means here when he says, “shall not perish.” “Perishing,” here means one major thing: so that we will not die one day and spend eternity separated from God. A famous Christian named Augustine wrote a book in 397 AD in which you will find this prayer: “Lord, you made us for yourself, and our hearts are restless till they rest in you.” The Bible is clear that there are only two options after death: heaven or hell. God’s love is so big that he wants everyone to be in heaven, and not hell. And remember, that includes the “world,” people who do not like the God of the Bible. And it includes the fact that the only way to get them to heaven is through letting his only Son be killed for us.
**Did You Get It?**
1. How does God demonstrate His love toward us? *God’s love is so big that he gave his only Son to die for a corrupt and sinful world.*
2. How can we experience God’s love? *Tucked away in this verse is the one truth that will get you connected to God’s Big Love: Believe in Jesus! Trust in him to be your Savior. Then you can bask in the warm glow of God’s love for life and eternity.*
3. What now? *You can simply pray and ask God to forgive you and become the Lord and Savior of your Life.*
Close this session and get ready to hand out your Certificate of Achievement to the students.
***Please follow up with anyone that indicates that they accepted Christ and insure they understand the decision they have made and their next steps as a follower of Christ.*
CERTIFICATE
of
ACHIEVEMENT
This certifies that
This certificate has been awarded for the completion of all steps contained within the Student Outdoor Experience 3D Archery requirements to include all safety and how-to sections.
SOE LEADER
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INDIAN INSTITUTE OF TECHNOLOGY PATNA DEPARTMENT OF PHYSICS
Tutorial 6
05/02/21
PH103
1 The Earth's axis of rotation precesses about the perpendicular to its orbital plane with a period of 25810 yr. Calculate the torque on the Earth that is causing this precession.
2 Consider a cylinder moving parallel to its axis with velocity v in free space. A perturbing force F acts on the cylinder for time t. Find the angular frequency of rotation
a) Consider a cylinder spinning rapidly with angular momentum Ls moving parallel to its axis with velocity v in free space. A perturbing force F acts on the cylinder for time t. Find the angle through which the cylinder processes.
1|PagePLEASE TURN OVER (PTO)
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Creating a sustainable digital future
Annual Report 2022
Creating a sustainable digital future
By building flexible, scalable and secure digital solutions, Netcompany is positioned to drive Europe towards a sustainable future in a decade of digitalisation.
## In this report
### At a glance
- Netcompany in numbers
- Letter from the Chairman
- Letter from the CEO
- Financial highlights and key figures
### Our business
- Netcompany ambition
- Netcompany DNA
- Product suite
- People and talents
- Netcompany-Intrasoft
- Key trends
### Performance review
- Outlook
- Financial overview
- Operating entities
- Revenue visibility
- Capital
- ESG
- Shareholder information
### Governance
- Corporate governance
- Board of Directors
- Executive Management
- Remuneration
- Risk management
### Financial statements
- Consolidated financial statement
- Parent company financial statement
- Board of Directors and Executive Management statements
- Independent auditor’s report
- Formulas
- Company information
---
**Message from the Chairman**
Bo Rygaard comments on 2022 from a strategic point of view
**Watch the video**
https://www.netcompany.com/int/Investor-Relations/Annual-Report
**Message from the CEO**
André Rogaczewski comments on 2022 from a business point of view
**Watch the video**
https://www.netcompany.com/int/Investor-Relations/Annual-Report
**Other statutory reports**
As part of annual reporting Netcompany have also released the following
- **Remuneration report**
https://www.netcompany.com/int/Investor-Relations/Governance
- **ESG report**
https://www.netcompany.com/int/ESG
**Message from the CFO**
Thomas Johansen comments on the financial performance of 2022
**Watch the video**
https://www.netcompany.com/int/Investor-Relations/Annual-Report
At a glance
In this section
- Netcompany in numbers
- Letter from the Chairman
- Letter from the CEO
- Our business
- Financial highlights and key figures
Netcompany continued to grow in revenue, adjusted EBITDA and employees. In 2022, revenue grew 52.7%, while delivering an adjusted EBITDA margin of 20% and a tax normalised cash conversion of 90.9%. End of year headcounts grew to more than 7,500 employees.
Revenue: 5,545 DKKm (52.7%)
EBITDA: 1,112 DKKm (31.9%)
Employees at year end: 7,566 Headcounts (16.3%)
Adjusted EBITDA margin: 20.0%
Normalised cash conversion: 90.9%
Netcompany delivers society- and business-critical IT solutions that enable and support private and public customers in their digital transformation journeys towards a sustainable future.
Netcompany’s talented employees make it possible by moving forward sustainable innovation, one solution at a time.
+33
Employee satisfaction (eNPS)
26%
Gender diversity (26% female)
89%
Renewable energy share
Continuing growth in a challenging environment
Bo Rygaard
Chairman of the Board of Directors
In 2022, our focus in Netcompany has been two-fold. We have accelerated our work related to realising business benefits with Netcompany-Intrasoft, and we have prioritised completion of ongoing integration efforts in existing markets.
Watch the video from our Chairman
https://www.netcompany.com/int/Investor-Relations/Annual-Report
Coming out of 2021 and entering 2022, the initial expectation for the year was, to a certain extent, that 2022 would be far less extraordinary than the previous couple of years. This turned out not to be the case – far from it. With the increased geopolitical unrest in the eastern part of Europe, increased inflation and most recently the likely beginning of a period of recession, 2022 turned out to be as challenging and complex to navigate as 2021.
In 2022, we have been pleased with the performance of our latest acquisition, Netcompany-Intrasoft and have accelerated the ongoing projects to recap business benefits faster than originally planned. As a result, we won a significant number of large contracts both in the EU and in Greece, including contracts under the EU Resilience and Recovery Facility. We are excited to see the enthusiasm of our new colleagues from Netcompany-Intrasoft and the added business benefits the acquisition already offer our customers. With the acquisition of Netcompany-Intrasoft in 2021 and the existing markets entered into through previous acquisitions, we are keen to deliver value to our shareholders through these rather than making yet another acquisition. In addition, our home-base in Denmark continues to be an important market for the Group, where we believe growth opportunities still exist, which require our attention and focus.
We are of the firm belief that the adjustments made to the organisations in Norway and in the Netherlands, combined with the project cleanups made in the middle of the year, were the right actions to take despite the temporarily dilutive impact on earnings they had. Both in Norway and in the Netherlands we stand on a significantly improved platform with highly dedicated employees and strategically interesting projects that will pave the way for our continued growth ambitions in these countries.
Our operation in the UK has shown significant improvement during 2022. The growth opportunity for Netcompany in the UK remains significant, despite the gloomy macro-economic outlook for the UK. As a consequence we continue to focus on delivering highly complex solutions within key parts of the public administration.
Despite all the challenges we have seen in 2022, we have managed to deliver results in line with the original guidance set out in January 2022 realising revenue growth of 52.7% and an adjusted EBITDA margin of 20%. A significant part of the revenue growth was attributed to the acquisition of Netcompany-Intrasoft in 2021 that accounted for 37.8 percentage points of the growth, leaving organic revenue growth at 14.9% for the year.
Irrespective of our strong offering and positioning in the market we are looking into a recession for 2023 that will affect most companies including Netcompany. In that aspect we expect to grow organically between 8 % and 12% in 2023 and we expect to generate an adjusted EBITDA margin between 15% and 18%.
**Our communication with stakeholders**
We pride ourselves on being open, direct and transparent in all we do – both in relation to customers, employees, shareholders and other stakeholders. We noted that some of our communication with shareholders and the stock market participants in general could be improved and thus, we have introduced structured summary memorandums of all publicly available and previously communicated information and we have conducted a large and extensive
During 2022, we were nominated as one of three C25 companies in Denmark to receive the “Annual Report Award 2022” (“Årsrapportprisen 2022”) based on our Annual Report last year. While we ended as the runner up, I am proud of the recognition of the good work we put into making a comprehensive and detailed annual report that gives the reader a good and relevant overview of our business and performance.
**Our work as Board of Directors**
During the year, we have engaged in discussions and prioritisations of the strategic direction and the financial performance, risk management and general governance with Executive Management. As a result of these discussions we have worked with Executive Management in the articulation and enhancement of the “Go-To-Market” strategy based on a set of verticals that we expect will enable and support continued growth and lead to efficiency gains – not only for Netcompany – but also for our customers.
We have also performed an evaluation of our work as Board of Directors, particularly related to our ability to fulfil our fiduciary duties as a collective body. Our conclusion is that we believe that we collectively possess adequate and relevant competences and experiences to ensure proper oversight of Netcompany. We further concluded that our level of engagement with Executive Management was highly satisfactory.
**Capital Structure**
During the year, we executed two share buyback programmes with a total value of DKK 100m and repaid DKK 350m of the company’s debt bringing leverage from 2.7 times at the beginning of the year to 1.6 times at the end of 2022. We expect cash flow to be stronger in 2023 and will primarily use free cash flow generated to bring our debt further down.
“Based on **continued strong cash flow** we expect to **deleverage significantly** in 2023”
Bo Rygaard
Chairman of the Board of Directors
Despite yet another challenging year for Netcompany - and Europe for that matter, with significantly increased geopolitical uncertainty, high inflation and a glooming recession awaiting in 2023, we delivered strong results, and grew 52.7% and realised a margin of more than 20% - in line with our guidance set out back in January 2022. Once again, I am deeply amazed by the performance our world class employees deliver together with our customers that bring industry leading solutions to life.
Watch the video from our CEO
https://www.netcompany.com/int/Investor-Relations/Annual-Report
Unlike in 2021, where we made a large transformational acquisition of Intrasoft, our focus for 2022 has to a much higher degree been on advancing and accelerating our existing businesses – not only in Denmark but also in Norway, the UK and the Netherlands, and naturally to increase the existence of joint projects between Netcompany-Intrasoft and the rest of the Netcompany Group.
At the end of 2022, we were more than 7,500 talented employees in Netcompany with skills to drive digitalisation further in Europe – not only in the short term but also with a longer perspective. We strongly believe in our focus on digitalisation to be the very foundation to enable Europe in its continuous development of wealth and prosperity, while continuing to be a free and strong democracy. With the solutions and platforms that we have developed in Netcompany, we see ourselves as stewards of the continued European digitalisation.
In 2021, we structured our Govtech Framework and flexible platform engineering approach, and with the additional platforms and products from Intrasoft now being part of our total offering, we are ready to enhance our platforms even further with a new and more structured “Go-To-Market” approach, focusing on a high degree of re-usability in the initial sales approach and in the subsequent implementation effort. We will focus on eight initial industries – both in the public and the private segment across all of our operations in Europe. This is a significant investment for the company that is also reflected in our expectations for margin in 2023. However, we remain fully convinced that the “Go-To-Market” approach, targeting industries and utilising already existing platforms and products, will be a strategic advantage to Netcompany. These offerings help governments and businesses across markets, pave the way for a successful and sustainable business model in the future, leading to better scalability and efficiency gains.
**Accelerating digital transformation of societies**
During the year, Netcompany has been a key driver of continued digitalisation – both in the public and the private sector. In the public sector the continued challenging development in the demographics of societies paired with the increased insecure geopolitical situation has underpinned the need for effective and robust digital transformation projects.
We have worked with a number of tax administrations in different European countries to ensure that the basis for a well-functioning welfare system is upheld through continued renewal of system infrastructure and solutions. This is often building on relationships and solutions already sold by Intrasoft in previous years. The same goes for our focus into the customs area, where all EU member states have to comply with the EU Unified Customs Code regulation, some by the end of 2023 and others by 2025.
Our presence within the private segment is to a large degree still rooted in our Danish operation based on strong and long relationships with leading enterprises such as Novo Nordisk, TopDanmark and Copenhagen Airport to mention a few.
The common denominator for the projects embarked on in the private sector has been reduction of Opex via an initial investment in Capex. In simple terms this means that the only way many large enterprises can optimise the running of their operation is through investment into new digital solutions and platforms unlocking value and potential. In a recession scenario such investments will become even more acute as they will be defining which enterprises prevail and which will go out of business.
"At the end of 2022 we were more than 7,500 talented employees in Netcompany with skills to drive digitalisation further in Europe – not only in the near term but also with a longer perspective."
We are recognised and positioned as a highly valued partner in delivering complex technology transformation to support both private and public businesses throughout Europe, which, in the uncertain times ahead of us, gives me a belief in our ability to prevail as a winner on the other side of the uncertainty.
**Optimising performance throughout the Group**
We have focused our efforts on ensuring strong operational capabilities in both the Norwegian and Dutch operations and we are confident that these will yield noticeable results in 2023. We have further expanded our footprint in the UK market and delivered strong growth during the year. We expect the UK to be a significant growth driver for the Group in the near term given the sheer magnitude of the market and our strong references based on impeccably well executed project deliveries during the year.
Performance in Netcompany-Intrasoft has been strong and we have seen an increased exchange of ideas and knowledge between employees throughout the entire Group based on the platforms and products already developed. Further, our offerings towards the EU, other EU countries and the Greek home market of Netcompany-Intrasoft have strengthened during the year.
**IT people leading IT people - in a structured "Go-To-Market" approach - the core of our future success**
IT people leading IT people is a guiding principle in Netcompany and constitutes a unique differentiator creating high value for our customers.
To ensure that we can meaningfully scale this approach throughout Europe we are excited about our significant investment into the new “Go-To-Market” approach as we believe this will bring additional new customers to Netcompany, enhance our footprint with existing customers and at the same time impose a more efficient operation – to the benefit of both Netcompany and our customers.
To realise that potential, we are dependent on attracting new talent. It continues to make me proud that so many great people share our vision and pursue a career in Netcompany. In times of increased uncertainty and a recession in the horizon Netcompany will still be a natural place for outstanding talents with IT competences to seek into in order to fulfil their ambitions. I am therefore pleased to have welcomed more than 2,400 new employees to
Netcompany during the year throughout the Group. Our reputation as a leading IT company with exceptional career opportunities to IT professionals supports our high demand for new recruits – not only in Denmark but throughout the entire Group.
I am also pleased to see the eagerness and motivation from both the Danish part of Netcompany and the new colleagues from Netcompany-Intrasoft, when working together on joint projects, especially within the customs area. This will be transformational – not only for Netcompany but also for the customers we serve.
We will continue to invest significantly in our people, our training activities, and social company events to always stay among the best places to work for IT professionals.
I am enthusiastic about the future and confident in our vision to become a European leader.
*André Rogaczewski*
CEO and Co-Founder
Netcompany ambition
Netcompany’s ambition is to become a market leader within IT services in Europe.
Three main pillars have been defined to realise the Netcompany ambition:
- Land and expand in Europe
- Utilise platforms and products
- Export and implement our business model
Netcompany DNA
Netcompany’s DNA is driven by the purpose to help customers become successful and sustainable.
The Netcompany DNA is composed of three unique strings:
- Unique delivery capability
- Unique domain insight
- Unique technical foundations and platforms with high level of reusability
Product suite
Netcompany product suite aims to accelerate deliveries to industries within both the private and public segment.
Read more page 24
People & talents
The backbone of Netcompany is and has always been the employees and the talent they possess.
Read more page 27
Netcompany takes a threefold approach to the employee learning environment.
Centres of Excellence
Netcompany’s Centres of Excellence are at the very core of the organisation and is where best practices and solutions are shared.
Global Mobility
Netcompany offers the opportunity for employees to work abroad.
Netcompany-Intrasoft
Update on the largest acquisition in Netcompany’s history
Joint projects will gradually transform Netcompany-Intrasoft into Netcompany Core by implementing the Netcompany Methodology.
Netcompany Core entails
- Netcompany Denmark
- Netcompany Norway
- Netcompany UK and
- Netcompany Netherlands
Netcompany Expand entails
- Netcompany-Intrasoft acquired in October 2021
Key trends
In a challenging year for Europe, Netcompany have remained focused and agile to accommodate customer needs.
External
- Inflation
- War in Europe
- Green projects
- Digitalisation and standardisation
Internal
- Integration-Methodology
- Superior IT leadership
- Tax compliance
- Go-To-Market approach
## Financial highlights and key figures
### Income statement
| | 2022 | 2021 | 2020 | 2019 | 2018 |
|----------------------|--------|--------|--------|--------|--------|
| Public revenue | 3,594.9| 2,210.4| 1,777.7| 1,455.5| 1,152.1|
| Private revenue | 1,949.7| 1,421.6| 1,060.9| 998.3 | 901.1 |
| **Revenue by segments, total** | **5,544.6** | **3,632.0** | **2,838.6** | **2,453.9** | **2,053.2** |
| Development revenue | 2,640.2| 2,302.4| 1,517.0| 1,257.7| 1,005.4|
| Maintenance revenue | 2,876.1| 1,328.0| 1,321.6| 1,196.1| 1,047.8|
| License revenue | 28.3 | 1.5 | 0 | 0 | 0 |
| **Revenue by type, total** | **5,544.6** | **3,632.0** | **2,838.6** | **2,453.9** | **2,053.2** |
| Organic revenue | 4,172.8| 3,346.4| 2,812.4| 2,416.5| 1,777.5|
| Non-organic revenue | 1,371.9| 285.6 | 26.2 | 37.4 | 275.7 |
| **Revenue by growth, total** | **5,544.6** | **3,632.0** | **2,838.6** | **2,453.9** | **2,053.2** |
| Special items | 0.0 | -37.7 | 0.0 | -4.4 | -34.5 |
| Adjusted EBITDA | 1,106.2| 880.9 | 809.4 | 673.6 | 554.6 |
| EBITDA | 1,112.1| 843.0 | 809.4 | 669.2 | 520.1 |
| Adjusted EBITA | 967.6 | 793.2 | 744.4 | 617.4 | 514.2 |
| EBITA | 973.5 | 755.3 | 744.4 | 613.0 | 479.7 |
| Operating profit (EBIT) | 839.4 | 703.8 | 644.9 | 511.3 | 364.3 |
| Net financials | -69.9 | -33.4 | -47.0 | -14.0 | -108.7 |
| Net profit | 602.8 | 574.3 | 321.9 | 388.5 | 181.2 |
### Financial position
| | 2022 | 2021 | 2020 | 2019 | 2018 |
|------------------------------|--------|--------|--------|--------|--------|
| Investments in tangible assets | 52.2 | 46.2 | 23.9 | 24.6 | 22.9 |
| Investments in intangible assets | 118.0 | 11.3 | 0 | 0 | 0 |
| Total assets | 7,193.9| 7,021.1| 4,039.4| 3,727.6| 3,485.4|
| Equity | 3,526.9| 3,037.9| 2,428.6| 2,071.7| 1,806.3|
| Dividends paid | 0.0 | 49.1 | 0 | 0 | 0 |
| Net increase in cash and cash equivalents | -117.3 | 93.5 | 233.6 | 23.6 | -85.3 |
### Cash flow figures
| | 2022 | 2021 | 2020 | 2019 | 2018 |
|------------------------------|--------|--------|--------|--------|--------|
| Cash flow from operating activities | 773.0 | 465.6 | 580.9 | 460.3 | 186.4 |
| Cash flow from investing activities | -244.3 | -1,254.5| -101.6 | -73.3 | -27.2 |
| Cash flow from financing activities | -646.0 | 882.4 | -245.7 | -363.4 | -244.6 |
| Free cash flow | 602.7 | 408.0 | 557.0 | 435.8 | 163.6 |
| Net increase in cash and cash equivalents | -117.3 | 93.5 | 233.6 | 23.6 | -85.3 |
### Earnings per share
| | 2022 | 2021 | 2020 | 2019 | 2018 |
|------------------------------|--------|--------|--------|--------|--------|
| Earnings per share (DKK) | 12.27 | 11.73 | 6.56 | 7.91 | 3.65 |
| Diluted Earnings per share (DKK) | 12.15 | 11.59 | 6.53 | 7.89 | 3.65 |
### Employees
| | 2022 | 2021 | 2020 | 2019 | 2018 |
|------------------------------|--------|--------|--------|--------|--------|
| Average number of full-time employees | 6,906 | 3,787 | 2,768 | 2,293 | 1,861 |
### Financial ratios
| | 2022 | 2021 | 2020 | 2019 | 2018 |
|------------------------------|--------|--------|--------|--------|--------|
| Revenue growth | 52.7% | 27.9% | 15.7% | 19.5% | 45.0% |
| Gross profit margin | 32.0% | 36.7% | 40.7% | 40.6% | 39.8% |
| Adjusted EBITDA margin | 20.0% | 24.3% | 28.5% | 27.5% | 27.0% |
| EBITDA margin | 20.1% | 23.2% | 28.5% | 27.3% | 25.3% |
| Adjusted EBITA margin | 17.5% | 21.8% | 26.2% | 25.2% | 25.0% |
| EBITA margin | 17.6% | 20.8% | 26.2% | 25.0% | 23.4% |
| Operating profit margin | 15.1% | 19.4% | 22.7% | 20.8% | 17.7% |
| Effective tax rate | 20.3% | 21.1% | 28.7% | 21.9% | 29.1% |
| Return on equity | 18.4% | 21.0% | 14.3% | 20.0% | 10.5% |
| Solvency ratio | 49.0% | 43.3% | 60.1% | 55.6% | 51.8% |
| ROIC | 12.0% | 14.8% | 11.2% | 13.6% | 6.6% |
| ROIC (Adjusted for Goodwill) | 36.6% | 54.1% | 53.7% | 58.4% | 27.9% |
| Cash conversion ratio | 85.2% | 66.4% | 139.4% | 93.2% | 60.3% |
Above figures have been calculated in accordance with formulas on page 146.
Our business
In this section
- Netcompany ambition
- Netcompany DNA
- Product suite
- People and talents
- Netcompany-Intrasoft
- Key trends
Netcompany’s ambition is to become a market leader within IT services in Europe by 2030. To succeed, Netcompany focus on the following main pillars:
**Land and expand in Europe**
Netcompany will focus on expanding market share and enter new countries in Europe, either by larger acquisitions where scale is instantly achieved based on existing products and customers or through organic build up based on specific new customer wins that will yield significant projects at establishment in a given new country.
At the same time Netcompany will continue to focus on attracting the best talent, educating them rigorously, ensuring quality “side by side” training with more experienced colleagues and optimising sourcing of talent throughout the Group.
**Utilise platforms and products**
A key part of the Netcompany delivery model is to use common tools and methodologies for developing and documenting new solutions, which have secured a wide portfolio of platforms that are possible to utilise across different sectors.
Netcompany will be able to present flexible, well proven and relevant solutions that comes with pre-defined logic and capabilities, which will significantly reduce time to market, and in turn reduce customers total cost of ownership. Netcompany firmly believe this to be a differentiating factor yielding a real and tangible advantage when competing for new projects in both public and private segment.
**Export and implement our business model**
The way Netcompany operates, develops and implements complex solutions is unique and difficult to emulate – if at all possible. The Netcompany methodology is implemented throughout a large part of the Group and in larger acquisitions the methodology will be applied on new joint projects won between Netcompany and the acquired company, thereby gradually transitioning the methodology to that of Netcompany.
Establishment into smaller markets will be greenfield whereas transformational acquisitions are only expected if they add products/platforms and customers that will accelerate growth in both the new and existing larger markets.
In special cases, smaller “bolt-on” acquisitions, based on getting access to specific products and technologies, in existing markets, could be relevant.
Spearheading innovation by protecting intellectual property rights
Intellectual property rights are fundamental for businesses to innovate and thrive. And they strongly benefit the European economy, as the industries involved play a crucial role in the prosperity of EU member countries.
The European Union Intellectual Property Office (EUIPO) helps businesses across Europe and the world protect their innovations and inventions through design registrations and trademarks. If their unique designs and trademarks are not protected in all regions where they operate, businesses risk their ideas being stolen or misused. Similarly, businesses also need to know that their own inventions are unique and have not already been trademarked or registered by someone else.
The EUIPO is the organisation that safeguards both. Every year, the organisation registers close to 200,000 trademarks. This is made possible by the best-in-class platforms, tools and services that enable the public to check for or register trademarks and designs at both a European and international level.
Netcompany supports the EUIPO with IT services that use the latest technologies to enable their day-to-day operations. Netcompany is also supporting the implementation of EUIPO’s 2025 Strategic Plan for an intellectual property excellence hub that will assist European businesses to become more competitive in an ever more global and digital environment.
Every year, the organisation registers close to 200,000 trademarks. This is made possible by the best-in-class platforms, tools and services.
Netcompany DNA
In a challenging time with high inflation, energy crisis and war, Netcompany maintains focus on the long term ambition to help build strong sustainable societies and successful companies and ultimately create better lives for everyone.
The Netcompany DNA is composed of three unique strings
Unique delivery capability
From home markets, Netcompany bring a unique way of working and a track record of delivering on time, on budget and with high quality.
Unique industry insight
The focus will be on sectors with a digital ambition, understanding their business domain and all relevant new technology adoption.
Unique technical foundations and platforms
With a constant desire to reuse, Netcompany has built a strong library of technical platforms, accelerators and components to lower risk and ensure efficient and reliable implementation.
In the past two decades Netcompany has gained a large and unique knowledge in several industries, while realising high growth, based on a solution oriented work model with a strong proof of client successes and a superior talent model with IT leaderships.
Over time, Netcompany has become a trusted advisor to governments across existing markets, and proven its ability to deliver across markets. That trust have been mirrored with large private enterprises particularly in Denmark. In addition, Netcompany also built a wide portfolio of platforms and technical foundations, which combined with strong delivery expertise lay the fundament for the future success of Netcompany.
Netcompany has over time built a large part of the Danish critical IT infrastructure across public industries, and remains focused to improve and ensure that the Danish public infrastructure is best in class.
Industry insight
Netcompany has carefully selected 4+4 industries (4 in public and 4 in private) through market segmentation by spend, fit-of-offerings and existing relationships combined with market maturity assessments. The selected target industries will be our main focus areas for growth, while a general opportunistic sales approach is maintained.
Core libraries of codebase and operational guidelines in the foundations as well as technologies and platforms such as Govtech, Digital Post, Digital Wallet, Ermis, Icarus, E-Hospital, Profits, DX4B, Airhart and Pulse will work as accelerators for growth in these selected industries.
To ensure focus on targeted industries, Netcompany has reorganised and introduced new roles and will be adding additional experienced industry leaders to push and support sales across markets, assets, and platforms to accelerate growth.
While Netcompany is already at an advanced stage given the platforms developed so far, the introduction of an industry focus will require investments in 2023 - and beyond - to fully realise the expected benefits.
"Go-To-Market" approach
Based on domain insight, Netcompany has structured a "Go-To-Market" approach driven by the purpose to help governments and businesses across markets to become successful and sustainable. The purpose is key in the way Netcompany do business and support additional industry focus through Industry Leads.
Industry Leads – globally and locally – are dedicated to sharing knowledge within the industry, across markets and between customers, hence Netcompany, in collaboration with customers and industries, seek to be part of the innovation and enhancement of the entire industry and thereby also become the "partner of choice" for customers.
This is a result of 20+ years of knowledge and several large complex deliveries within selected industries, which have given Netcompany the possibility to build a wide portfolio of foundations and platforms and further enriched Netcompany with the knowledge and insight into several industries/domains.
Netcompany's outside/in focus is essential to identify tenders and projects early in the process and enable a strong dialogue with customers. This will also contribute to gain further knowledge about customers within targeted industries, and at the same time make it feasible to build a strong purpose in each target industry and utilise the right people to innovate on technologies and platforms as soon as a possible demand becomes apparent.
Unique platforms, combined with strong references, embassy partnerships, world class events and costumer to costumer meetings organised internally, has positioned Netcompany with the ability to retain, renew and expand customers and increase share of wallet.
Composable platforms
Netcompany has in the last couple of years introduced composable platforms such as the Govtech platform, Composable Enterprises and with the acquisition of Netcompany-Intrasoft expanded the portfolio of platforms to reuse and work as a foundation.
This modular design of composable platforms enables customers to “recompose” when needed, increasing competitiveness while strengthening resilience to changing business environments.
The structure of composable platforms and the building blocks for more standardised product offerings is based on common foundations.
The key benefits from composability are:
**Flexibility**
Pick and choose from the modules you want to create unique system verticals.
**Best-of-need**
Reduce complexity and pay only for what your business truly needs.
**Rapid innovation**
Build, test and release more rapidly. Fluid configuration and frequent releases replace big bang releases.
**Independence**
Avoid monoliths, legacy build-up and vendor lock-in. Easier to attract new IT talent.
**Business-IT continuum**
Stronger alignment between business and IT, resulting in more cohesive applications.
Foundations
To scale the Netcompany delivery mechanism, Foundations have been introduced. These are reusable core libraries that will be the foundation of all new customer solutions going forward. Foundations are to be implemented on all Netcompany deliveries during the coming years.
The Netcompany Foundation will work as a solid common starting point for all new projects and not only include a production proven codebase, but also include support/guidelines for technical functionality including transactions, logging, security, configuration etc.
The foundations are well documented architecture, built, tested and operated by a central team dedicated to maintaining and constantly improve and ensure that the technologies and operational guidelines are updated to best practice. In addition, delivery quality assurance processes ensures that Netcompany methodology is applied effectively across all projects and technologies as well.
By using a standardised “starter kit” for customer solutions Netcompany will accelerate deliveries, and customers will stand on the shoulders of solutions already delivered and in production. This will give Netcompany the opportunity to focus on the customer needs, not blurred by technology and allow long term efficiency growth.
The foundations will also improve the internal delivery culture in Netcompany, hence terminology will become more clear, and pop up courses and “Centres of Excellence” will be used to a higher extent than previously.
Focus on customer needs - not technology
Production ready code
Proven architecture
Performance tested
Security tested
Scalable
Stable and reliable code
Reference application
Get off to a quick start
Improved delivery timescales
Re-use across solutions
The right choices have already been made
Detailed design
Programming guidelines
Installation guide
Maintenance guide
Technical infrastructure
Software architecture
Clear terminology
Pop-up courses
Integrated in CES & TPS
Established activeCoE
Product suite
Netcompany product suite will accelerate deliveries and will constantly be updated and maintained to meet the demand in target industries.
By delivering large complex projects to public and private customers in different European markets over the last 20+ years, Netcompany has built a wide knowledge base and portfolio when it comes to IT solutions. The domain know-how, and technologies developed, covers many industries, some more complex than others.
Platforms and technologies
In recent years, Netcompany has allocated resources to develop and maintain platforms and technologies that have been delivered and proven to customers in both the public and private sector.
In 2022, Netcompany has intensified focus on target industries selected on the basis of market capacity, maturity assessments and internal know-how, technologies and relations.
By continuously adding functionality, and by standardising the platform offering to the extent possible, Netcompany is able to deliver both society critical IT solutions embarking on the digital transformation and innovative and unique solutions that comes with predefined logic and capabilities.
These solutions are faster to implement and flexible enough to scale and adapt, which will reduce time to market and have the characteristic of standardised products and platforms.
The domain know-how and product suite will work as accelerators and assists stakeholders to improve the digital agenda within each industry.
Centre of Excellence ensures that the product suite is up to date and in accordance with the best practice.
Netcompany industries and current product suite offering
**Tax and Customs**
Netcompany-Intrasoft have more than 20 years of know-how in the EU institutions (TAXUD) and WCO policy frames and offer the ‘ERMIS’ and ‘Proteus’ platforms configured and adapted to use in Customs authorities system landscape. In addition, the ‘Netcompany Tax’ platform covers taxation with an integrated solution to manage revenue collection and taxpayer compliance, social securities and pensions.
**Public Safety**
Netcompany solutions support citizens and public safety officers at border controls, prisons, patrol cars and immigration authorities in safeguarding communities. Netcompany’s products and platforms enable authorities to perform important tasks such as registration of immigrants and immediate response to urgent events like terrorism.
**Healthcare**
Netcompany has during the pandemic assisted governments in several markets developing the corona passports and furthermore taken part in digitising hospitals with focus on home hospitalisation and modernising hospital operations in a matter that changes the entire way of operating a hospital.
**Digital Government**
The Group have a highly configurable functionally complete Digital Government product suite with the Govtech framework, Digital Post platform, ‘Mit.dk’, Social security platform, ‘PERSEUS’ and knowledge from many large complex deliveries for critical IT infrastructure.
**Transportation and logistics**
Netcompany has together with Copenhagen Airport entered a joint venture in developing a digital airport. This platform, ‘Airhart’, has afterwards been adapted to also support the digital transport and logistic across other industries than airports.
**Telecoms**
The Group have extensive know-how combined with scalable platforms and solutions ready to assist European telecom operators with digitally transforming their BSS/OSS ecosystems. Offerings are based on executing multilayer framework contracts with major European telecom operators.
**Finance**
Based on deep banking experience and the robust core banking platform “PROFITS”, Netcompany-Intrasoft has developed “DX4B”; a standardised, future proof, cloud-based banking & finance system used to provide modern solutions for Electronic Money Institutions, Neobanks & Fintechs, Credit Services, etc. The digital platform “Mit.dk” is also to be utilised within Finance.
Drawing on 20+ years of experience working with customs authorities and the EU, Netcompany helped Toldstyrelsen deliver before the deadline set by the European Union Customs Code, requiring all customs procedures to be made digital by 2025.
Toldstyrelsen’s task is to make it easy for citizens and businesses to pay the correct customs duty and to safeguard Denmark against the import of illegal and harmful goods. Historically, this meant people had to follow complex, paper-based procedures. Toldstyrelsen needed a modern and efficient digitalised system to simplify Danish customs procedures and comply with new EU rules.
Drawing on 20+ years of experience working with customs authorities and the EU, Netcompany helped Toldstyrelsen deliver before the deadline set by the European Union Customs Code, requiring all customs procedures to be made digital by 2025.
The new Declaration Management System supports Toldstyrelsen’s vision of ensuring correct settlement, easy trade and effective control of goods. It is built using flexible and future-proof architecture, which allows for scalability and full performance and accommodates the anticipated increase in annual customs declarations. The system also enables the biggest postal and carrier suppliers to be quickly onboarded, so they can manage their customs declarations more effectively than the old solutions.
Apart from building the procedure system, Netcompany has also trained Toldstyrelsen’s Customs Officers in its use – to make sure that the skills and expertise are there to make the transition from paper-based to digital procedures as smooth as possible.
People and talent of Netcompany
The backbone of Netcompany is and has always been the employees and the talents they possess. The complexity of delivering best-in-class IT-solutions requires the top IT-talent available and a continuing development of employees.
Talents
It is not only the individual employee’s responsibility to utilise and develop their talents, it is also up to Netcompany to create an environment that allows each employee, regardless of personal circumstances, (cultural background, ethnicity, gender, sexual orientation etc), to thrive and unfold their talent.
Creating the optimal environment for employee’s talent utilisation is beneficial, both to the company and for the individual employee. Maximum talent utilisation contributes to Netcompany’s primary goals – “On time, budget and scope”.
Simultaneously, maximum talent utilisation benefits the individual employee aiding their personal development and growth and building a strong platform for current and future career and life.
Being a people and knowledge based company, the ability to retain talent is a key objective. Therefore, Netcompany has built a company culture that combines personal growth, wellbeing, and the sense of belonging with a best-in-class learning environment and a strong performance culture.
Netcompany Academy is a well structured merit based career development programme.
Netcompany takes a threefold approach to the employee learning environment.
**On-the-job training**
Utilising the knowledge and talent of Netcompany employees and enabling them to pass this on to new talents in Netcompany, is an important strategic tool to ensure a quick onboarding process and minimising the time it takes before an employee is ready to contribute to the deliverance of the Group’s complex IT-projects.
Netcompany has faith in new employees and trust them to contribute from the beginning, but no one is on their own in Netcompany. Under the guidance of one of the many masters in Netcompany, both new and more senior employees will be learning on the projects and continuing to develop their IT skills and talents. As the knowledge and skills of the employees develops, the corresponding tasks, area of responsibility etc. continuously changes to match the skill level and to challenge employees to reach the next level. This process is ongoing throughout every employee’s career.
**Peer to peer**
Netcompany makes use of direct career coaching from senior peers or managers. Every employee is assigned a mentor, that will support the mentee in their career development and will make sure that the mentee continuously improves and prepares for the next career step.
The mentor provides a real-life visualisation of the career opportunities in Netcompany and through that provides career inspiration for the mentee. The mentor will also provide the mentee with a long-term relationship with a senior colleague, that can act as an anchor in a fast-paced and continually expanding organisation.
**Academy**
The peer-to-peer and on the job training does not stand alone. All Netcompany employees are enrolled into the Netcompany Academy. The purpose of the Netcompany Academy is to support the continuous development and progress within the group and ensure that every employee’s IT-toolbox is equipped with the necessary tools to solve every complex task of the next generation IT-solutions.
Netcompany Academy is comprised of several different learning modules. These learning modules are designed in a way, so that time and content are tailored to the individual employee’s career progression and are linked to the Netcompany career models, career paths and specific roles. Netcompany Academy plays a key role in ensuring continuous career development and progression for employees. The aim is to align the academy progress to each individual employee’s preferred pace, personal interest and aspiration.
Sharing of knowledge is something Netcompany care about.
The Centres of Excellence are at the very core of the organisation and are professional communities where best practices and solutions are shared within a wide range of technologies, platforms and disciplines with each other – across business areas, projects and geographical borders.
These knowledge sharing communities bring together different expertise and know-how and functions as a strategically important tool, that strengthen cooperation and help to propagate and shape the Netcompany way.
Netcompany Culture
**IT people leading IT people**
At Netcompany, IT people lead IT people. This unique aspect has been the root of Netcompany’s success and is something that Netcompany is proud of. Netcompany believe that people with an IT background are the most qualified to steer IT projects and ensure that the customers are satisfied with the result.
**Netcompany office location**
Netcompany strongly believe in the value of a modern and inclusive office location to create a strong and inspiring working environment. While also embracing a hybrid working model including virtual teams, Netcompany believe in the value of the office location as an accelerator to build a solid company culture.
**Award high performers**
Netcompany believe in awarding high performers. If an employee makes a substantial contribution to the deliverance of a project and continuously show a high degree of motivation, skill, ambition, and overall embrace the Netcompany way and culture, the employee should be awarded in accordance with their contribution to the Group.
Awarding high performers acts as motivation towards new and current employees, by displaying that dedicated work pays off and simultaneously functions as a retention tool towards employees, since it is living proof that dedicated work and achievements will be adequately rewarded.
**Netcompany After Dark**
It is Netcompany’s belief that getting to know each other outside of work will create a better work environment with improved cooperation and a high level of job satisfaction.
Netcompany After Dark is the social clubs of Netcompany. After Dark offers a wide variety of clubs, that are created and run by employees and Netcompany encourages participation and creation of new clubs if anyone is holding on to a bright idea. People across departments get together to play their favourite sport or plan and host social event and parties, all the while creating long lasting connections and friendships.
**Employee Resource Groups**
During 2022, Netcompany introduced Employee Resource Groups (ERG). These are voluntary, employee-led groups of employees who share characteristics or life experience – or are valued allies. Netcompany aspires to drive inclusion and belonging in the workplace, which was the main reason for the creation of the ERG initiative.
This initiative will aid in the creation of a more inclusive work environment by identifying and addressing blind spots and areas of improvement related to an inclusive workplace. Each individual ERG is focused on one specific area where a diversity and inclusion perspective is applicable. This single focus ensures that no areas are neglected, and the adequate resources are allocated to tackle any potential diversity and inclusion concern, or improvement identified by the ERG.
Building a greener future: DuboCalc calculates and reduces the environmental impact of construction projects
Smarter solutions are a must for a greener tomorrow. To ensure more transparency and pave the way for more sustainable solutions in construction projects, Netcompany is working with Rijkswaterstaat to manage, maintain and host DuboCalc: a tool used to calculate the impact of materials and methods used in the construction lifecycle – from extraction to demolition and recycling.
Rijkswaterstaat, the implementing organisation of the Dutch Ministry of Infrastructure and Water Management, are responsible for the design, construction, management and maintenance of the Netherlands’ main infrastructure facilities, including water, roads and the environment.
Rijkswaterstaat is committed to supporting a more sustainable living environment – for a greener tomorrow. To ensure more transparency and pave the way for more sustainable solutions in construction projects, they have developed DuboCalc: a software tool that calculates the environmental impact of material, a construction or construction method. It calculates all effects of material and energy from cradle to grave.
Rijkswaterstaat uses DuboCalc as one of the instruments for fulfilling the BPKV sustainability criterion. Rijkswaterstaat’s challenge is to make sure the Environmental Cost Indicator (MKI) calculations can be reproduced accurately over the next 10 to 15 years, no matter which version of DuboCalc is used to generate them.
Over the next three years, Netcompany will help Rijkswaterstaat future-proof DuboCalc, by managing, maintaining and hosting all the different versions and advising on how to build a new and improved platform.
“We look forward to our continued collaboration with Netcompany as they manage, maintain and create further developments of DuboCalc – enabling users to evaluate the sustainability and environmental costs and choose the most sustainable solutions.”
— Gerben Jimmick, Business Information Manager, Rijkswaterstaat
Update on the largest acquisition in Netcompany Group
Netcompany-Intrasoft
A strong foothold for digitalisation to accelerate in Europe
Strategic update
The strategic rationale behind the acquisition of Netcompany-Intrasoft remains intact. During 2022, this has been demonstrated through better opportunities to enter/win tenders, even in markets with no foothold. The improved joint competences and capabilities have strengthened the Groups market position and will over time work as an accelerator to improve the financial performance for the Group.
In 2022, the Group took advantage of the expected sales synergies and entered large EU projects, which would not have been possible without the combined knowledge.
Joint projects
One of the strategic priorities in the post-acquisition integration, is the engagement into new joint projects between Netcompany Core and Netcompany-Intrasoft, and during 2022, several joint projects between Netcompany Core and Netcompany-Intrasoft were initiated. These projects covers both private, public and EU segments, some based on the product suite described on page 25.
Platforms
With the inclusion of Netcompany-Intrasoft additional platforms were introduced to the Group. While Netcompany-Intrasoft continued utilising the platforms on their engagements with existing customers, Netcompany Core joined some of the teams in further development of existing platforms. Development of platforms is carefully chosen based on the overall Group target verticals and sales approach and driven by the demand seen in the market.
Business practices
Working together on joint projects or technologies also presents opportunities for improving business practices. During the development and deliverance of Netcompany’s best-in-class IT-solutions the immense knowledge and best practices from Netcompany-Intrasoft’s highly skilled IT-people will be adopted and integrated into the already established business practices of Netcompany.
Netcompany-Intrasoft is well established in delivering complex IT-Solutions within several European markets, including the European Union. This market position needs, at the very least, to be maintained, by utilising what is already working, while the Netcompany Methodology is mainly implemented on joint projects.
Update on the EU Recovery and Resilience Facility (RRF)
With 25 out of 27 Member States recovery and resilience plans endorsed by the EU Commission and the Council, the digital expenditure is estimated at 26% of the total recovery and resilience facility (RRF). Hence the original target was 20% of the total RRF of EUR 723.8bn, the actual plans add another EUR 40+bn equal to DKK 300+bn to the digital transformation to be spent between 2021 and 2026. Digital projects under the RRF thereby increased from around DKK 1,000bn to DKK 1,400bn.
In Greece, around DKK 20bn is scheduled to boost the digital transformation of the public sector and close to DKK 2.8bn for digitalisation of businesses over a five-year period. During 2022, Netcompany has entered several contracts under the RRF.
2022 was a challenging year for Europe with war in Ukraine, energy supply constraints and high inflation, all prompting an increased desire to digitalise.
**War in Europe**
The geopolitical tensions have created the need for a trustworthy European leader within IT services, Netcompany is not represented in Ukraine or Russia and thereby not directly exposed to the invasion of Ukraine, Netcompany has instead been engaged in providing tangible support to Ukrainian refugees fleeing to Poland. Netcompany supported HumanDoc in developing a case management system assisting specific needs for refugees such as legalisation of stay, legal consulting, medical support, social security, work permit registration etc.
**Inflation**
Inflation in Europe has reached the highest levels in decades as a result of the pandemic and broken supply chains. War in Ukraine has furthermore accelerated the global inflationary pressure on energy and commodity prices affecting all the markets Netcompany is present in.
Increased consumer and energy prices have not had any material impact on Netcompany directly until now. Looking into a recession in 2023 it is to be expected that both public and private customers will reduce spend to some degree at the same time salaries and costs in general are expected to be at elevated levels.
**Digitisation and standardisation**
As the amount of data has “exploded” in the past decade customers across all industries are keen to make their business more digitised to gain a better insight into their own business and customers. This has accelerated the transition into more digitised industries seeking standardised and at the same time flexible and scalable solutions.
Netcompany accommodates the demand with agile solutions and a wide portfolio of plug and play solutions in the Govtech Framework, Composable Enterprise Framework and further rapidly adaptable platforms and products.
**Green projects**
The dependency on energy and the consequence when supply is reduced, have accelerated the green transition, which have increased the interest in IT-projects and digitalisation. In addition, some customers require their business partners or projects to be “green” - either in a matter of more energy efficient solutions or actual ISO certifications.
Netcompany has always been looking into the most energy efficient solutions. In 2022, Netcompany entered a sustainable linked loan tied up to ESG KPIs and more than 80% of energy spent was renewable. Currently, Netcompany Denmark is in the process of getting ISO 14001 certified.
In 2022, Netcompany focused on completing the integration of Netcompany Norway and UK, and the continued turnaround of Netcompany Netherlands. In addition, focus on joint projects with Netcompany-Intrasoft accelerated during the year.
**Integration methodology**
Implementation of the Netcompany methodology is a prerequisite for the success in Netcompany Core. By cross utilising talents from the home market into acquired entities, Netcompany ensures that the career development model, integrated sales and decentralised management approach and agile delivery driven methodology will become the prime way of doing business.
The methodology is also applied to joint projects between Netcompany Core entities and Netcompany Expand.
**Superior IT leadership**
IT people leading IT people is a guiding principle in Netcompany and constitutes a unique differentiator creating high value for customers. Skilled and dedicated IT professionals are a vital factor for Netcompany’s continuous ability to deliver high quality solutions on time and on budget for the operating markets.
Netcompany aims to become a strategic business partner for customers by having skilled and dedicated IT professionals leading the projects, understanding the project both from a technology and business perspective.
**Go-To-Market approach**
To ensure that Netcompany can scale the delivery driven business model and continuously fulfil high growth expectations, Netcompany has initiated the implementation on a new Go-To-Market approach.
With this approach Netcompany will introduce target industries selected in respect of the capacity and scalability in each market and drive growth through these.
Netcompany will reuse platforms and products to the extent possible which will facilitate scaling and lead to efficiency gains.
**Tax compliance**
Netcompany has an ambition to provide transparent information on our tax approach and positions as taxes are considered an important part of our corporate social responsibility. Netcompany strive to comply with both global and local tax legislation and act as a “Good Corporate Citizen” from a tax payment perspective.
Performance review
In this section
- Outlook
- Financial overview
- Business segments
- Operating entities
- Revenue visibility
- Capital
- ESG
- Shareholder information
Outlook
2022 financial performance and 2023 guidance.
Financial performance against guidance for 2022
With the acquisition of Intrasoft International S.A in October 2021 a range of detailed performance metrics were introduced for 2022, with the ambition to create full transparency of the performance of Netcompany-Intrasoft as a standalone business. During the year, more business than anticipated was done as joint projects shifting revenue and margins from Netcompany Core to Netcompany-Intrasoft, making it less relevant to view performance against individual targets but rather focus on targets for the Group all together.
Group revenue grew by 52.5% in constant currencies in 2022 – well within the guided range of 48% and 56% as set out in the beginning of the year, and slightly above the narrowed guidance range between 50% and 52% as communicated in connection with the Q3 2022 report.
Group adjusted EBITDA margin in constant currencies was slightly above 20% - also in line with the original guided target of above 20% as set out in the beginning of the year and reiterated in connection with the Q3 2022 report.
| Financial metrics in constant currencies | Target 2023 | Actual performance 2022 | Updated target Q3 | Original target 2022 |
|-----------------------------------------|-------------|------------------------|-------------------|---------------------|
| Organic revenue growth in Netcompany Core | - | 13.7% | 14-16% | 14-19% |
| Group organic revenue growth | - | 14.7% | 14-16% | 13-18% |
| Non-organic revenue growth | - | 37.8% | 37-39% | 35-38% |
| **Group revenue growth** | **8-12%** | **52.5%** | **50-52%** | **48-56%** |
| Adjusted EBITA margin from Netcompany Core | - | 21.1% | 21-23% | >23% |
| Adjusted EBITDA margin from Netcompany Core | - | 23.7% | 23-25% | >25% |
| Adjusted EBITDA margin in Netcompany-Intrasoft | - | 11.9% | 9-11% | >9% |
| **Group adjusted EBITDA margin** | **15-18%** | **20.0%** | **>20%** | **>20%** |
Guidance for 2023
The financial guidance for the Group for 2023 is based on an assumption that Europe will be in a recession for part of the year. While it is expected that the demand for continued digitalisation of both societies and enterprises will continue to be present, it is inherently difficult to predict timing of new projects in a recession scenario, which is reflected in our expectations for 2023.
It is also anticipated that the recession will lead to more “wait and see” situations related to decisions on when to initiate new projects with our customers, which potentially will have negative impact on revenue growth and margin. It is further anticipated that price adjustments will be lower than underlying CPIs as a recessionary market makes large 1:1 CPI-based price increases difficult.
The Group does not expect any non-organic contribution to revenue growth or margin for 2023.
Fewer working days in Denmark, Norway and UK will have a negative impact on margin of around 0.5 percentage point.
Salary costs are expected to increase more than normal as a combination of regular salary increases and increase of variable remuneration. This will impact margin by around 1.5 percentage points.
The move to a new corporate headquarters in Copenhagen is expected to have a dilutive impact on margin of around 0.5 percentage point.
The introduction of the new “Go-To-Market” approach requires investments in 2023 and is expected to impact margin negatively by around 0.5 percentage point.
Investments into new office facilities for Netcompany-Intrasoft and investment into a common administrative IT infrastructure for Netcompany-Intrasoft is expected to impact margins negatively by around 0.5 percentage point.
Expected discontinuation of Netcompany-Intrasoft in Africa and the Middle East is of minor impact and is included in the guidance.
For 2023, Netcompany expects to grow revenue in constant currencies by between 8% and 12% and expect adjusted EBITDA margin to be between 15% and 18%.
Free cash flow from operations is expected to increase in absolute terms from the level of 2022. Free cash flow will for all material matters be used to deleverage the debt ratio of 1.6x end of 2022 significantly.
The Group does not expect to initiate any share buyback programmes or to pay out dividends during 2023.
Netcompany’s expectations for 2023 reflects an unprecedented uncertainty in Europe, not only related to macroeconomic factors but also to continued high uncertainty regarding the geopolitical environment in Europe as well as globally, which might have even further negative spillover effects on Europe.
Expected revenue growth: 8-12%
Expected margin for 2023 compared to realised 2022 margin:
- 2023 EBITDA guidance: 15-18%
- Increase of remuneration 2023: 1.5%
- New HQ in Copenhagen: 0.5%
- New HQ in Athens and investment into IT platform: 0.5%
- Fewer working days in 2023 in DK, NO and UK: 0.5%
- New “Go-To-Market” approach - resources and marketing: 0.5%
- 2023 EBITDA guidance based on 2022 “like for like”: 18.5-21.5%
- 2022 realised EBITDA margin: 20%
Switching energy suppliers smoothly: enabling a more efficient and competitive energy market in Britain
Switching energy suppliers in Britain used to be a complex process. It often led to delays, errors, frustrations and failure – which cost people money and led to a lack of trust. Netcompany has helped transform the nation’s energy industry, making it faster and more efficient to switch energy suppliers to the benefit of every household in the country.
Switching energy suppliers has, for many years, been a complex and slow process in Britain. That is why Ofgem, the independent energy regulator, partnered with the Data Communications Company to deliver the Faster and More Reliable Switching Programme, designed to make the switching process quicker and more consistent for consumers.
The Data Communications Company appointed Netcompany as the Faster Switching Programme’s SI in February 2019. The energy industry is complex, with many stakeholders, and each has its own challenges and objectives, including different systems and ways of handling data. We recognised early on that the Faster Switching Programme was not in itself overly complex. However, the number of parties involved created complexity. Netcompany has helped to make sure that all needs were considered, all design and data issues were overcome and ensured that solutions were workable.
Together with Ofgem and the Data Communications Company, Netcompany has created a solution that ensures a more efficient switching of suppliers, to the benefit of consumers. The result is a fast-switching ecosystem that has the potential to transform Britain’s energy industry and put users in control of their choice of supply.
Angus Flett, CEO of the Data Communications Company
“Next-day switching will put consumers in the driving seat whilst supporting the digitisation of Britain’s energy sector and helping the country achieve its Net Zero ambitions.”
## Financial overview
### Performance overview DKK million
| | 2022 (reported) | 2022 (constant) | 2021 | Change (reported) | Non-organic impact from Netcompany-Intrasoft S.A. | Change (constant) |
|----------------------|-----------------|-----------------|------------|-------------------|--------------------------------------------------|-------------------|
| Revenue | 5,544.6 | 5,538.9 | 3,632.0 | 52.7% | 37.8pp | 52.5% |
| Cost of service | -3,772.2 | -3,764.9 | -2,298.7 | 64.1% | 48.4pp | 63.8% |
| **Gross profit** | 1,772.5 | 1,774.0 | 1,333.3 | 32.9% | 19.5pp | 33.1% |
| **Gross profit margin** | 32.0% | 32.0% | 36.7% | -4.7pp | -4.3pp | -4.7pp |
| Sales and marketing costs | -41.0 | -41.0 | -36.7 | 11.7% | 13.4pp | 11.7% |
| Administrative costs | -763.9 | -761.2 | -503.4 | 51.7% | 28.6pp | 51.2% |
| **Adjusted EBITA** | 967.6 | 971.8 | 793.2 | 22.0% | 13.6pp | 22.5% |
| **Adjusted EBITA margin** | 17.5% | 17.5% | 21.8% | -4.4pp | -3.2pp | -4.3pp |
| Special items | 0.0 | 0.0 | -37.7 | -100.0% | 0.0pp | -100.0% |
| Other operating income | 5.9 | 5.9 | -0.2 | -33.0pp | -33.0pp | 169.9pp |
| **EBITA** | 973.5 | 977.7 | 755.3 | 28.9% | 14.8pp | 29.5% |
| **EBITA margin** | 17.6% | 17.7% | 20.8% | -3.2pp | -3.1pp | -3.1pp |
| Amortisation | -134.1 | -134.1 | -51.4 | 160.7% | 44.0pp | 160.7% |
| **Operating profit (EBIT)** | 839.4 | 843.7 | 703.8 | 19.3% | 12.7pp | 19.9% |
| **Operating profit margin** | 15.1% | 15.2% | 19.4% | -4.2pp | -2.8pp | -4.1pp |
| Net financials | -69.9 | -69.9 | -33.4 | 109.4% | 48.9pp | 109.2% |
| Fair value adjustments of contingent consideration | -7.9 | -7.9 | 78.9 | -110.0% | 0.0pp | -110.0% |
| Income / loss from investment in joint venture | -5.9 | -5.9 | -21.7 | -73.0% | 0.0pp | -73.0% |
| Income / loss, investment in associates | 0.8 | 0.8 | 0.0 | N/A | 0.0pp | N/A |
| **Profit before tax** | 756.5 | 760.8 | 727.6 | 4.0% | 10.1pp | 4.6% |
| Tax | -153.8 | -153.7 | -153.3 | 0.3% | 16.0pp | 0.2% |
| Effective tax rate | 20.3% | 20.2% | 21.1% | -0.7pp | 1.4pp | -0.9pp |
| **Profit** | 602.8 | 607.2 | 574.3 | 5.0% | 8.5pp | 5.7% |
Netcompany-Intrasoft, acquired at 31 October 2021, is not fully included in the reported figures for 2021 and the impact from Netcompany-Intrasoft for the period 1 January 2022 until 31 October 2022 is shown in the table as non-organic impact from Netcompany-Intrasoft, whereas impact from 1 November 2022 and onwards will be seen as organic impact.
Organically, Netcompany realised revenue growth of 14.9% and an adjusted EBITDA margin of 20%.
Netcompany Group
Revenue grew by 52.7% in 2022 (constant 52.5%) to DKK 5,544.6m. Organic revenue growth was 14.9% and non-organic revenue growth was 37.8% – in line with initial expectations for 2022 of total revenue growth of between 48% and 56%. The year was impacted by a number of events – some externally driven and some internally driven that all had a dilutive impact on both revenue and margins. Irrespective, Netcompany recorded a 20% adjusted EBITDA margin – also in line with initial expectation set out for 2022.
Continued strong demand for digitalisation services laid the foundation for continued growth in the public segment across all business areas, particularly in the UK, and continued growth in the private segment, particularly in Denmark.
Despite a challenging macroeconomic environment for most of 2022 – driven by a highly insecure geopolitical environment in Europe throughout most of the year as well as increased inflation with increased worries about recession in the second half of the year, the demand for digitalisation projects has remained intact in broad terms.
Netcompany attracted more than 2,400 new employees to the Group in a labour market that has seen a significantly changed mood during the year. In the beginning of the year employee churn was high driven by a heated labour market, which changed drastically in the second half of the year leading to significantly lower churn rates.
At the end of 2022 the Netcompany Group totalled more than 7,500 highly talented and skilled employees.
Gross profit margin for the year was 32% compared to 36.7% realised in 2021. The dilutive impact on gross profit margin from Netcompany-Intrasoft was 4.3 percentage points in 2022, as Netcompany-Intrasoft has had a full year dilutive impact on Group numbers in 2022 compared to only two months for 2021. The remaining dilutive impact on gross profit margin of 0.4 percentage point was driven by a combination of employee benefits introduced in Denmark and lower utilisation particularly in Denmark and Norway compared to 2021, whereas the performance in the UK to some degree counteracted that impact. The performance of the Dutch operation did not have a material impact on gross profit margin for 2022.
Reduced variable remuneration for partners and principals in Denmark, Netherlands and Norway reduced cost and impacted margin positively.
Sales and marketing costs increased by 11.7% to DKK 41m. The inclusion of Netcompany-Intrasoft accounted for 13.4 percentage point of the increase, why sales and marketing spend in Netcompany Core decreased, which was more a result of certain one-off costs realised in 2021 than a sustained lower spend going forward. The increased spend was a result of the accelerated awareness building of the Netcompany brand throughout Europe and the increased focus on the renewed “Go-To-Market” strategy based on platforms focused on - and targeting specific industries.
Administrative costs increased by 51.7% to DKK 763.9m, of which the inclusion of Netcompany-Intrasoft accounted for 28.6 percentage points. The remaining increase was related to general underlying costs driven by increased FTE’s across Netcompany Core. The reduction of variable remuneration for local management in Denmark, Norway, Netherlands and Poland impacted administrative costs positively (meaning lower costs) in 2022.
Adjusted EBITDA margin was 20% for the year compared to 24.3% in 2021. The lower adjusted EBITDA margin was driven by the inclusion of Netcompany-Intrasoft that had a dilutive impact on margin of 3.1 percentage point and lower margin in Netcompany Core for the remaining 1.2 percentage points.
Depreciation was DKK 138.6m – an increase of 57.9% compared to 2021. The inclusion of
Netcompany-Intrasoft accounted for DKK 38.9m of the increase. In addition, the relocation to new corporate headquarters in Copenhagen during 2023 resulted in a total of DKK 30m in costs related to termination and refurbishment of current headquarter, which are to be depreciated over the termination period of six months, of which the first DKK 5m was depreciated in December 2022.
Amortisation was DKK 134.1m compared to DKK 51.4m in 2021. The amortisation of the purchase price allocated to intangible assets related to the acquisition of Intrasoft International S.A in 2021 accounted for DKK 88.5m total amortisation in 2022.
Net financial costs for the year was DKK 69.9m compared to DKK 33.4m in 2021. The increase was driven by higher interest costs on the debt related to the acquisition of Intrasoft International S.A for a full year compared to only two months in 2021. In addition, the interest rate on the debt increased by 243bps end of 2022 compared to end of 2021 driven by the increased interest rate level during 2022.
A fair value adjustment of DKK 7.9m impacted earnings negatively and reflected an increase in the final purchase price of the Dutch entity acquired in 2019.
Tax on profit for the year was DKK 153.8m equivalent to an effective tax rate of 20.3% compared to 21.1% for 2021.
Net profit for the year was DKK 602.8m compared to DKK 574.3m for 2021, or an increase of 5%.
**Parent Company**
The Parent company’s objective is as a holding company to hold, directly or indirectly shares. The assessment of the performance within the Parents investments was satisfying and in accordance with expectations. The Parent’s income statement for the year ended 31 December 2022 resulted in a loss of DKK 40.1m compared to a loss of DKK 18.9m in 2021. The financial position at 31 December 2022 showed an equity of DKK 1,269.7m and total assets of DKK 5,242.8m compared to DKK 1,415.8m and DKK 4,929m last year.
During 2021 and 2022, The Danish Business Authority commenced a compliance review of Netcompany Groups A/S’ Annual Reports for 2020 and 2021, please refer to Note 1 for further information.
Future-proofing Denmark’s democracy with a secure election process platform
Strong, stable societies are built on democratic foundations. Without this, citizens cannot benefit from the fair and equitable practices that enable them to participate fully in society. Netcompany is helping to secure Denmark’s democratic future with a new election process platform.
Danish democracy is among the highest rated in the world, with trust in free and fair elections being particularly high. But Danish elections rely on an IT platform that is almost 50 years old. To maintain the outstanding standard of democracy and ensure citizens’ trust, a new modern and secure solution to govern the electoral process was commissioned.
Netcompany is working closely with KOMBIT and municipality users, to build a new platform to provide secure, transparent and efficient election process support – from handling voter lists and candidates to tabulating and announcing results. The project will also include an offline solution to be installed at Denmark’s 1,500 polling stations, which will enable a secure voting process.
Netcompany will be testing the solution extensively in 2022-2023 before rolling it out in 2024 across all 98 municipalities, five regions, the Ministry of the Interior and Housing, and the National Social Appeals Board.
Netcompany’s simple, secure and robust solution for a new selection platform will be used at the next municipal and regional election in 2025 and beyond – securing Danish democracy for years to come.
Søren Kromann, COO, KOMBIT
“Delivering and implementing a new election system supports the Danish democracy as it is a fundamental building block of civil liberty. Stability, transparency, and security are of utmost importance. That is why we have remarkably high expectations for the quality of the new system that Netcompany is building.”
## Operating entities
| Country | Growth Details | Revenue Growth | Gross Profit Margin | Adj. EBITDA Margin | Client Facing FTEs |
|---------------|--------------------------------------------------------------------------------|----------------|---------------------|--------------------|--------------------|
| Denmark | Netcompany Denmark grew 11.1%, negatively impacted by sickness and allocating of resources internationally. | 11.1% | 42.8% | 30.2% | 2,659 |
| Norway | Netcompany Norway grew by 8.9%, negatively impacted by sickness and adjustments made to three projects. | 8.9% | 14.4% | -4.2% | 297 |
| United Kingdom| Netcompany UK grew by 31.7% driven by the public sector, while margin improved significantly due to increased utilisation and activity. | 31.7% | 29.3% | 18.0% | 505 |
| Netherlands | Netcompany Netherlands grew revenue by 25.1% solely driven by the public sector, and improved margin. | 25.1% | 16.3% | -11.3% | 137 |
| Intrasoft | Netcompany-Intrasoft delivered above expectations and increased revenue by 12.4% (pro-forma), and improved margin. | 12.4% (pro-forma) | 20.3% | 11.9% | 2,856 |
Netcompany Denmark
Revenue in the Danish business unit grew by 11.1% in 2022 to DKK 2,877.2m. Growth was driven by both the public and private segment that grew 9.7% and 13%, respectively. Demand for Netcompany services remain high and during the year new customers were added whilst existing customers continued to increase their relationship with Netcompany.
During the first half of 2022, Netcompany experienced elevated levels of sickness and churn rates higher than normal, which impacted revenue growth negatively. Both measures were improved though in the second half of the year with sickness levels coming down gradually, however still at an elevated level, whereas churn rates have dropped steeply as the uncertainty in the macro-economic environment continues to increase.
As in previous years a number of the Danish resources work on international projects – including the work related to establishing an adequate pipeline in Sweden to support opening of a Swedish office during 2023.
During the year the number of client facing employees increased by 16.2% to 2,659.
Figures for Netcompany-Intrasoft only includes performance in November and December 2021, as Netcompany-Intrasoft was acquired on 31 October 2021.
Figures in constant currencies is measured by using the monthly average exchange rates for 2021.
### 2022 in constant currencies DKK million
| | Denmark | Norway | United Kingdom | Netherlands | Intrasoft | Total |
|--------------------------------|-----------|-----------|----------------|-------------|-----------|-----------|
| Revenue from external customers| 2,877.2 | 291.0 | 535.4 | 102.7 | 1,732.7 | 5,538.9 |
| **Gross profit** | | | | | | |
| | 1,231.4 | 41.8 | 156.9 | 16.7 | 351.3 | 1,798.2 |
| **Gross profit margin** | 42.8% | 14.4% | 29.3% | 16.3% | 20.3% | 32.5% |
| Local admin costs | -362.5 | -54.1 | -60.8 | -28.4 | -145.3 | -651.3 |
| **Adjusted EBITDA before allocated cost from HQ** | | | | | | |
| | 868.9 | -12.3 | 96.2 | -11.6 | 206.0 | 1,147.0 |
| **Adjusted EBITDA margin before allocated cost from HQ** | 30.2% | -4.2% | 18.0% | -11.3% | 11.9% | 20.7% |
| Allocated costs from HQ | -27.0 | -3.0 | -5.8 | -1.4 | 0.0 | -37.3 |
| Special items, allocated | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Depreciation | -75.4 | -7.3 | -10.8 | -5.5 | -38.9 | -137.8 |
| Amortisation | -77.4 | -8.5 | -15.6 | -4.0 | -28.6 | -134.1 |
| Other operating income | 0.0 | 0.0 | 0.0 | 0.0 | 5.9 | 5.9 |
| **EBIT** | 689.0 | -31.2 | 63.9 | -22.6 | 144.4 | 843.7 |
| Client facing FTEs. | 2,659 | 297 | 505 | 137 | 2,856 | 6,453 |
### 2021 in reported currencies DKK million
| | Denmark | Norway | United Kingdom | Netherlands | Intrasoft | Total |
|--------------------------------|-----------|-----------|----------------|-------------|-----------|-----------|
| Revenue from external customers| 2,590.4 | 267.3 | 406.7 | 82.1 | 285.6 | 3,632.0 |
| **Gross profit** | | | | | | |
| | 1,126.2 | 65.3 | 105.9 | 9.9 | 55.3 | 1,362.5 |
| **Gross profit margin** | 43.5% | 24.4% | 26.0% | 12.0% | 19.4% | 37.5% |
| Local admin costs | -297.3 | -40.2 | -54.2 | -23.9 | -27.6 | -443.3 |
| **Adjusted EBITDA before allocated cost from HQ** | | | | | | |
| | 828.8 | 25.1 | 51.7 | -14.0 | 27.6 | 919.2 |
| **Adjusted EBITDA margin before allocated cost from HQ** | 32.0% | 9.4% | 12.7% | -17.1% | 9.7% | 25.3% |
| Allocated costs from HQ | -28.2 | -3.4 | -5.2 | -1.5 | 0.0 | -38.3 |
| Special items, allocated | -28.3 | -3.5 | -4.5 | -1.5 | 0.0 | -37.7 |
| Depreciation | -61.6 | -6.0 | -8.7 | -5.2 | -6.3 | -87.8 |
| Amortisation | -37.5 | -4.6 | -6.7 | -2.1 | -0.5 | -51.4 |
| Other operating income | 0.0 | 0.0 | 0.0 | 0.0 | -0.2 | -0.2 |
| **EBIT** | 673.3 | 7.7 | 26.6 | -24.4 | 20.6 | 703.8 |
| Client facing FTEs. | 2,289 | 266 | 408 | 142 | 449 | 3,553 |
Gross profit margin for the Danish business unit was slightly lower at 42.8% compared to 43.5% in 2021. The elevated level of sickness, and the employee benefits introduced at the beginning of the year impacted gross profit margins negatively. This was somewhat offset by the impact that the reduction in variable remuneration to partners and principals had on salaries.
Adjusted EBITDA margin was 30.2% compared to 32% in 2021. The lower gross profit impacted naturally adjusted EBITDA margin, however the negative impact was to some extent offset by the impact from the reduced variable remuneration to local management.
**Netcompany Norway**
In the Norwegian business unit revenue grew 8.9% to DKK 291m in 2022. Revenue growth was solely driven by growth in the private segment, while growth in the public segment was flat compared to 2021. As in Denmark, the Norwegian business also observed elevated levels of sickness impacting revenue growth negatively particular in the first half of 2022. However, the adjustment made to three projects in the Norwegian project portfolio in Q2 was the main factor for the lower than anticipated growth in Norway.
During the year client facing employees increased by 11.6% to 297.
Gross profit margin was 14.4% compared to 24.4% in 2021. The lower gross profit margin was mainly a result of the project adjustments made in Q2. In addition, the onboarding of 70 new employees during Q3 had a dilutive impact on utilisation leading to lower margin.
Adjusted EBITDA margin was negative by 4.2% compared to 9.4% positive last year. In addition to the gross profit impact, lower variable remuneration impacted adjusted EBITDA positively. However, these positive impacts were offset by increased costs for rent as a new headquarter and an office in Trondheim was used for the full year. Furthermore, redundancy costs impacted adjusted EBITDA negatively in 2022.
**Netcompany United Kingdom**
Revenue in the UK business unit grew by 31.7% in 2022 to DKK 535.4m with underlying growth of around 60% in the public segment offset by negative growth in the private segment. The growth in the UK public segment was a result of continued focus on getting a larger footprint with fewer public segment customers and a clear and conscious decision to decommission some relationships in the private segment that were not of strategic importance to Netcompany.
Better pricing and higher utilisation supported the high growth that was further accelerated by the increase in client facing employees of 23.8% bringing the staff count to 505 at the end of 2022.
Gross profit margin increased by 3.3 percentage points to 29.3% compared to 26% in 2021. A high level of business development in the UK business unit towards the end of the year impacted gross profit margin negatively in the second half of 2022 compared to the first half of the year.
Adjusted EBITDA margin increased by 5.2 percentage points to 18% compared to 12.7% in 2021 – both as a result of the improved gross profit but also as a consequence of a high proportion of employees working from home during the year postponing the need for a third office location.
**Netcompany Netherlands**
In the Dutch business unit revenue grew 25.1% to DKK 102.7m in 2022. All growth was associated to the public segment as that is the only segment currently served in Netcompany Netherlands.
Gross profit margin improved by 4.3 percentage points from 12% in 2021 to 16.3% in 2022 driven by better utilisation and better rates on projects.
Adjusted EBITDA also improved significantly in 2022 from negative 17.1% in 2021 to negative 11.3% in 2022. The improved gross margin impacted EBITDA. Some of that improvement was offset by redundancy costs in the year.
**Netcompany-Intrasoft**
Revenue for Netcompany-Intrasoft grew by 12.4% in 2022 to DKK 1,732.7m compared to DKK 1,542m (proforma). For the 2 months of November and December organic revenue growth was 26.3%. Revenue growth was driven by the public segment including the EU driven by continued strong demand both in Greece and a number of institutions within the EU. The business conducted in the Middle East and Africa declined in volume during the year as a logical consequence of the decision to divest this region based on lack of strategic fit to the Netcompany Group strategy.
While the total funding under the Resilience and Recovery Facility for digitisation projects in Greece remain intact the timing of getting projects approved has turned out to be more cumbersome than expected. However, during the second half of the year and in particular towards the end of the year projects have been approved and awarded to Netcompany-Intrasoft, but with a delay compared to initial expectations.
In addition, Netcompany-Intrasoft accelerated revenue growth towards the end of the year recognising income from software licenses sold and from “pass-through” revenue for equipment for one specific project.
Gross profit margin was 20.3% in 2022. The delay in project awards under the RRF impacted gross profit margin negatively in 2022, but was offset by better gross profit margins in both the EU and private segment.
Adjusted EBITDA margin was 11.9% compared to 9.4% in 2021 (proforma) driven by an improved gross profit.
Transforming the world of mobility from A to Z at record-winning pace
Netcompany is helping the largest importer and dealer of cars in Norway, Sweden and the Baltics replace its 40-year-old system and launch their digital transformation.
Møller Mobility Group (MMG) is the largest and most successful importer and dealer of Audi, VW, Skoda, Seat and Cupra cars in Norway, Sweden and the Baltics. They operate in five countries, have 140+ dealerships, 4,000+ employees, 7,000+ IT users – and import more than 53,400 cars each year.
But their business is being challenged. New and existing mobility brands are revolutionising the industry at an increasing pace, and the race towards the future of mobility is well underway.
MMG relies on a complex network of legacy applications and mainframe systems. So, they’ve embarked on an ambitious journey to transform their business model, organisation and IT platform to meet the demands of a more digital and environmentally friendly future.
As a strategic partner, Netcompany is supporting them in all steps of DRIVe – their programme for transformation and are working at pace to decommission their 40-year-old mainframe systems and move MMG to a new, future-proof system. The new platform will connect and organise all data to give MMG better customer insights; help MMG to digitise and optimise internal processes; enable fast onboarding of new, innovative mobility service products and experiences; and allow them to provide a best-in-class customer experience.
“Netcompany is working at pace to help Møller Mobility Group in their digital transformation, creating a modern platform that will enable them to provide a best-in-class digitalisation streamlining and automating their work processes.”
Revenue visibility improved by 9.3% from DKK 3,824.8m for 2022 to DKK 4,179.9m for 2023.
Netcompany measures revenue visibility on a 12-month rolling basis, based on two main input parameters, defined as total value of committed engagements, which comprise of fixed price engagements and service agreements, and ongoing time and material engagements with a high likelihood of conversion and/or prolongation, defined as total value of planned continued engagements.
Revenue visibility for 2023 amounts to DKK 4,179.9m, of which contractual committed revenue amounts to DKK 3,753.1m and non-contractual committed engagements amounts to DKK 426.8m.
Revenue visibility for 2023 in the public segment amounts to DKK 2,890.1m, of which contractual committed revenue amounts to DKK 2,670.6m and non-contractual committed engagements amounts to DKK 219.5m.
Revenue visibility for 2023 in the private segment amounts to DKK 1,289.7m, of which contractual committed revenue amounts to DKK 1,082.5m and non-contractual committed engagements amounts to DKK 207.3m.
In 2023, DKK 1,547.5m is expected to be released from the Netcompany-Intrasoft order backlog, mainly within EU institutions. Of the total order backlog for Netcompany-Intrasoft DKK 6,123.7m is expected to be released in the period from 2024 to 2029.
The main part of order backlog in Netcompany-Intrasoft relates to EU framework agreements and runs up to 7 years.
Capital
Cash flow development in 2022 (DKK’000)
- Cash prima: 458.8
- Operating activities: 773.0
- Investing activities: -244.3
- Financing activities: -646.0
- Exchange rates: -5.4
- Cash ultima: 336.0
In 2022, Netcompany completed the scheduled refinancing of the Group loan facilities.
Working capital
The combined value of work in progress, prebilled invoices and trade receivables increased by 5.4% compared to revenue growth of 52.7% in 2022 and organic revenue growth of 14.9%. As a percentage of revenue, the combined work in progress, prebilled invoices and trade receivables decreased from 46.8% in 2021 to 32.3% in 2022, which was on same level as Netcompany Core in 2021. Days sales outstanding decreased from 103.7 days in 2021 to 73.2 days in 2022, which was also on level with Netcompany Core in 2021.
Free cash flow and cash conversion
Netcompany generated a free cash flow of DKK 602.7m, which led to a cash conversion ratio normalised for tax payments and fair value adjustment of 89.8% slightly below the normalised cash conversion rate in 2021 of 94.3%.
Investments and capitalisation
In 2022, the main part of the remaining consideration for Netcompany-Intrasoft was settled and Netcompany only have a minor outstanding consideration in regard to the acquisition.
In 2022, the Group capitalised cost of DKK 98m as internally developed software and acquired rights and a full copy of the code base of Airhart for DKK 20m from Smarter Airports to be used in other industries.
Funding and capital structure
During 2022, Netcompany completed the scheduled refinancing of current Group debt to banks. The terms and margins within the signed Group facility agreement were slightly improved and also includes ESG measures. The new Group facility agreement consist of committed facilities of DKK 2,800m and an additional facility of DKK 2,000m, available only for new acquisitions, the maturity for the loan run to 2025 and can be prolonged twice by one year.
As of 31 December 2022, DKK 1,880m of the Group facility were utilised on borrowings and DKK 148.9m on guarantees, leaving a total of DKK 771.1m available in unutilised funding for normal operation if needed with no additional costs or covenants.
In addition, Netcompany-Intrasoft have local facilities of DKK 47.3m and utilised DKK 342.2m on local guarantees.
Debt ratio decreased during 2022 from 2.7x at the end of 2021 to 1.6x end of 2022. The peak in debt ratio last year was caused by the acquisition of Intrasoft and have been improved during the year due to the strong cash flow.
## ESG key figures
The table below shows ESG key figures and targets for Netcompany Group.
### Environment
| Key Figure | Total 2022 | Unit | Target 2022 | 2022 | 2021 | 2020 | 2019 | Target 2023 |
|-------------------------------------------------|------------|------------|-------------|--------|--------|--------|--------|-------------|
| CO₂e, scope 1 (direct GHG emissions)* | 1,224.7 | Tons per FTE | < 0.12 | 0.18 | 0.10 | 0.06 | 0.08 | < 0.23 |
| CO₂e, scope 2 (indirect GHG emissions)* | 369.9 | Tons per FTE | < 0.18 | 0.05 | 0.15 | 0.21 | 0.26 | < 0.03 |
| CO₂e, scope 3 (other indirect GHG emissions)* | 2,868.1 | Tons per FTE | < 0.23 | 0.42 | 0.26 | 0.21 | 0.55 | < 0.52 |
| Energy consumption* | 40,793,60 | GJ per FTE | < 7.09 | 5.93 | 6.13 | 5.29 | 7.54 | < 7.20 |
| Renewable energy share** | 88.53 % | % | > 78.00 | 88.53 | 77.50 | 71.01 | 75.01 | > 91.00 |
| Water consumption | 11,557.6 | m³ per FTE | < 4.48 | 1.67 | 3.00 | 3.32 | 4.63 | < 2.00 |
### Social
| Key Figure | Total 2022 | Unit | Target 2022 | 2022 | 2021 | 2020 | 2019 | Target 2023 |
|-------------------------------------------------|------------|------|-------------|--------|--------|--------|--------|-------------|
| Average full-time employees incl. freelancers | 6,906 | FTE | N/A | 6,906 | 3,787 | 2,768 | 2,293 | N/A |
| Share of women*** | 26 | % | 26 | 26 | 25 | 18 | 19 | 27 |
| Share of women - managers, principals and partners | 17 | % | 16 | 17 | 15 | 11 | 12 | 17 |
| Sickness absence | 3.4 | % | < 2.5 | 3.4 | 2.5 | 3.1 | 3.8 | 3.3 |
| Employee satisfaction | +33 | eNPS | > +30 | +33 | +34 | +42 | +42 | > +30 |
| Customer satisfaction | +55 | NPS | > +18 | +55 | +18 | +20 | +22 | +20 |
### Governance
| Key Figure | Total 2022 | Unit | Target 2022 | 2022 | 2021 | 2020 | 2019 | Target 2023 |
|-------------------------------------------------|------------|------|-------------|--------|--------|--------|--------|-------------|
| Share of women - Board of Directors (BoD) | 50 | % | 40 | 50 | 40 | 40 | 20 | 50 |
| Attendance at the BoD meetings | 94 | % | > 97 | 94 | 98 | 100 | 97 | > 97 |
| CEO pay ratio | 1:18 | times| 1.22 | 1.18 | 1.20 | 1.19 | 1.20 | 1.27 |
Scope 1, 2, 3 and energy consumption *Due to availability of more complete data and accurate emissions factors, we have recalculated scope 1, 2 and 3 emissions from previous years. The targets for 2022 were adjusted accordingly.
Renewable energy share **Due to miscalculation and a lack of data, historic figures have been recalculated, and the target for 2022 was adjusted accordingly.
Share of women ***Due to a miscalculation, the figure for 2021 has been corrected, and the target for 2022 was adjusted accordingly.
ESG in Netcompany
Netcompany is helping clients on their digital transformation journeys. With state-of-the-art IT solutions, private and public sector clients across Europe can make positive, sustainable change by replacing old legacy systems with modern solutions. Solutions that give companies and public institutions the ability to innovate and grow – to the benefit of individuals and society now and in the future.
As a responsible corporate citizen, Netcompany monitors and reports on its direct impact on the environment. In 2023, Netcompany will continue to take strides in mitigating its negative environmental footprint by improving business operations across the Group, especially within waste management and renewable energy use.
As a frontrunner in digitalisation and experts within the field, Netcompany is a trusted advisor to governments, EU institutions and private companies across Europe. The expertise of Netcompany employees is continuously developed and nurtured through formal and informal training through Netcompany Academy, and the wellbeing of each employee is ensured through personal mentorship and a buddy programme. In addition, the many opportunities to socialise via Netcompany After Dark social clubs enables employees to extend their personal and professional networks outside of their project teams.
A diverse and inclusive workplace is imperative for Netcompany to attract and retain employees and maintain competitiveness in the market. As a result of Netcompany’s DE&I (diversity, equity & inclusion) efforts in 2022, all three targets related to gender activity were achieved. Netcompany will continue to promote diversity, equity and inclusion across the Group in the years to come.
The Netcompany Group ESG Report 2022 constitutes annual Communication on Progress to the UN Global Compact and report on corporate responsibility in accordance with section 99a, 99b, 99d and 107d of the Danish Financial Statements Act. The report is an integrated part of the management’s review of the Netcompany Group Annual Report 2022.
Building strong, sustainable societies
ESG report 2022
Read more about the ESG at Netcompany here:
Link to ESG report
www.netcompany.com/int/ESG/Reports
In 2022, Netcompany redistributed DKK 100m in cash to its shareholders through two share buyback programmes of around DKK 50m each.
**Share related keys figures**
| | 2022 | 2021 |
|----------------------|--------|--------|
| **Share price** | | |
| Price at year-end (DKK) | 294 | 705 |
| Price high (DKK) | 730 | 862 |
| Price low (DKK) | 279 | 519 |
| Market value at year-end (DKKm) | 14,710 | 35,225 |
| No. of shares at year-end (m) | 50.0 | 50.0 |
| No. of circulating shares at year-end (m) | 49.1 | 49.2 |
| | 2022 | 2021 |
|----------------------|--------|--------|
| **Distribution to shareholders** | | |
| Dividend paid per share (DKK) | 0 | 1 |
| Total dividend paid ex. treasury shares (DKKm) | 0.0 | 49.1 |
| Buyback of shares (DKKm) | 100.8 | 100.0 |
| Total distribution to shareholders (DKKm) | 100.8 | 149.1 |
| | 2022 | 2021 |
|----------------------|--------|--------|
| **Shareholder return at year-end** | | |
| Share price change (%) | -58.2 | 13.2 |
| Dividend return (%) | 0.0 | 0.1 |
| Total shareholder return (%) | -58.2 | 13.2 |
| | 2022 | 2021 |
|----------------------|--------|--------|
| **Share valuation at year-end** | | |
| Equity per share (DKK) | 70.5 | 60.8 |
| Price/book value (times) | 4.2 | 11.6 |
**The share**
Netcompany shares were priced at DKK 294.2 (DKK 704.5) per share at 31 December 2022, equal to a market capitalisation of DKK 14,710m (DKK 35,225m). The share price decreased by 58.2% during 2022, compared to the Nasdaq Copenhagen blue chip index (OMXC25 CAP) which decreased by 13.5%. Netcompany share price decreased despite Netcompany delivering results in 2022 within guided expectations for the year.
Share capital & treasury shares
Netcompany’s share capital is DKK 50m divided into 50 million shares. At the beginning of 2022, Netcompany held 827,110 treasury shares. Throughout 2022, Netcompany executed two share buyback programmes and bought 242,650 treasury shares. 212,151 treasury shares were used to remunerate Partners & Principals, as the second Long Term Incentive Programme vested in January 2022, and the final treasury shares related to the acquisition of Intrasoft in October 2021 was transferred during 2022 as well.
As part of the acquisition of Intrasoft International S.A., an agreement was made for a senior executive to convert the received cash element of the purchase price into Netcompany shares with a four year timely lock up period not related to employment, entailing certain possibilities to sell shares in predefined tranches from 2022 to 2025 at the prevailing share price of the time of the transaction. This option was exercised in relation to the first tranche and executed on 1 November 2022. Netcompany has in that capacity acquired 44,539 treasury shares directly from the senior executive.
At 31 December 2022, Netcompany holds a total of 901,359 treasury shares equivalent to 1.8% of the share capital. The treasury shares will continuously be used to remunerate Partners & Principals through the Long Term Incentive Plan or in connection with M&A transactions where applicable. Additional information on the holdings of Netcompany shares and restricted stock units by the members of the Board of Directors and Executive Management is disclosed in the Remuneration report and in note 7 of the financial statements.
Increase of share capital
In the period until 21 May 2023, the Board of Directors is authorised to increase the company’s share capital with pre-emption rights for the company’s existing shareholders by up to a nominal amount of DKK 10m.
However, the Board of Directors may not exercise this authorisation for an amount higher than 20% of the outstanding share capital at the time of exercise of the authorisation. The capital increase shall take place at market price and shall be affected by cash payment, by contribution in kind or by debt conversion.
In the period until 21 May 2023, the Board of Directors is also authorised to increase the company’s share capital without pre-emption rights for the company’s existing shareholders by up to a nominal amount of DKK 5m. However, the Board of Directors may not exercise this authorisation for an amount higher than 10% of the outstanding share capital at the time of exercise of the authorisation. The capital increase may take place at a subscription price set by the Board of Directors, including a potential favourable price. Any new shares shall have the same rights as the existing shares of the company.
Shareholder structure
At 31 December 2022, Netcompany had close to 25,000 (15,798) registered shareholders. Around 44% (60%) of the registered share capital was held by shareholders based outside Denmark and around 10% (10%) of the company’s share capital was held by the company’s Executive Management. Netcompany estimates that...
pension funds held some 40% (53%) of the company’s shares. In pursuance of section 55 of the Danish Companies Act the following investors have reported holdings of more than 5% of Netcompany’s share capital at 31 December 2022:
- AC NC Holding Aps: 10.3%
- Danske Bank A/S: 5.1%
**Share-based incentive schemes/restricted stock units**
In total, 211,754 (351,170) RSUs in relation to the share-based incentive schemes were issued at 31 December 2022, of which 54,313 (83,053) were granted to Executive Management and 157,441 (268,117) were granted to Other Key Management Personnel and Other employees. The fair value of the RSUs at grant was DKK 98.3m (DKK 102.7m). The cost related hereto is expensed over the vesting period. A total amount of DKK 24.9m (DKK 32.2m) was recognised as staff costs in the income statement in 2022.
**Contingent purchase price/restricted stock units**
In connection with the acquisition of 100% of the shares of QDelft B.V. (now Netcompany Netherlands) in 2019, a total of 305,068 RSUs have been granted, which will vest in February 2023. Further 194,352 RSUs will be granted and vest in February 2023 as a result of the performance in the period 2020-2022.
**Dividends and share buyback**
In 2022, Netcompany redistributed DKK 100m in cash to its shareholders by means of two share buyback programmes of around DKK 50m each. To maintain a satisfactory debt level ratio no dividends are currently proposed for the year 2022. In 2023, Netcompany expects to utilise free cashflow to deleverage and hence have no plans for proposing dividends or initiate additional share buyback programs.
**Investor relations**
Netcompany seeks full transparency and an open dialogue with all investors and analysts about the company’s business and financial performance. Netcompany aims to ensure equal, timely and adequate information for all investors by publishing all information on Netcompany’s homepage, where users can subscribe to Netcompany’s announcement service.
**Recommendations on Corporate Governance:** https://www.netcompany.com/int/Investor-Relations/Announcements
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**Financial calendar 2023**
| Date | Event |
|---------------|----------------------------------------------------------------------|
| 18 January 2023 | Deadline for shareholders to submit proposals for the agenda of the Annual General Meeting 2023 |
| 25 January 2023 | Annual Report for the financial year 2022 |
| 2 March 2023 | Annual General Meeting 2023 |
| 4 May 2023 | Interim report for the first 3 months of 2023 |
| 16 August 2023 | Interim report for the first 6 months of 2023 |
| 2 November 2023 | Interim report for the first 9 months of 2023 |
---
**Share data**
| **Stock exchange** | Nasdaq Copenhagen A/S |
|--------------------------|---------------------------------------------------------------------|
| **Index** | OMXC25 |
| **Sector** | Technology |
| **ISIN code** | DK0060952919 |
| **Short code** | NETC |
| **Share capital** | DKK 50,000,000 |
| **Nominal size** | DKK 1 |
| **Number of shares** | No. 50,000,000 |
| **Restriction in voting rights** | No |
Governance
In this section
- Corporate governance
- Board of Directors
- Executive Management
- Remuneration
- Risk management
Corporate Governance
Netcompany has a two-tier management structure consisting of Board of Directors and Executive Management.
**Governance model**
The Board of Directors, which is appointed by the shareholders, supervises the work of the Executive Management and is responsible for the overall and strategic management and proper organisation of the Group’s activities, while the Executive Management is responsible for the Group’s day-to-day management. The division of responsibility between the Board of Directors and the Executive Management is set out in the Rules of Procedures for the Board of Directors and Executive Management Instructions.
**Shareholders and general meetings**
Netcompany’s shareholders exercise their rights at the general meeting. The general meeting adopts decisions, such as the election of Board members and the auditor, in accordance with applicable law.
**Board of Directors**
For the time being, the Board of Directors of Netcompany Group A/S currently consists of six members. According to the Articles of Association, the Board of Directors must consist of at least three and not more than seven members elected at the general meeting. The Board of Directors appoints a Chairman and a Deputy Chairman among its members. Each member is elected for a one-year term, and members may be re-elected. The Board of Directors meets at least five times a year and holds extraordinary meetings when relevant.
The composition of the Board of Directors is intended to ensure that the Board of Directors has a diverse competency profile, enabling the Board of Directors to perform its duties in the best possible manner. All six members of the Board of Directors are considered independent under the “Recommendations on Corporate Governance”.
During 2022, the Board of Directors conducted an evaluation of the Board of Directors and the individual members. As the Board of Directors conducted an evaluation with external assistance in 2021, the Board of Directors decided to base the evaluation on a questionnaire that the individual members of the Board of Directors had been asked to prepare and comment on. The evaluation included, among others, the effectiveness, performance, and composition of the Board of Directors, including an evaluation of the performance of the individual members of the Board of Directors as well as the collaboration with the Executive Management. As part of the evaluation, a questionnaire was sent to the members of the Board of Directors, Executive Management and Board secretary. The evaluation concluded that the Board of Directors is working well, the material is of high quality, the Board of Directors has the right competencies, and that there is a high degree of satisfaction between the Board of Directors and Executive Management.
A description of the individual board members, including their other executive positions and independence, can be found on pages 59–61.
**Board Committees**
In order to support the Board of Directors in Netcompany Group A/S, Netcompany has established three board committees: Audit Committee, Remuneration Committee, and Nomination Committee.
The committees perform preparatory tasks and make recommendations to the Board of Directors, who in turn will take the final decision on subjects at hand. The main tasks and duties for each committee are set out in separate committee charters. The charters are reviewed, and if deemed appropriate updated, and approved by the Board of Directors annually. The members of the board committees, including the committee chairman, are appointed by the Board of Directors among its own members.
**Audit Committee**
The Audit Committee consists of three members of the Board of Directors, Åsa Riisberg (committee chairman), Scanes Bentley, and Susan Cooklin. Its purpose is to assist the Board of Directors with the oversight of, among others, the financial and statutory audit matters, ESG reporting and internal control and risk management systems of the Netcompany Group. Further, the Audit Committee supervises the external auditor’s independence and the procedure for the election of an external auditor.
The Audit Committee meets at least four times a year in connection with Netcompany’s financial reporting.
Remuneration Committee
The Remuneration Committee consists of four members of the Board of Directors, Juha Christensen (committee chairman), Bo Rygaard, Scanes Bentley, and Hege Netcompany has three different board committees each with the purpose of assisting the collective Board of Directors with its preparatory tasks. Skryseth. Its purpose is to assist the Board of Directors by preparing and presenting proposals and recommendations on matters related to the remuneration of the Company’s Board of Directors and Executive Management.
The Remuneration Committee meets at least twice a year.
Nomination Committee
The Nomination Committee consists of two members of the Board of Directors, Juha Christensen (committee chairman), and Bo Rygaard. Its purpose is to assist the Board of Directors by preparing and presenting decision proposals and recommendations on matters related to the composition of the Company’s Board of Directors and Executive Management, including the nomination of candidates and evaluation of the composition of the Board of Directors and Executive Management.
Netcompany fully comply with 40 out of 40 recommendations according to the Danish Committee on Corporate Governance
New board member in 2022
In March 2022, Susan Cooklin joined the Board of Directors, which means Netcompany has an equal distribution of genders on the Board.
The Nomination Committee meets at least twice a year.
Executive Management
The members of the Executive Management consist of André Rogaczewski (CEO), Claus Jørgensen (COO) and Thomas Johansen (CFO). Together, they form the management registered with the Danish Business Authority.
The Executive Management is responsible for the day-to-day management. The Board of Directors has laid down instructions for the work of the Executive Management, including the division of work between the Board of Directors and Executive Management.
The Board regularly discuss the performance of the Executive Management and the Chairman of the Board of Directors has regular meetings with Executive Management, where the cooperation between the Board of Directors and the Executive Management is discussed.
Recommendations on Corporate Governance
As a listed company, Netcompany observes the Recommendations on Corporate Governance, which are based on the comply-or-explain principle, which makes it
legitimate for a company to explain why it does not comply with them.
Netcompany fully complies with 40 out of the 40 recommendations according to the Danish Committee on Corporate Governance and prepared a statement on corporate governance for the financial year. This statement forms part of the Management’s Review and can be viewed at:
**Recommendations on Corporate Governance:**
www.netcompany.com/int/investor-Relations/Governance
**Whistleblower system**
In 2017, Netcompany implemented a whistleblower system, which allows people to anonymously report serious, or suspected, offences that might impact either an individual or Netcompany Group. In 2022, as part of the integration of Netcompany-Intrasoft, local whistleblower policies were aligned with Netcompany Group’s policies to comply with national regulations.
The whistleblower system allows persons related to Netcompany, such as employees, members of the Executive Management and Board of Directors, auditors, lawyers, suppliers, and other business partners of Netcompany, to report serious offences or suspected serious offences.
The whistleblower system is an independent and autonomous channel, and the independency is secured by using an external law firm (Plesner) to receive reports submitted. The law firm will forward any reports to the Chairman of the Board, who will investigate the matter promptly and take appropriate action.
In 2022, four reports were submitted via the whistleblower system. Two of the reports were assessed to be out of scope by the external law firm, while appropriate action was taken for the two other reports. Netcompany take whistleblowing cases very seriously, so employees and partners are made aware of good conduct and that they can report any incidents through the whistleblower portal.
**Gender Diversity**
As per the amended Danish Companies Act, section 139 c(1) applicable from 1st January 2023, Netcompany Group A/S is obligated to set targets for the underrepresented gender at the Board of Directors, unless there is an equal gender distribution.
As Netcompany Group A/S have an equal distribution of genders at the Board of Directors, no target will be set for the financial year 2023.
Netcompany Group A/S will report on the statutory requirements in 2024 for its reporting of the financial year 2023, as set out in the amended Danish Financial Statements Act, section 99(b).
It is noted that the amended Acts require reporting on an entity level – and not a Group level.
**Data ethics policy**
In 2020, Netcompany implemented a Data Ethics Policy, which Netcompany chose to report on even before it was a requirement. This policy is based on three key principles: security, integrity and trust.
Working as an IT-service provider, Netcompany encounter many types of data, including personal data. Internally, it is mainly the processing of data about our employees and job applicants, provided by the employees and job applicants themselves. Data about our employees and job applicants includes regular personal data, such as names, addresses and phone numbers. In the daily business operations,
processing of special categories of personal data, for example, health information. In our capacity as a supplier, Netcompany process data on behalf of our customers, for example in connection with the maintenance or hosting of their systems.
Technical and organisational security is an essential part of any safe data processing. Our daily operations are based on a highly detailed security policy and organisational procedures, all of which comply with the international security standard ISO/IEC 27001. Netcompany process all data with the utmost respect for the sensitivity of the data and any privacy rights – to make sure our customers, employees, shareholders, and any other stakeholders trust is earned.
At Netcompany internal audit controls is performed to secure compliance with both information security and data protection requirements, and all our employees are regularly trained in the Netcompany Methodology. In addition to these measures, all data are securely stored at two different data centres to ensure that data availability is always upheld in the unlikely event of technical failures. Netcompany does not buy data from third parties or sell customer data to third parties. Netcompany makes use of artificial intelligence (AI) and machine learning in some of our solutions, but never in a context where such services are used for either profiling, automated decision making or similar. Machine learning is instead used for the purpose of reducing energy consumption and climate impact.
Our work to ensure diversity throughout the organisation is also part of our data ethical considerations in that it may help prevent unintentional biases in both the development of our own IT solutions and when advising our customers about their development. Whether personal or other types of data are processed, Netcompany’s standards for data ethics are always applied by making sure that the processing activities and security measures match the requirements for the handling of data.
With 2022’s reporting on Data Ethics Policy, Netcompany Group A/S complies with the requirements under section 99(d) of the Danish Financial Statements Act.
Read more
www.netcompany.com/int/Investor-Relations/Governance
## Board of Directors
### Bo Rygaard
**Chairman**
| First elected | 2016 |
|---------------|------|
| Term | 2022 |
| Born (year) | 1965 |
| Nationality | Danish |
| Independent | Yes |
**Committee memberships**
Nomination Committee and Remuneration Committee
**Executive positions**
Executive officer in Margot og Thorvald Dreyers Fond, Bo Rygaard Consulting and NC ShareCo 4 ApS
**Non-executive positions**
Skamol A/S (c), Kavi Invest A/S (m), Margot og Thorvald Dreyers Fond, Ejendomsaktieselskabet Vest (m), Statens Ejendomssalg A/S (vc), Fondenes Videnscenter (m), Krista og Viggo Petersens Fond (c), Marie & M.B. Richters Fond (m), KFI Erhvervsdrivende Fond (c), HusCompagniet A/S (m), KGH ApS (m), WEXØE A/S (m), WEXØE Holding A/S (m), and Sovino Brands ApS (c).
**Special competencies**
Strategy, general business management and M&A
**Educational background(s)**
M.Sc. Economics, Copenhagen Business School
**Board meetings attended**
9 out of 9
**Committee meetings attended**
4 out of 4
---
### Juha Christen Christensen
**Vice Chairman**
| First elected | 2016 |
|---------------|------|
| Term | 2022 |
| Born (year) | 1964 |
| Nationality | Danish |
| Independent | Yes |
**Committee memberships**
Nomination Committee and Remuneration Committee
**Executive positions**
CEO of Truly ApS
**Non-executive positions**
Cloud Made Ltd (c), Star Inc (c), Bang & Olufsen A/S (c), Friday PM (c).
**Special competencies**
Consulting, technology market insight, strategy, and M&A
**Educational background(s)**
Studied Business Administration, London Business School
**Board meetings attended**
9 out of 9
**Committee meetings attended**
4 out of 4
---
### Hege Skryseth
| First elected | 2020 |
|---------------|------|
| Term | 2022 |
| Born (year) | 1967 |
| Nationality | Norwegian |
| Independent | Yes |
**Committee memberships**
Remuneration Committee
**Executive positions**
Executive Vice President of Equinor
**Non-executive positions**
Tomra Systems ASA (m), AutoStore (m)
**Special competencies**
Hege has extensive strategic and commercial knowledge, general business management and governance. Further, Hege has deep knowledge about the Norwegian market.
**Educational background(s)**
Executive MBA, NHH Norwegian School of Economics & Business Administration, Norway, BA, Management, BI Norwegian School of Management, Norway
**Board meetings attended**
7 out of 9
**Committee meetings attended**
0 out of 1
---
1. Bo Rygaard has been a member of the Board of Directors of NC TopCo A/S since November 2016
2. Juha Christensen has been a member of the Board of Directors of NC TopCo A/S since November 2016
## Board of Directors
### Scanes Bentley
- **First elected**: 2019
- **Term**: 2022
- **Born (year)**: 1957
- **Nationality**: British
- **Independent**: Yes
- **Committee memberships**
- Audit Committee and Remuneration Committee
- **Executive positions**
- Managing Director, Scanes Bentley & Associates (own portfolio management company)
- **Non-executive positions**
- Twizzletwig Ltd (c), Northrow Ltd. (m)
- **Special competencies**
- Strategic and commercial knowledge, technology market insight
- **Educational background(s)**
- B.Sc., Political Science, University of Bristol
- **Board meetings attended**
- 9 out of 9
- **Committee meetings attended**
- 6 out of 7
### Åsa Riisberg
- **First elected**: 2020
- **Term**: 2022
- **Born (year)**: 1974
- **Nationality**: Swedish
- **Independent**: Yes
- **Committee memberships**
- Audit Committee
- **Executive positions**
- None
- **Non-executive positions**
- Bonnier News AB (m), Dagens Nyheter (m), Bonnier Group (m), Chiesi Farmaceutici S.p.A (m), Atlas Antibodies AB (c), Internetmedicin AB (m), Patricia Industries (m)
- **Special competencies**
- Åsa has extensive knowledge and experience in overseeing accounting and auditing, financing, refinancing, M&A, private equity, and healthcare
- **Educational background(s)**
- MSc, Finance & Accounting and Finance, Stockholm School of Economics, Sweden. International Business, Hautes Etudes Commerciales HEC, France
- **Board meetings attended**
- 8 out of 9
- **Committee meetings attended**
- 6 out of 6
### Susan Cooklin
- **First elected**: 2022
- **Term**: 2022
- **Born (year)**: 1960
- **Nationality**: British
- **Independent**: Yes
- **Committee memberships**
- Audit Committee
- **Executive positions**
- None
- **Non-executive positions**
- Electricity North West Ltd, NorteGas ES, Houses of Parliament Restoration and Renewal Programme (UK)
- **Special competencies**
- Extensive C-suite executive experience at FTSE 30 equivalent companies. Deep knowledge and delivery of technology strategies and operational delivery of complex services. Experience of both private and public sectors in the UK. Owned enterprise cyber risk for the UK rail infrastructure operation in her last executive position.
- **Educational background(s)**
- BSc Economics and Accounting
- **Board meetings attended**
- 8 out of 8
- **Committee meetings attended**
- 4 out of 4
Executive Management
André Rogaczewski
CEO
Nationality: Danish
Born (year): 1968
Executive positions:
André Rogaczewski Holding II ApS, AR Creative ApS
Non-executive position:
Secure Payment Holding A/S (m), Smarter Airports A/S (c)¹, and Spar Nord Bank A/S (m)
Other positions:
The Danish ICT and Electronics Federation (c), the Danish Disruption Council (m), Think Tank EUROPA (m), the Technology Pact (c), the Danish Foundation for Entrepreneurship (c), Confederation of the Danish Industry (m), the Danish Ministry of Finance’s Social Investment Fund (m), the University of Aalborg (m), Health Tech Hub Copenhagen (m), the Danish Government’s Digitization Partnership (m)
Claus Bo Jørgensen
COO
Nationality: Danish
Born (year): 1967
Executive positions:
Holdingselskabet Claus Jørgensen II ApS, CJ CCP Holding I ApS, and CJ CCP Holding II ApS (own holding companies), and AC NC Holding ApS (joint holding company between André Rogaczewski and Claus Jørgensen)
Claus Jørgensen is a co-founder of Netcompany and Chief Operating Officer since 2000. He holds a M.Sc. Economics from the University of Southern Denmark.
Thomas Johansen
CFO
Nationality: Danish
Born (year): 1970
Thomas Johansen is Chief Financial Officer in Netcompany, a position he has held since he joined the company in 2017. Thomas holds a M.Sc. Auditing and Business Economics, and several management degrees incl. MBA from Rotterdam School of Management.
¹ Smarter Airports A/S is the Joint-Venture between Netcompany and Copenhagen Airports
Remuneration
Netcompany’s remuneration package and structure have been assessed as appropriate and complying with Netcompany’s ambition.
The Remuneration Policy of Netcompany aims to set market-based salary levels for the Board of Directors (BoD) as well as Executive Management (EM) with a clear link to the creation of long term shareholder value. The current remuneration packages were adopted by the Annual General Meeting on 2 March 2022.
The remuneration package consists of the elements shown on the right.
**Remuneration assessment**
The Remuneration Committee performed an assessment of management remuneration, and concluded that the Remuneration Package and Policy complies with the Corporate Governance recommendations updated on 2 December 2020. The remuneration awarded was furthermore in line with the remuneration policy.
Both the Remuneration Policy and the remuneration packages for the Board of Directors were approved by the Annual General Meeting in March 2022.
| Remuneration | BoD | EM |
|-------------------------------------|-----|----|
| Fixed fee / Fixed base salary | ● | ● |
| Fee for committee work | ● | |
| Short Term Incentive Plan | | ● |
| Long Term Incentive Plan | | ● |
| Travel allowances and other expenses| ● | ● |
| Benefits | | ● |
| Severance pay | | ● |
| Extraordinary Remuneration (MSP) | | ● |
Comments
- Fee for Audit Committee, Remuneration Committee and Nomination Committee work
- Up to 60% of fixed base salary against defined objectives and target
- Up to 80% of fixed base salary measured at the time of grant
- Travel expenses are reimbursed
- Company car, phone etc. comprising up to 10% of fixed base salary
- In accordance with the employment contract, the Executive Management cannot request a severance payment
- The Board of Directors may extraordinarily grant matching shares
Board of Directors
The base fee for board members was changed to DKK 450k in 2022, which was an increase of 28%.
When comparing the increased remuneration for the Board of Directors with the average remuneration for Board of Director in the C25 benchmark, the base fee as well as committee fees level for Board members, Chairman and Vice-Chairman was in the same range as the average remuneration of the C25 companies and hence, the board fee’s are suggested to remain unchanged.
Executive Management
Total salary levels for Executive Management is in the lower end of the C25 benchmark.
Compared to other C25 companies, a larger part of the remuneration to the Executive Management is variable and part of an incentive plan. This relates to both short and long term incentive plans. At the same time the fixed absolute annual remuneration is amongst the lowest in the C25 benchmark.
Total remuneration for the Executive Management was significantly lower in 2022 as the variable part of the remuneration was reduced to nil regarding STIP and the payout of the already granted LTIP was reduced significantly too.
| 5 year key figures DKK '000 | 2022 | 2021 | 2020 | 2019 | 2018 |
|-----------------------------|------|------|------|------|------|
| **Remuneration of Board of Directors** | | | | | |
| Bo Rygaard, Chairman | 1,372| 1,050| 1,051| 661 | 438 |
| Juha Christensen, Vice Chairman | 979 | 788 | 763 | 624 | 502 |
| Scanes Bentley | 730 | 438 | 489 | 394 | - |
| Hege Skryseth | 565 | 350 | 128 | - | - |
| Asa Riisberg | 779 | 525 | 199 | - | - |
| Susan Cooklin | 525 | - | - | - | - |
| Robbert Kuppens¹ | - | - | 296 | 168 | - |
| Pernille Fabricius¹ | - | - | 179 | 855 | 546 |
| Pekka Ala-Pietilä | - | - | - | 730 | 1,057|
| Thomas Broe-Andersen¹ | - | - | - | 0 | 0 |
| Carsten Gomard¹ | - | - | - | 637 | 1,000|
| **Remuneration of Executive Management** | | | | | |
| André Rogaczewski, CEO | 8,242| 11,188| 10,760| 10,632| 7,778|
| Claus Jørgensen, COO | 8,265| 11,247| 10,929| 10,502| 7,990|
| Thomas Johansen, CFO | 4,535| 6,415 | 6,002 | 5,920 | 5,793|
| **Financial Measures, Netcompany Group** | | | | | |
| Revenue | 5,544,646 | 3,631,971 | 2,838,590 | 2,453,853 | 2,053,216 |
| Organic Revenue | 4,172,773 | 3,346,387 | 2,812,433 | 2,416,493 | 1,777,506 |
| Adjusted EBITDA margin | 20.0% | 24.3% | 28.5% | 27.5% | 27.0% |
| Adjusted EBITA margin | 17.5% | 21.8% | 26.2% | 25.2% | 25.0% |
| Average FTEs in Group | 6,906 | 3,787 | 2,768 | 2,293 | 1,861 |
| Average pay for company employees² | 454 | 548 | 561 | 533 | 510 |
| CEO pay ratio | 1:18 | 1:20 | 1:19 | 1:20 | 1:15 |
¹ Retired from the Board of Directors
² Average pay excluding Board of Directors and Executive Management
Risk management is anchored locally under the guidelines and methodology set out by the Board of Directors.
Risk management has always been an integral part of doing business in Netcompany. Whether it be entering new business lines, onboarding new customers, embracing new technologies or ensuring new employees understand and adhere to the Group’s risk management, the philosophy has always been to anchor responsibility locally with the operational units based on methodology and processes defined centrally.
With expansion into new business areas and with increased business complexity the natural inherent risk in the Group has increased during the past years. Entering into multi-year development contracts, running mission-critical infrastructure and expanding coverage to new countries, naturally increases the need for a more comprehensive Risk Management Framework.
Netcompany continuously improves the Risk Management Framework with the aim of strengthening management of risks across the Group.
**Risk Management Framework**
The overall process for the risk reporting can be illustrated as below:
The framework consists of a Risk Governance structure, defining the overall roles and mandates across Netcompany.
Each quarter, the main risks and accompanying mitigating actions are presented to the Audit Committee and Board of Directors, who discuss the overall risk level for the Group and ensures that Executive Management implements mitigating actions, if required, and continuously oversees the net risk exposure of the Group.
The number of main risks within the Group, assessed quarterly by the Audit Committee and Board of Directors, vary but is generally between 25 and 35. These risks all fall within the main areas as described above.
The following pages give an overview of Netcompany’s key risks, including root causes and mitigation actions taken throughout the Group in 2022.
### Overview of top risks after mitigations
| Severity of impact | Probability of occurrence |
|--------------------|---------------------------|
| 1 | |
| 2 | |
| 3 | |
| 4 | |
| 5 | |
| 6 | |
#### Heatmap of top risks
The heatmap is used in the quarterly risk assessment.
1. Not able to attract and retain talent
2. Growth through acquisitions
3. Loss of existing clients
4. Unable to generate new business
5. Cyberattack
6. General dataprotection regulation
Not able to attract and retain talent
**Root cause**
Netcompany is built on talent and as an IT services company, future growth is directly linked to the ability to continuously attract, develop and retain talent.
Failure to continue to grow the employee base will limit the growth opportunities.
Further, the progression of newly hired consultants to become managers, principals and eventually partners represents an equally high risk, as the continued development of the hierarchy is also a prerequisite for future growth.
**Risk**
Losing the close relationship with universities and other institutions may lead to a less favourable perception of Netcompany among graduates, thereby reducing the applicant pool for new hires.
A discontinuation of the Netcompany Academy may lead to fewer new applicants wanting to apply as career progression would be perceived as limited.
Further, the lack of ongoing development of talented people may lead to loss of more experienced consultants, which in turn will have a negative impact on Netcompany’s ability to hire new graduates, as the senior consultant and manager level in the career pyramid is crucial for continued growth.
**Mitigating actions**
Continued building and maintaining relationships with leading universities in all countries where Netcompany is represented.
Continued funding for the Netcompany Academy. In case of potential short term declines in revenues, the Academy will be one of the last resorts for spending cuts as it is a key pillar for continued growth.
Established presence in other countries with large pools of available relevant IT professionals.
Introduction of improved employment benefits including a significant improvement to the parental leave benefits.
Growth through acquisitions
**Root cause**
A key part of Netcompany’s growth strategy is to expand into new countries through acquisitions.
**Risk**
Integration of acquired companies into the Netcompany Core delivery model may be delayed leading to sub optimal performance. The integration projects are typically extensive and lengthy and may lead to project fatigue leading to increased employee dissatisfaction.
Larger acquisitions – like Intrasoft – may introduce new risks into the Group and/or accelerated risk taking in the acquired company in general.
Further, the decision taken not to integrate an acquired company fully into the Netcompany Core delivery model may lead to continued risk taking in the acquired company.
For both types of acquisitions, a general risk is that of losing key customers, key employees, exposure towards litigation and loss of reputation following bad projects. Further the ongoing operation of Intrasoft’s current business as a “stand alone” could lead to increased exposure on larger projects where the Group would not be able to support in crisis situations as those projects are delivered using different delivery models.
**Mitigating actions**
In any acquisition detailed due diligence will be conducted. When applicable, the transaction will be insured. Also, payment of substantial parts of the valuation will be based on future performance and paid only when such performance is met.
Continuous focus on achieving the goals of the integration through a structured process, including allocating Netcompany resources into external projects and internal process during the integration.
In addition, Netcompany and Intrasoft already had a long standing working relationship and have delivered projects together which has added valuable knowledge about the Intrasoft organisation into Netcompany.
Loss of existing clients
**Root cause**
More than 90% of Netcompany’s business is generated from existing customers at the beginning of the year. Maintaining the current level of repeat customer revenue is thus a prerequisite for the continued growth of Netcompany.
**Risk**
Failing to meet the target of being “on time, on budget and in scope” may lead to loss of both reputation and repeat business with existing clients. Further, some contracts – particular in the public segment – include terms whereby the potential liability related to a project or ongoing maintenance of a solution developed is uncapped, which could lead to significant financial losses for Netcompany.
**Mitigating actions**
Ensuring that projects are monitored and assessed on an ongoing basis so that potential issues and problems are identified before they escalate.
The Netcompany project methodology ensures that no new solution is taken into production without written approval of the solution and test from the client. This also applies to upgrades, change request and changes to the solution taken into production in general. These mitigating factors ensure that while contracts from time to time have uncapped liabilities as part of the terms, the mitigated risk exposure is limited and of theoretical substance only.
Unable to generate new business
**Root cause**
New customers in new segments and new markets are an integrated part of Netcompany’s growth strategy, and a lack of new business being added continuously would impact Netcompany’s longer term growth trajectory.
**Risk**
Failing to meet the target of being “on time, on budget and in scope” may lead to loss of reputation in the market hindering Netcompany’s ability to generate new business.
Inability to answer tenders and business requests due to resource constraints may lead to a perception in the market that Netcompany is not able to deliver on the committed obligations.
**Mitigating actions**
Ensuring that projects are monitored and assessed on an ongoing basis so that potential issues and problems are identified before they escalate.
Continued allocation of sufficient time for senior staff to conduct “business development” and allowing time to be used for answering tenders and business requests to ensure that a healthy pipeline is maintained at all time.
## Cyberattack
### Root cause
As Netcompany is hosting solutions for customers, cyberattacks will always be a potential risk, which Netcompany has the responsibility to ensure adequate protection against. The customer base and the types of services delivered are rising in criticality and exposure, which may lead to an increase in the risk of cyberattacks.
### Risk
Cyberattacks, including unauthorised access to network and data, could potentially damage the reputational image.
System down time also includes attacks due to a breach or leak at the external supplier. Unexpected down time for a system could result in data breach, loss of customers and increased costs for Netcompany and its customers.
### Mitigating actions
Netcompany has various controls implemented to handle both internal and external risks, including storage platforms with georedundant mirroring capabilities as well as established backup procedures for internal system failure.
External suppliers to Netcompany are obliged to deliver an ISAE 3402 Type II audit statement to Netcompany annually to ensure compliance for the external suppliers.
Netcompany continuously access the level of security in both its solutions and internal IT environments.
## General data protection regulation
### Root cause
The general data protection regulation (GDPR) was implemented in May 2018, with the purpose of protecting EU citizens' privacy. The regulation sets forth the requirements for processing personal data.
Netcompany provides IT solutions to both private and public customers, which involves personal and sensitive data.
### Risk
Netcompany must at all times be compliant with all requirements, and it is crucial that no information leak or breach can occur.
If Netcompany is unable to demonstrate compliance with GDPR or in the unlikely event, that there is a breach of personal data, Netcompany could potentially be fined and will suffer reputational damage.
### Mitigating actions
At the beginning of 2018, Netcompany implemented and communicated an internal data privacy policy including a methodology framework. Furthermore, security policies including security technology, to ensure effective protection, has been implemented.
In 2020, Netcompany adopted a data ethics policy to further ensure the interface of handling all data in all matters.
Financial Statements
In this section
- Financial statements - Group
- Financial statements - Parent
- Management statements
- Auditor’s report
- Formulas
- Company information
## Financial statements – Group
### Content
| Statement of comprehensive income | 71 |
|-----------------------------------|----|
| Statement of financial position | 72 |
| Statement of changes in equity | 73 |
| Cash flow statement | 74 |
**Parent Company financial statements**
- Management statement: 140
- Independent auditor’s report: 141
### Notes to the consolidated financial statements
#### Section 1: Basis of preparation
- **Note 1**: Accounting policies: 76
- **Note 2**: Effect of the change in accounting policies: 79
#### Section 2: Result for the year
- **Note 3**: Segment information: 81
- **Note 4**: Cost of services: 87
- **Note 5**: Sales and marketing costs: 87
- **Note 6**: Administrative costs: 88
- **Note 7**: Staff costs and remuneration: 88
- **Note 8**: Special items: 91
- **Note 9**: Other operating income/loss: 91
- **Note 10**: Depreciation and amortisation: 92
- **Note 11**: Financial income and expenses: 92
- **Note 12**: Tax: 93
- **Note 13**: Income statement classified by function: 96
#### Section 3: Invested capital
- **Note 14**: Goodwill: 98
- **Note 15**: Other intangible assets: 100
- **Note 16**: Business combinations: 101
- **Note 17**: Investment properties: 104
- **Note 18**: Other tangible assets: 104
- **Note 19**: Investment in joint venture: 106
- **Note 20**: Financial assets at fair value through other comprehensive income: 107
- **Note 21**: Asset held for sale: 107
#### Section 4: Working capital & Capital structure
- **Note 22**: Trade receivables: 109
- **Note 23**: Contract work in progress: 110
- **Note 24**: Cash and cash equivalents: 112
- **Note 25**: Share capital: 112
- **Note 26**: Earnings per share: 113
- **Note 27**: Borrowings: 113
- **Note 28**: Pension obligations: 114
- **Note 29**: Other payables: 115
- **Note 30**: Provisions: 116
- **Note 31**: Non Cash items: 116
- **Note 32**: Working capital changes: 116
- **Note 33**: Financial risks and financial instruments: 117
- **Note 34**: Financial liabilities - maturity analysis: 119
- **Note 35**: Fair value hierarchy: 120
#### Section 5: Other disclosures
- **Note 36**: Fee to the Group auditor: 122
- **Note 37**: Related parties: 122
- **Note 38**: Collateral provided and contingent liabilities: 124
- **Note 39**: Adoption of the Annual Report for publication: 124
- **Note 40**: Events after the balance sheet date: 124
## Statement of comprehensive income for the Group for 2022
| DKK'000 | Notes | 2022 | 2021 |
|------------------|-------|------------|------------|
| Revenue | 3 | 5,544,646 | 3,631,971 |
| Cost of services | 4 | -3,772,174 | -2,298,687 |
| **Gross profit** | | 1,772,472 | 1,333,284 |
| Sales and marketing costs | 5 | -41,008 | -36,715 |
| Administrative costs | 6 | -763,881 | -503,399 |
| Special items | 8 | 5 | -37,729 |
| Other operating income / loss | 9 | 5,903 | -184 |
| **EBITA (non-IFRS)** | | 973,491 | 755,256 |
| Amortisation | 10 | -134,073 | -51,424 |
| **Operating profit (EBIT)** | | 839,417 | 703,833 |
| Financial income | 11 | 30,341 | 10,259 |
| Financial expenses | 11 | -100,261 | -43,648 |
| Fair value adjustment of contingent consideration | 16 | -7,874 | 78,906 |
| Income / loss from investment in joint venture | 19 | -5,873 | -21,732 |
| Income / loss from investment in associates | | 790 | 0 |
| **Profit before tax** | | 756,541 | 727,618 |
| Tax on profit for the year | 12 | -153,790 | -153,316 |
| **Profit for the year** | | 602,752 | 574,302 |
| *Of which* | | | |
| Non-controlling interest | | -617 | -1,840 |
| Netcompany Group A/S’ share | | 603,369 | 576,142 |
Earnings per share (DKK) | 26 | 12.27 | 11.73 |
Diluted earnings per share (DKK) | 26 | 12.15 | 11.59 |
### Other comprehensive income Items that may be reclassified subsequently to profit or loss:
| Description | Notes | 2022 | 2021 |
|--------------------------------------------------|-------|------|------|
| Exchange rate adjustments on translating foreign subsidiaries | 20 | -8,011 | 10,792 |
| Income / loss from financial assets recognised at fair value | | 0 | 0 |
### Other comprehensive income Items that may not be reclassified to profit or loss:
| Description | Notes | 2022 | 2021 |
|--------------------------------------------------|-------|------|------|
| Actuarial profit / loss on defined benefit plans | 28 | 410 | 0 |
### Other comprehensive income / loss
| Description | Notes | 2022 | 2021 |
|--------------------------------------------------|-------|------|------|
| **Other comprehensive income / loss** | | -7,602 | 10,792 |
### Of which
| Description | Notes | 2022 | 2021 |
|--------------------------------------------------|-------|------|------|
| Non-controlling interest | | 208 | 415 |
| Netcompany Group A/S’ share | | -7,810 | 10,378 |
### Comprehensive income for the year
| Description | Notes | 2022 | 2021 |
|--------------------------------------------------|-------|------|------|
| **Comprehensive income for the year** | | 595,150 | 585,095 |
### Of which
| Description | Notes | 2022 | 2021 |
|--------------------------------------------------|-------|------|------|
| Non-controlling interest | | -409 | -1,425 |
| Netcompany Group A/S’ share | | 595,559 | 586,620 |
## Statement of financial position of the Group at 31 December 2022
| DKK'000 | Notes | 2022 | 2021 |
|------------------|-------|------------|------------|
| Goodwill | 14, 16| 3,372,453 | 3,372,453 |
| Other intangible assets | 15, 16| 507,410 | 523,746 |
| **Intangible assets** | | **3,879,863** | **3,896,198** |
| Investment properties | 17 | 2,477 | 2,477 |
| Other tangible assets | 18 | 329,680 | 314,418 |
| **Tangible assets** | | **332,158** | **316,895** |
| Investment in joint venture | 19 | 97,360 | 103,233 |
| Investment in associates | | 8,001 | 7,211 |
| Other securities and investments | 20 | 1,324 | 2,102 |
| Other receivables | | 54,932 | 26,225 |
| Deferred tax assets | 12 | 32,742 | 17,391 |
| **Financial assets** | | **194,359** | **156,162** |
| **Non-current assets** | | **4,406,380** | **4,369,255** |
| Trade receivables | 22 | 1,111,954 | 1,031,880 |
| Receivables from joint venture | | 9,984 | 7,311 |
| Receivables from associates | | 16,369 | 16,369 |
| Contract work in progress | 23 | 1,114,527 | 1,019,974 |
| Other receivables | | 38,276 | 39,557 |
| Prepayments | | 124,410 | 74,900 |
| Tax receivable | 12 | 35,964 | 0 |
| **Receivables** | | **2,451,483** | **2,189,992** |
| Cash | 24 | 336,048 | 458,779 |
| **Current assets** | | **2,787,531** | **2,648,771** |
| **Assets classified as held for sale** | 21 | 0 | 3,123 |
| **Assets** | | **7,193,911** | **7,021,150** |
| DKK'000 | Notes | 2022 | 2021 |
|------------------|-------|------------|------------|
| Share capital | 25 | 50,000 | 50,000 |
| Treasury shares | | -313,287 | -241,409 |
| Share-based remuneration | | 54,226 | 70,177 |
| Exchange rate adjustments on translating subsidiaries | | -1,635 | 6,584 |
| Retained earnings | | 3,730,977 | 3,145,769 |
| Other reserves | | 410 | 0 |
| **Equity attributable to Netcompany Group A/S** | | **3,520,691** | **3,031,121** |
| Non-controlling interests | | 6,180 | 6,796 |
| **Equity** | | **3,526,870** | **3,037,918** |
| Borrowings | 27 | 1,872,372 | 2,275,788 |
| Pension obligations | 28 | 13,772 | 18,198 |
| Lease liability | | 180,514 | 147,979 |
| Other payables | 29 | 0 | 94,498 |
| Deferred tax liability | 12 | 110,992 | 134,255 |
| **Non-current liabilities** | | **2,177,650** | **2,670,719** |
| Borrowings | 27 | 47,314 | 74,497 |
| Pension obligations | 28 | 5,829 | 0 |
| Lease liability | | 85,420 | 98,645 |
| Prebilled invoices | 23 | 433,498 | 350,880 |
| Trade payables | | 265,196 | 328,496 |
| Other payables | 29 | 640,582 | 446,006 |
| Provisions | 30 | 11,550 | 8,839 |
| Income tax payable | 12 | 0 | 5,150 |
| **Current liabilities** | | **1,489,390** | **1,312,514** |
| Liabilities associated with assets classified as held for sale | 21 | 0 | 0 |
| **Liabilities** | | **3,667,040** | **3,983,233** |
| **Equity and liabilities** | | **7,193,911** | **7,021,150** |
## Statement of changes in equity for the Group for 2022
| DKK'000 | Share capital | Treasury shares | Share-based remuneration | Exchange rate adjustments on translating subsidiaries | Retained earnings | Other reserves | Total equity, Netcompany Group A/S | Non-controlling interests | Total equity |
|---------|---------------|-----------------|--------------------------|------------------------------------------------------|-------------------|---------------|------------------------------------|--------------------------|--------------|
| **Equity at 1 January 2022** | 50,000 | -241,409 | 70,177 | 6,584 | 3,145,769 | 0 | 3,031,121 | 6,796 | 3,037,918 |
| Profit for the year | 0 | 0 | 0 | 0 | 603,369 | 0 | 603,369 | -617 | 602,752 |
| Other comprehensive income / loss for the year | 0 | 0 | 0 | -8,219 | 0 | 410 | -7,810 | 208 | -7,602 |
| **Total comprehensive income** | 0 | 0 | 0 | -8,219 | 603,369 | 410 | 595,559 | -409 | 595,150 |
| Treasury shares acquired in the year | 0 | -111,472 | 0 | 0 | -20,016 | 0 | -131,487 | 0 | -131,487 |
| Treasury shares used in business combinations | 0 | 171 | 0 | 0 | 388 | 0 | 559 | 0 | 559 |
| Share-based remuneration for the year (note 7) | 0 | 39,423 | -15,952 | 0 | 1,411 | 0 | 24,882 | 0 | 24,882 |
| Movement of non-controlling interest | 0 | 0 | 0 | 0 | 0 | 0 | -207 | -207 | -207 |
| **Total transactions with owners** | 0 | -71,878 | -15,952 | 0 | -18,217 | 0 | -106,046 | -207 | -106,254 |
| **Equity at 31 December 2022** | 50,000 | -313,287 | 54,226 | -1,635 | 3,730,977 | 410 | 3,520,691 | 6,180 | 3,526,870 |
| **Equity at 1 January 2021** | 50,000 | -175,000 | 42,478 | -3,793 | 2,514,936 | 0 | 2,428,621 | 0 | 2,428,621 |
| Profit for the year | 0 | 0 | 0 | 0 | 576,142 | 0 | 576,142 | -1,840 | 574,302 |
| Other comprehensive income / loss for the year | 0 | 0 | 0 | 10,378 | 0 | 0 | 10,378 | 415 | 10,792 |
| **Total comprehensive income** | 0 | 0 | 0 | 10,378 | 576,142 | 0 | 586,520 | -1,425 | 585,095 |
| Treasury shares acquired in the year | 0 | -99,993 | 0 | 0 | 0 | 0 | -99,993 | 0 | -99,993 |
| Treasury shares used in business combinations | 0 | 29,091 | 0 | 0 | 103,791 | 0 | 132,882 | 0 | 132,882 |
| Share-based remuneration for the year (note 7) | 0 | 4,493 | 27,699 | 0 | 0 | 0 | 32,192 | 0 | 32,192 |
| Dividend paid | 0 | 0 | 0 | 0 | -50,000 | 0 | -50,000 | 0 | -50,000 |
| Dividend on treasury shares | 0 | 0 | 0 | 0 | 900 | 0 | 900 | 0 | 900 |
| Addition of non-controlling interest (note 16) | 0 | 0 | 0 | 0 | 0 | 0 | 8,221 | 8,221 | 8,221 |
| **Total transactions with owners** | 0 | -66,409 | 27,699 | 0 | 54,691 | 0 | 15,981 | 8,221 | 24,203 |
| **Equity at 31 December 2021** | 50,000 | -241,409 | 70,177 | 6,584 | 3,145,769 | 0 | 3,031,121 | 6,796 | 3,037,918 |
## Cash flow statement for the Group for 2022
| DKK'000 | Notes | 2022 | 2021 |
|------------------|-------|------------|------------|
| Operating profit (EBIT) | | 839,417 | 703,833 |
| Depreciation and amortisation | 10 | 272,653 | 139,201 |
| Non-cash | 31 | 14,382 | 43,685 |
| Working capital changes | 32 | 59,320 | -189,249 |
| **Total** | | **1,067,132** | **697,470** |
| Income taxes paid | | -234,084 | -197,489 |
| Financial income received | | 7,285 | 2,914 |
| Financial expenses paid | | -67,328 | -37,298 |
| **Cash flows from operating activities** | | **773,005** | **465,597** |
| Cash outflow on acquisition of subsidiaries | 16 | -50,011 | -1,270,938 |
| Cash and cash equivalents at acquisition date of subsidiaries | 16 | 0 | 132,415 |
| Investment in joint venture | 19 | 0 | -55,000 |
| Capitalisation of intangible assets | | -98,046 | -11,304 |
| Acquisition of intangible assets | 37 | -20,000 | 0 |
| Acquisition of fixed assets | | -52,211 | -46,246 |
| Disposals of fixed assets | | 477 | 2,321 |
| Other receivables (deposits) | | -28,927 | -5,731 |
| Other investments/divestment | | 4,432 | 0 |
| **Cash flows from investing activities** | | **-244,286** | **-1,254,484** |
| Dividends paid | | 0 | -49,100 |
| Payments of treasury shares | | -131,487 | -99,993 |
| Proceeds from borrowings | | 2,182,836 | 1,700,545 |
| Repayment of borrowings | | -2,610,033 | -612,076 |
| Repayment of leasing debt | | -87,332 | -56,988 |
| **Cash flows from financing activities** | | **-646,017** | **882,388** |
| Increase in cash and cash equivalents | | -117,298 | 93,501 |
| Cash and cash equivalents at 1 January | | 458,779 | 358,996 |
| Effect of exchange rate changes on the balance of cash held in foreign currencies | | -5,433 | 6,281 |
| **Cash and cash equivalents at 31 December** | 24 | **336,048** | **458,779** |
### Reconciliation of liabilities arising from financing activities (DKK'000)
| Borrowings (note 27) | Leasing | Total |
|----------------------|---------|-------|
| **Opening balance 1 January 2022** | | |
| Leasing (non-cash) | 0 | 106,643 |
| Proceeds from borrowings | 2,182,836 | 0 |
| Repayments | -2,610,033 | -87,332 |
| Loan costs on refinancing | -9,469 | 0 |
| Amortisation of loan costs (non-cash) | 6,053 | 0 |
| Exchange rate adjustments | 13 | 0 |
| **Closing balance 31 December 2022** | 1,919,686 | 265,934 | 2,185,620 |
| Borrowings (note 27) | Leasing | Total |
|----------------------|---------|-------|
| **Opening balance 1 January 2021** | | |
| Leasing (non-cash) | 0 | 127,382 |
| Acquired entities | 500,453 | 0 |
| Acquired entities (non-cash) | 0 | 83,461 |
| Proceeds from borrowings | 1,700,545 | 0 |
| Repayments | -612,076 | -56,988 |
| Amortisation of loan costs (non-cash) | 414 | 0 |
| Exchange rate adjustments | 394 | 0 |
| **Closing balance 31 December 2021** | 2,350,286 | 246,624 | 2,596,910 |
Basis of preparation
This section introduces the Group’s accounting policies and significant judgements, estimates and assumptions and any effect of changes within. Netcompany aims to provide transparency on disclosed amounts and describes accounting policy and significant judgements, estimates and assumptions where relevant. A detailed specification of the Group’s accounting policies is presented in relevant notes.
Netcompany Group A/S presents the financial statements in accordance with the International Financial Reporting Standards as adopted by the EU and additional Danish disclosure requirements for financial statements applicable to the 2022 financial year.
Netcompany Group A/S is an entity with its registered office in Denmark.
The financial statements are presented in DKK, which is considered the functional currency of the Group’s and the Parent’s activities.
Totals in the financial statements have been calculated on the basis of actual amounts in accordance with the correct mathematical method. A recalculation of totals may in some cases result in rounding differences caused by the underlying decimals not disclosed to the reader.
The Danish Business Authority has commenced compliance review of Netcompany Group A/S’ annual reports for 2020 and 2021. Based on the compliance review, the Danish Business Authority has indicated that the earn out payment related to the acquisition acquisition of QDelft B.V. (now Netcompany Netherlands) should not be included in capitalised acquisition costs and goodwill, but instead expensed as remuneration over the earn-out period in accordance with IFRS 3, section B55(a). The goodwill amount related to earn-out payment was calculated to DKK 120m at the completion of the purchase price allocation in 2019 and is included in the balance on 31 December 2022 as goodwill.
Netcompany Group A/S does not agree with the indications and is currently in a dialogue with the Danish Business Authority.
If the Danish Business Authority decides in accordance with its indications, Netcompany Group A/S will be required to update its accounting treatment of earnout payment in the Annual Reports from goodwill to remuneration for the years 2019-2022.
The possible change will impact the balance sheet by reducing the goodwill on 31 December 2022 by DKK 120m and reducing the net equity on 31 December 2022 by DKK 2m including the impact from remuneration to be treated as share based payment.
The possible change to the profit and loss over the period 2019-2022 will increase salary costs, including those from share-based payment, for the years 2019 (DKK 54m), 2020 (DKK 81m), 2021 (DKK 34m) and 2022 (DKK 23m) in addition to reversals of fair value adjustments to the earn-out in the period 2020-2022 of total DKK 71m of which DKK 8m has been recorded as a negative fair value adjustment in 2022.
No impact on total cash flow will be affected by such a technical change to the accounting policies.
Netcompany Group A/S awaits the outcome of the discussions with the Danish Business Authority before decisions of any potential changes will be conducted and published further.
Consolidated financial statements
The consolidated financial statements comprise Netcompany Group A/S (Parent) and the entities (subsidiaries) that are controlled by the Parent. Control is achieved when the Parent is exposed, or has rights, to variable returns from its involvement with an entity and has the ability to use its power over the entity to affect those returns.
Consolidation principles
The consolidated financial statements are prepared on the basis of the financial statements of Netcompany Group A/S and its subsidiaries. The consolidated financial statements are prepared by adding together financial statement items of a uniform nature. The financial statements used for consolidation have been prepared applying the Group’s accounting policies. On consolidation, intra-group income and expenses, intra-group accounts and dividends as well as profits and losses on transactions between the consolidated entities are eliminated.
Subsidiaries’ financial statement items are recognised in full in the consolidated
acquiree financial statements. Netcompany-Intrasoft S.A. is recognised from 1 November 2021, when the Group acquired full control of the acquiree.
**Transactions and non-controlling interest**
The Group treats transactions with non-controlling interests as transactions with equity owners of the Group. For purchases from non-controlling interests, the difference between any consideration paid and the relevant share acquired of the carrying value of net assets of the subsidiary is recorded in equity. Gains or losses on disposals to non-controlling interests are also recorded in equity.
When the Group ceases to have control or significant influence, any retained interest in the entity is remeasured to its fair value, with the change in carrying amount recognised in profit or loss.
The fair value is the initial carrying amount for the purposes of subsequently accounting for the retained interest as an associate, joint venture or financial asset. In addition, any amounts previously recognised in other comprehensive income in respect of that entity are accounted for as if the Group had directly disposed of the related assets or liabilities. This may mean that amounts previously recognised in other comprehensive income are reclassified to profit or loss.
**Applying materiality**
The Annual Report is based on the concept of materiality, to ensure that the content is material and relevant to the readers. The consolidated financial statements consist of many transactions. These transactions are aggregated into classes according to their nature or function and presented in classes of similar items in the financial statements and in the notes as required by IFRS. If items are individually immaterial, they are aggregated with other items of a similar nature in the statements or in the notes.
The disclosure requirements throughout IFRS are substantial and provides the specific disclosures required by IFRS unless the information is considered immaterial to the economic decision making of the readers of these financial statements.
**Foreign currency translation**
On initial recognition, foreign currency transactions are translated applying the exchange rate at the transaction date. Receivables, payables and other monetary items denominated in foreign currencies that have not been settled at the balance sheet date are translated using the exchange rate at the balance sheet date. Exchange differences that arise between the rate at the transaction date and the one in effect at the payment date or the rate at the balance sheet date are recognised in the income statement as financial income or financial expenses.
Property, plant and equipment, intangible assets, and other non-monetary assets that have been purchased in foreign currencies are translated using historical rates.
When subsidiaries, which prepare their financial statements in a functional currency different from DKK are consolidated into the consolidated financial statements, the items of the income statement are translated at the average exchange rates. Exchange differences arising out of the translation of foreign subsidiaries’ balance sheet items at the beginning of the year using the balance sheet date exchange rates as well as out of the translation of income statements from average rates to the exchange rates at the balance sheet date are recognised in other comprehensive income.
**Revenue recognition**
Revenue is measured based on the consideration to which the Group expects to be entitled in a contract with a customer and excludes amounts collected on behalf of third parties.
The Group recognition of revenue can be over time or at a point in time. In general, revenue from contracts with customers is recognised when control is transferred to the customer at an amount that reflects the consideration to which Netcompany expects to be entitled in exchange for those services. Revenue is recognised over time when an asset on behalf of a customer is created with no alternative use and the Group has an enforceable right to payment for performance completed year to date, or the customer obtains control of a service.
and thus has the ability to direct the use and obtain the benefit from the service.
In recognising revenue, the Group apply the five-step-model in IFRS 15. The Group’s primary service offerings include information technology consulting services and operations solutions. These services are characterised by being deliveries which in nature are negotiated contracts based on consumption and typically comprise advisory, design and development activities, thus being complex in nature. Each contract is divided into separate performance obligations whether this means unbundling contracts or combining contracts.
License is identified on a contract by contract assessment and recognised either at a point in time or point over time on behalf of the alternative use for the group and that the costumer gets the right to use the Group’s intellectual property as it exists, when the license is granted.
Consulting services are generally provided on either a time-and-material basis or on a fixed price contract basis. Revenue from time-and-material contracts recognised as hours are delivered and direct expenses are incurred.
Revenue from fixed price contracts is recognised under the percentage-of-completion method, whereby revenue is recognised based on hours incurred to date as a percentage of the total estimated costs of hours to fulfil the contract. Reference to cost is assessed to be the most appropriate method as incurred hours are the value driver for the projects.
A contract modification is a change to an existing contract. A contract modification might change the contract’s scope, price or both. A contract modification exists when the parties to the contract approve the modification. An assessment is often needed to determine whether changes to existing rights and obligations should have been accounted for as part of the original contract, or as a separate contract. Contract modifications can be accounted for either as a separate contract, prospectively, or as a catch-up adjustment. The nature of the modification determines the way it is accounted for.
Revenue from operating solutions is recognised in the period the solutions are provided.
**Cash flow statement**
The cash flow statement shows cash flows from operating, investing and financing activities as well as cash and cash equivalents at the beginning and the end of the financial year.
Cash flows from operating activities are presented using the indirect method and calculated as the operating profit adjusted for non-cash operating items, working capital changes as well as financial income received and financial expenses and income taxes paid.
Cash flows from investing activities comprise payments in connection with acquisition of subsidiaries and joint ventures, activities and fixed asset investments and proceeds from the sale of property, plant and equipment. In the parent financial statements, investing activities also include receipt of dividends from subsidiaries.
Cash flows from financing activities comprise cash from changes in the size or composition of the Group’s share capital and related costs as well as the raising of loans, instalments on interest bearing debt, payments relating to leasing obligations and dividend payments to shareholders.
Cash and cash equivalents comprise cash.
For a detailed specification of the Group’s accounting policies, please see relevant notes in the consolidated financial statements.
Significant judgements, estimates and assumptions
When applying the accounting policies, Management has to make judgements, estimates and assumptions about the carrying amount of assets and liabilities that cannot be directly derived from other sources. Such estimates and assumptions are based on historical experience and other relevant factors that are believed to be reasonable under the circumstances. The actual results may deviate from these estimates under different assumptions or conditions.
Estimates and the underlying assumptions are reassessed on a regular basis. Any changes in the accounting estimates are recognised in the accounting period in which the change was made as well as in future accounting periods if the change affects the period in which it was made as well as subsequent accounting periods.
In the financial statements it is particularly important to note the judgements, estimates and assumptions shown below. These are described in further detail adjacent to the relevant disclosed notes.
| Note | Key accounting estimates and judgements | Nature of accounting impact | Impact of accounting estimates and judgements |
|---------------|--------------------------------------------------------------------------------------------------------|-----------------------------|---------------------------------------------|
| Note 8 | Judgement from management in separating special items | Judgement | |
| Note 14 | Assumptions used in value-in-use calculations for impairment testing | Estimate | |
| Note 15 | Assumptions used in value-in-use calculations for impairment testing | Estimate | |
| Note 16 | Assumptions used in determining the fair value of assets and liabilities identified in the business combination | Estimate | |
| Note 19 | Judgement from management in classification as joint venture based on contractual and operational relationship between the parties | Judgement | |
| Note 23 | Estimates used in determining performance obligations | Judgement | |
| Note 23 | Estimates used in determining the percentage of completion | Estimate | |
| Note 28 | External and independent actuaries used for estimating the obligation | Estimate | |
| Note 29 | Assumptions used in determining the fair value of the contingent consideration | Estimate | |
| Note 30 | Assumption for provisions | Estimate | |
Effect of the change in accounting policies
Netcompany Group has adopted relevant new or amended standards (IFRS) and interpretation (IFRIC) as adopted by the EU and which are effective for the financial year 1 January – 31 December 2022. Netcompany Group has assessed that the new or amended standards and interpretations have not had any material impact on Netcompany Group’s Annual Report in 2022.
At the date of authorisation of these financial statements, the Group has assessed the new and revised standards (IFRS) that have been issued but are not yet effective. Based on the current business setup and level of activities, none of the new standards or interpretations are expected to have a material impact on Netcompany Group’s Annual Report.
Result for the year
This section covers notes related to the performance for the financial year, including segment information showing operating entities revenue and EBITDA-margin for operational entities.
Revenue
5,544.6 DKKm
2022 5,544.6
2021 3,632.0
Adjusted EBITDA (non-IFRS)
1,106.2 DKKm
2022 1,106.2
2021 880.9
Segment information
Business segments have been identified as operating segments, which are consistent with the internal reporting to Executive Management and the Board of Directors.
Netcompany considers Executive Management to be the operating decision making body, as all significant decisions regarding business development are taken in that forum.
Netcompany delivers IT solutions that enable and support private and public customers in their digital transformation. The public business area covers EU institutions, public authorities or companies acting as a public company. The private business area covers all other types of customers.
Netcompany’s main geographical markets are Denmark (home market), Norway, United Kingdom, Netherlands, Greece, Belgium and Luxembourg. Besides these seven main markets in Europe, Netcompany is also geographically represented in Spain, Cyprus, Poland, Romania, and in Africa, Asia, Middle East and North America with offices in Jordan, Kenya, United Arab Emirates, United States, South Africa and Vietnam.
Revenue per business segment
2022 Total: 5,544,646 (3,631,971)*
- Netcompany Denmark: 51.9% (71.3%)*
- Netcompany Netherlands: 31.2% (7.9%)*
- Netcompany Norway: 9.7% (11.2%)*
- Netcompany Intrasoft: 5.3% (7.4%)*
- Netcompany UK: 1.9% (2.3%)*
* 2021 numbers are put in brackets
## Segment information (continued)
| Revenue types (DKK'000) | Public 2022 | Private 2022 | Total 2022 | Public 2021 | Private 2021 | Total 2021 |
|-------------------------|-------------|--------------|------------|-------------|--------------|------------|
| Development | 1,505,676 | 1,134,528 | 2,640,203 | 1,319,467 | 982,939 | 2,302,407 |
| Maintenance | 2,061,108 | 815,026 | 2,876,134 | 889,487 | 438,529 | 1,328,016 |
| Licenses | 28,132 | 177 | 28,309 | 1,430 | 117 | 1,548 |
| **Revenue by type, total** | **3,594,916** | **1,949,731** | **5,544,646** | **2,210,385** | **1,421,586** | **3,631,971** |
| Business segments (DKK'000) | Public 2022 | Private 2022 | Total 2022 | Public 2021 | Private 2021 | Total 2021 |
|-----------------------------|-------------|--------------|------------|-------------|--------------|------------|
| Revenue | 3,594,916 | 1,949,731 | 5,544,646 | 2,210,385 | 1,421,586 | 3,631,971 |
| Cost of services | -2,560,981 | -1,211,193 | -3,772,174 | -1,477,646 | -821,041 | -2,298,687 |
| **Gross profit** | **1,033,935** | **738,538** | **1,772,472** | **732,739** | **600,545** | **1,333,284** |
| Sales and marketing costs | -27,129 | -13,879 | -41,008 | -23,405 | -13,309 | -36,715 |
| Administrative costs | -509,936 | -253,945 | -763,881 | -318,311 | -185,089 | -503,399 |
| **Adjusted EBITA (non-IFRS)** | **496,870** | **470,715** | **967,583** | **391,023** | **402,147** | **793,170** |
| **Adjusted EBITA margin (non-IFRS)** | **13.8%** | **24.1%** | **17.5%** | **17.7%** | **28.3%** | **21.8%** |
| Special items | 3 | 2 | 5 | -23,521 | -14,208 | -37,729 |
| Other operating income / loss | 0 | 5,903 | 5,903 | 0 | -184 | -184 |
| **EBITA (non-IFRS)** | **496,872** | **476,620** | **973,491** | **367,502** | **387,754** | **755,256** |
| **EBITA margin (non-IFRS)** | **13.8%** | **24.4%** | **17.6%** | **16.6%** | **27.3%** | **20.8%** |
## Segment information (continued)
### Public segment
| Public segment information related to operating entities (DKK’000) | Netcompany Denmark | Netcompany Norway | Netcompany United Kingdom | Netcompany Netherlands | Netcompany-Intrasoft |
|---------------------------------------------------------------|-------------------|------------------|--------------------------|-----------------------|----------------------|
| **Revenue** | 1,674,490 | 1,526,327 | 175,070 | 373,544 | 230,372 |
| **Cost of service** | -1,035,834 | -936,561 | -149,076 | -136,203 | -163,701 |
| **Gross profit** | 638,656 | 589,765 | 25,994 | 35,282 | 97,839 |
| **Gross profit margin** | 38.1% | 38.6% | 14.8% | 20.6% | 26.2% |
| **Administrative and sales costs** | -250,282 | -206,080 | -38,310 | -31,662 | -53,687 |
| **Adjusted EBITA before allocated HQ costs** | 388,374 | 383,686 | -12,516 | 3,620 | 44,152 |
| **Adjusted EBITA margin before allocated cost from HQ** | 23.2% | 25.1% | -7.0% | 2.1% | 11.8% |
| **Allocated costs from HQ** | -16,185 | -17,364 | -1,950 | -2,322 | -4,207 |
| **Special items** | 2 | -17,331 | 0 | -2,453 | 1 |
| **Other operating income** | 0 | 0 | 0 | 0 | 0 |
| **EBITA** | 372,191 | 348,991 | -14,266 | -1,155 | 39,946 |
| **EBITA margin** | 22.2% | 22.9% | -8.1% | -0.7% | 10.7% |
---
**Note 3:**
## Segment information (continued)
### Private segment
#### Private segment information related to operating entities (DKK’000)
| | Netcompany Denmark 2022 | Netcompany Denmark 2021 | Netcompany Norway 2022 | Netcompany Norway 2021 | Netcompany United Kingdom 2022 | Netcompany United Kingdom 2021 | Netcompany Netherlands 2022 | Netcompany Netherlands 2021 | Netcompany-Intrasoft 2022 | Netcompany-Intrasoft 2021 |
|----------------------|-------------------------|--------------------------|------------------------|------------------------|---------------------------------|---------------------------------|----------------------------|----------------------------|--------------------------|--------------------------|
| Revenue | 1,202,677 | 1,064,025 | 116,973 | 95,794 | 166,524 | 176,298 | 1,986 | 4,646 | 461,571 | 80,823 |
| Cost of service | -633,511 | -551,847 | -101,385 | -65,806 | -108,742 | -137,032 | -1,509 | -3,869 | -366,045 | -62,487 |
| **Gross profit** | **569,166** | **512,177** | **15,588** | **29,988** | **57,782** | **39,266** | **477** | **778** | **95,526** | **18,336** |
| **Gross profit margin** | **47.3%** | **48.1%** | **13.3%** | **31.3%** | **34.7%** | **22.3%** | **24.0%** | **16.7%** | **20.7%** | **22.7%** |
| Administrative and sales costs | -164,127 | -128,632 | -23,244 | -14,474 | -20,487 | -29,579 | -471 | -1,574 | -45,911 | -9,760 |
| **Adjusted EBITA before allocated HQ costs** | **405,039** | **383,545** | **-7,657** | **15,515** | **37,295** | **9,687** | **6** | **-797** | **49,615** | **8,576** |
| Adjusted EBITA margin before allocated cost from HQ | 34.1% | 36.0% | -6.5% | 16.2% | 22.4% | 5.5% | 0.3% | -17.1% | 10.7% | 10.6% |
| Allocated costs from HQ | -10,857 | -10,821 | -1,097 | -1,066 | -1,606 | -2,414 | -23 | -78 | 0 | 0 |
| Special items | 1 | -10,929 | 0 | -1,036 | 0 | -2,097 | 0 | -147 | 0 | 0 |
| Other operating income | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 5,903 | -184 |
| **EBITA** | **394,183** | **361,796** | **-8,753** | **13,412** | **35,689** | **5,176** | **-17** | **-1,022** | **55,518** | **8,392** |
| **EBITA margin** | **32.8%** | **34.0%** | **-7.5%** | **14.0%** | **21.4%** | **2.9%** | **-0.9%** | **-22.0%** | **12.0%** | **10.4%** |
### Segment information (continued)
#### Segment information related to operating entities (DKK’000)
| | Netcompany Denmark 2022 | Netcompany Norway 2022 | Netcompany UK 2022 | Netcompany Netherlands 2022 | Netcompany Intrasoft 2022 | Total 2022 |
|----------------------|-------------------------|------------------------|--------------------|------------------------------|---------------------------|------------|
| Revenue from external customers | 2,877,167 | 292,043 | 540,068 | 102,700 | 1,732,668 | 5,544,646 |
| EBITA, operating entities (non-IFRS) | 771,298 | -23,020 | 75,635 | -18,537 | 168,116 | 973,491 |
1. Netcompany-Intrasoft operating entity consists of all activities related to the acquired company Intrasoft International S.A. For full overview of organisation, please refer to note 37.
#### Segment information related to geographical areas (DKK’000)
| | Denmark 2022 | Norway 2022 | United Kingdom 2022 | Netherlands 2022 | Belgium 2022 | Luxembourg 2022 | Greece 2022 | Other 2022 | Total 2022 |
|----------------------|--------------|-------------|---------------------|------------------|--------------|-----------------|-------------|------------|------------|
| Revenue from external customers | 2,915,238 | 295,161 | 555,171 | 109,019 | 672,028 | 155,876 | 584,014 | 258,139 | 5,544,646 |
#### Non-current assets (DKK’000)
| | Denmark 2022 | Norway 2022 | United Kingdom 2022 | Netherlands 2022 | Belgium 2022 | Luxembourg 2 | Greece 2022 | Other 2022 | Total 2022 |
|----------------------|--------------|-------------|---------------------|------------------|--------------|---------------|-------------|------------|------------|
| Intangible assets | 1,919,972 | 125,986 | 214,700 | 157,122 | 0 | 1,462,085 | 0 | 0 | 3,879,863 |
| Tangible assets | 90,712 | 45,790 | 17,312 | 21,646 | 37,440 | 12,941 | 34,420 | 71,896 | 332,158 |
| Financial assets | 137,053 | 12,731 | 8,144 | 14,614 | 0 | 4,566 | 4,021 | 13,231 | 194,359 |
| **Total non-current assets** | **2,147,737** | **184,506** | **240,156** | **193,382** | **37,440** | **1,479,592** | **38,441** | **85,127** | **4,406,380** |
2. Intangible assets recognised in accordance with the acquisition of Netcompany-Intrasoft has been allocated to Luxembourg in the split above.
### Segment information (continued)
#### Segment information related to operating entities (DKK’000)
| | Netcompany Denmark 2021 | Netcompany Norway 2021 | Netcompany UK 2021 | Netcompany Netherlands 2021 | Netcompany Intrasoft 2021 | Total 2021 |
|----------------------|-------------------------|------------------------|--------------------|------------------------------|---------------------------|------------|
| Revenue from external customers | 2,590,351 | 267,279 | 406,670 | 82,087 | 285,584 | 3,631,971 |
| EBITA, operating entities (non-IFRS) | 712,123 | 12,424 | 33,535 | -22,170 | 19,344 | 755,256 |
1. Netcompany-Intrasoft operating entity consists of all activities related to the acquired company Intrasoft International S.A. For full overview of organisation, please refer to note 37.
#### Segment information related to geographical areas (DKK’000)
| | Denmark 2021 | Norway 2021 | United Kingdom 2021 | Netherlands 2021 | Belgium 2021 | Luxembourg 2021 | Greece 2021 | Other 2021 | Total 2021 |
|----------------------|--------------|-------------|---------------------|------------------|--------------|-----------------|-------------|------------|------------|
| Revenue from external customers | 2,591,948 | 267,740 | 409,572 | 82,447 | 109,944 | 7,039 | 118,032 | 45,248 | 3,631,971 |
#### Non-current assets (DKK’000)
| | Denmark 2021 | Norway 2021 | United Kingdom 2021 | Netherlands 2021 | Belgium 2021 | Luxembourg 2 | Greece 2021 | Other 2021 | Total 2021 |
|----------------------|--------------|-------------|---------------------|------------------|--------------|--------------|-------------|------------|------------|
| Intangible assets | 1,893,369 | 134,997 | 227,474 | 159,135 | 0 | 1,481,223 | 0 | 0 | 3,896,198 |
| Tangible assets | 117,000 | 58,650 | 9,677 | 11,108 | 34,199 | 18,698 | 41,324 | 26,238 | 316,895 |
| Financial assets | 125,313 | 1,731 | 2,457 | 8,128 | 50 | 546 | 2,127 | 15,809 | 156,162 |
| **Total non-current assets** | **2,135,682** | **195,378** | **239,608** | **178,372** | **34,249** | **1,500,467** | **43,451** | **42,047** | **4,369,255** |
2. Intangible assets recognised in accordance with the acquisition of Netcompany-Intrasoft has been allocated to Luxembourg in the split above.
## Cost of services
| DKK'000 | 2022 | 2021 |
|---------|--------|--------|
| Project costs | 983,198 | 380,909 |
| Staff costs (note 7) | 2,764,862 | 1,888,564 |
| Depreciation (note 10) | 24,113 | 29,214 |
| **Total cost of services** | **3,772,174** | **2,298,687** |
## Sales and marketing costs
| DKK'000 | 2022 | 2021 |
|---------|--------|--------|
| Sales and marketing costs | 29,789 | 25,231 |
| Staff costs (note 7) | 11,218 | 11,484 |
| **Total sales and marketing costs** | **41,008** | **36,715** |
### Accounting principles
Project costs comprise external consultants/freelancers, subscriptions etc. Staff costs comprise wages and salaries for consultants incurred to achieve revenue. Depreciation comprises of depreciation relating to non-current assets used for projects that are directly incurred to achieve revenue for the year. Costs of services are expensed as the projects progress.
Costs of services recognised in the income statement is net of capitalised costs and costs for research and development reimbursed under EU governments grants.
Grants from the government are recognised where there is a reasonable assurance that the grant will be received, and the Group will comply with all attached conditions.
Government grants relating to costs are deferred and recognised in profit or loss over the period necessary to match them with the costs they are intended to compensate.
Netcompany has not received grants related to capitalised assets.
Administrative costs
Administrative costs comprise costs incurred for the Group’s administrative functions, including wages and salaries for administrative staff, internal consultants and management, general corporate cost, IT cost as well as depreciation relating to property, plant and equipment used for administration.
Staff costs and remuneration
Staff costs comprise salaries and wages including the value of share-based incentive programmes and cash bonus arrangements as well as social security costs, pension contributions etc. for the Group’s staff. Staff costs recognised in the income statement is net of capitalised staff costs and staff costs for research and development reimbursed under EU governments grants.
## Staff costs and remuneration (continued)
| DKK’000 | 2022 | 2021 |
|---------|--------|--------|
| **Remuneration to the Board of Directors** | | |
| Bo Rygaard | 1,372 | 1,050 |
| Juha Christensen | 979 | 788 |
| Scanes Bentley | 730 | 438 |
| Hege Skryseth | 565 | 350 |
| Asa Riisberg | 779 | 525 |
| Susan Cooklin | 525 | 0 |
| **Total remuneration to the Board of Directors** | 4,951 | 3,150 |
| **Remuneration to the Executive Management** | | |
| André Rogaczewski | 5,562 | 8,167 |
| Claus Jørgensen | 5,586 | 8,226 |
| Thomas Johansen | 3,043 | 4,734 |
| **Total short term remuneration** | 14,191 | 21,128 |
| André Rogaczewski | 765 | 3,370 |
| Claus Jørgensen | 765 | 3,370 |
| Thomas Johansen | 425 | 1,872 |
| **Total share-based remuneration expensed** | 1,955 | 8,613 |
| **Total remuneration to the Executive Management** | 16,146 | 29,741 |
| **Remuneration to Other Key Management Personnel** | | |
| Short term remuneration | 17,640 | 12,288 |
| Pension contribution | 13 | 38 |
| Long term remuneration | 1,274 | 581 |
| **Total Remuneration to Other Key Management Personnel** | 18,927 | 12,908 |
| **Total Remuneration to Executive Management and Other Key Management Personnel** | 35,074 | 42,298 |
Remuneration to Executive Management and Board of Directors is recognised as administrative costs.
For further description of Remuneration to the Executive Management and Board of Directors, please refer to the Remuneration Report.
Other Key Management Personnel consists of country managing partners.
During 2022, 91,393 RSUs (59,468 RSUs) were granted of which 20,516 (16,368) were granted to Executive Management and 70,877 (43,100) were granted to Other Key Management Personnel and Other employees.
The fair value of total granted RSUs at grant date was DKK 98.3 million (DKK 102.7 million). The cost associated herewith is expensed over the vesting period with DKK 24.9 million in 2022 (DKK 32.2 million).
The number of shares granted is determined by the stock price on the grant day, measured against the value of grant for each person.
The share-based incentive programme based on RSUs will continue in 2023. The Group’s share-based incentive schemes are further detailed in the Remuneration Report.
| DKK’000 | 2022 | 2021 |
|---------|--------|--------|
| **Share-based remuneration expenses** | | |
| Executive Management | 1,955 | 8,613 |
| Other Key Management Personnel | 1,274 | 581 |
| Employees | 21,653 | 22,998 |
| **Total share-based remuneration expenses** | 24,882 | 32,192 |
## Staff costs and remuneration (continued)
### Restricted stock units in Netcompany shares
| Allocated to: | Outstanding 1 Jan 2022 | Issued | Lapsed | Transferred | Outstanding 31 Dec 2022 | Grant value at 31 Dec 2022 | Market value at 31 Dec 2022 | Vesting date |
|----------------------------------------------------|------------------------|--------|--------|-------------|--------------------------|----------------------------|----------------------------|--------------|
| Executive Management, 2018 | 3,261 | 0 | 0 | -3,261 | 0 | 0 | 0 | |
| Executive Management, 2019 | 37,263 | 0 | 0 | -37,263 | 0 | 0 | 0 | |
| Executive Management, 2020 | 26,161 | 0 | -8,732 | 0 | 17,429 | 6,130 | 5,128 | 31 December 2022 |
| Executive Management, 2021 | 16,368 | 0 | 0 | 0 | 16,368 | 9,431 | 4,815 | 31 December 2023 |
| Executive Management, 2022 | 0 | 20,516 | 0 | 0 | 20,516 | 9,902 | 6,036 | 31 December 2024 |
| Employees', 2018 | 102,263 | 0 | 0 | -102,263 | 0 | 0 | 0 | |
| Employees', 2019 | 56,188 | 0 | 0 | -56,188 | 0 | 0 | 0 | |
| Employees', 2020 | 67,131 | 0 | -4,051 | -11,825 | 51,255 | 18,026 | 15,079 | 31 December 2022 |
| Employees', 2021 | 42,535 | 0 | -2,104 | -1,028 | 39,403 | 22,703 | 11,592 | 31 December 2023 |
| Employees', 2022 | 0 | 70,877 | -3,771 | -323 | 66,783 | 32,147 | 19,648 | 31 December 2024 |
**Total allocated shares**
| | Outstanding 1 Jan 2022 | Issued | Lapsed | Transferred | Outstanding 31 Dec 2022 | Grant value at 31 Dec 2022 | Market value at 31 Dec 2022 | Vesting date |
|--------------------|------------------------|--------|--------|-------------|--------------------------|----------------------------|----------------------------|--------------|
| | 351,170 | 91,393 | -18,658| -212,151 | 211,754 | 98,338 | 62,298 | |
### Restricted stock units in Netcompany shares
| Allocated to: | Outstanding 1 Jan 2021 | Issued | Lapsed | Transferred | Outstanding 31 Dec 2021 | Grant value at 31 Dec 2021 | Market value at 31 Dec 2021 | Vesting date |
|----------------------------------------------------|------------------------|--------|--------|-------------|--------------------------|----------------------------|----------------------------|--------------|
| Executive Management, 2018 | 33,637 | 0 | -1,390 | -28,986 | 3,261 | 505 | 2,297 | 30 June 2021 |
| Executive Management, 2019 | 44,605 | 0 | -7,342 | 0 | 37,263 | 7,686 | 26,252 | 31 December 2021 |
| Executive Management, 2020 | 26,161 | 0 | 0 | 0 | 26,161 | 9,200 | 18,430 | 31 December 2022 |
| Executive Management, 2021 | 0 | 16,368 | 0 | 0 | 16,368 | 9,431 | 11,531 | 31 December 2023 |
| Employees', 2018 | 102,969 | 0 | 706 | 0 | 102,263 | 16,146 | 72,045 | 31 December 2021 |
| Employees', 2019 | 56,914 | 0 | -726 | 0 | 56,188 | 11,589 | 39,584 | 31 December 2021 |
| Employees', 2020 | 68,123 | 0 | -992 | 0 | 67,131 | 23,609 | 47,294 | 31 December 2022 |
| Employees', 2021 | 0 | 43,100 | -565 | 0 | 42,535 | 24,508 | 29,966 | 31 December 2023 |
**Total allocated shares**
| | Outstanding 1 Jan 2021 | Issued | Lapsed | Transferred | Outstanding 31 Dec 2021 | Grant value at 31 Dec 2021 | Market value at 31 Dec 2021 | Vesting date |
|--------------------|------------------------|--------|--------|-------------|--------------------------|----------------------------|----------------------------|--------------|
| | 332,409 | 59,468 | -11,721| -28,986 | 351,170 | 102,675 | 247,400 | |
---
1 Employees consists of Other Key Management Personnel and Other Employees.
### Special items
| DKK'000 | 2022 | 2021 |
|---------|------|------|
| Costs related to M&A | -5 | 37,729 |
**Total special items**
| DKK'000 | 2022 | 2021 |
|---------|------|------|
| | -5 | 37,729 |
### Accounting principles
Special items are costs or income recorded in the income statement, which cannot directly be attributed to the Group’s ordinary activities.
Such costs and income comprise expenses for restructuring, fundamental structural changes in the business and M&A. They are therefore presented separately to provide a more comparable basis for assessing the underlying performance.
### Significant judgements
Key assumptions involve judgement from Management in identifying and separating special income or expense items from other items in the income statement. These items are carefully considered in order to ensure correct presentation.
### Other operating income / loss
| DKK'000 | 2022 | 2021 |
|---------|------|------|
| Rental income | 316 | 1,210 |
| Gain / losses on disposals | 4,984 | -1,017 |
| Other income / loss | 603 | -378 |
**Total other operating income**
| DKK'000 | 2022 | 2021 |
|---------|------|------|
| | 5,903 | -184 |
### Accounting principles
Other operating income comprises of income from rent of property less the administrative cost of this income.
Gains and losses on disposal of intangible assets and property, plant and equipment are determined as the sales price less selling costs and the carrying amount at the disposal date.
## Depreciation and amortisation
| DKK'000 | 2022 | 2021 |
|---------|--------|--------|
| **Depreciation** | | |
| Leasehold improvements | 14,179 | 5,586 |
| Equipment | 34,194 | 27,758 |
| Right of use assets | 90,207 | 54,433 |
| **Total depreciation** | **138,580** | **87,777** |
| **Amortisation** | | |
| Technology and software | 31,167 | 3,516 |
| Trademark | 20,273 | 10,405 |
| Order back-log | 17,120 | 4,742 |
| Customer relationships | 65,513 | 32,761 |
| **Total amortisation** | **134,073** | **51,424** |
**Depreciation and amortisation presented as follows in the income statement: (DKK'000)**
| 2022 | 2021 |
|--------|--------|
| Cost of services | 24,113 | 29,214 |
| Administrative costs | 114,466 | 58,564 |
| Amortisation | 134,073 | 51,424 |
| **Total depreciation and amortisation** | **272,653** | **139,201** |
## Financial income and expenses
| DKK'000 | 2022 | 2021 |
|---------|--------|--------|
| **Financial income** | | |
| Exchange rate adjustments | 27,322 | 10,039 |
| Other interest income | 3,020 | 220 |
| **Total Financial income** | **30,341** | **10,259** |
| **Financial expenses** | | |
| Interest expense, borrowings | 41,804 | 14,510 |
| Interest, leasing | 7,140 | 4,103 |
| Exchange rate adjustments | 34,715 | 12,906 |
| Other finance charges | 16,602 | 12,130 |
| **Total Financial expenses** | **100,261** | **43,648** |
### Accounting principles
Financial income and expenses comprise interest income and expenses, currency gains and losses, amortisation of loan costs, tax surcharge and tax relief under the Group’s Tax Schemes.
Please refer to notes 15 & 17.
Netcompany has an ambition to provide transparent information on the Group’s tax position as taxes are considered an important part of the Group’s corporate social responsibility.
**Tax policy**
Netcompany has chosen to have a transparent approach to the Group’s tax position and to act as a “Good Corporate Citizen” from a tax payment perspective, in all and any country Netcompany is doing business in. Netcompany has a clear responsibility to comply with all current laws and regulations in each jurisdiction in which business is conducted, including the OECD Transfer Pricing Guidelines and equivalent documents.
Netcompany’s tax governance is overseen by the Board of Directors who are responsible for the overall Policy and for the guidelines to which the Company shall comply. The Executive Management is responsible for monitoring tax risks on an ongoing basis and to make recommendations to the Board of Directors to ensure compliance with tax legislation at all times.
On a day-to-day basis the finance team is responsible for complying with the Group’s tax guidelines and it is the responsibility of Group finance to oversee the work performed locally.
**Tax risk management**
Netcompany strive to comply with both global and local tax legislation but acknowledge that complying can be complex due to local tax legislation and the room for interpretation on the tax area, and that this can give rise to tax risks.
The identification of risks and mitigation hereof is part of Netcompany’s risk management process and as such tax risk management is part of the ongoing risk assessment and management.
In connection with the Group’s M&A activities, the Group may face situations where the target to be acquired have had different tax policies than the Group and, hence, creating a legacy of potential tax liabilities to be unwound. It is the policy that any such potential tax liability must be mitigated by presenting a specific timetable to unwind the tax liability, prior to signing definitive transaction documents.
For more details on Netcompany’s approach to taxes, please refer to the tax policy in the link below.
**Read more**
www.netcompany.com/int/Investor-Relations/Governance
**Tax contribution**
Tax contribution illustrated complies taxes on company profits.
For full overview of Netcompany’s total tax contribution including personal taxes and service taxes please refer to the ESG report:
**Read more about ESG**
https://www.netcompany.com/int/ESG
## Tax (continued)
### Current Tax (DKK’000)
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| Current tax | 194,230 | 184,759 |
| Prior year | -1,619 | -519 |
| Change in deferred tax | -38,822 | -30,925 |
| **Total tax for year** | **153,790**| **153,316**|
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| Profit before tax | 756,541 | 727,618 |
| Tax at a rate of 22% | 166,439 | 160,076 |
| Tax-based value of non-deductible expenses | 6,651 | 14,963 |
| Tax-based value of non-taxable income | -14,405 | -18,884 |
| Changes to previous years | -1,619 | -519 |
| Changes in tax rates | 2,305 | +2,078 |
| Acquisition of subsidiaries | 0 | -1,661 |
| Effect of different tax rates in foreign subsidiaries | -5,581 | 1,419 |
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| **Total tax for year** | **153,790**| **153,316**|
| **Effective tax rate** | **20.3%** | **21.1%** |
### Tax payable and tax receivable (DKK’000)
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| **Tax payable at 1 January, net** | | |
| Foreign exchange adjustments | 19 | 49 |
| Addition, acquisition of entity | 0 | 24,219 |
| Changes to previous years | 1,241 | 519 |
| Payment relating to prior years | 30,373 | 8,813 |
| Current tax for the year | -194,230 | -184,759 |
| Current tax interest for the year | 0 | 0 |
| Payments relating to the current year | 203,712 | 188,676 |
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| **Total tax receivable / payable, net** | **35,964** | **-5,150** |
### Deferred tax has been presented as follows in the statement of financial position (DKK’000)
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| Deferred tax asset | 32,742 | 17,391 |
| Deferred tax liability | -110,991 | -134,255 |
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| **Total deferred tax** | **-78,249**| **-116,864**|
### Current tax is presented as follows in the statement of financial position (DKK’000)
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| Tax receivable | 35,964 | 0 |
| Tax payable | 0 | -5,150 |
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| **Total tax receivable / payable, net** | **35,964** | **-5,150** |
### Deferred tax (DKK’000)
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| Non-current assets | -93,639 | -109,836 |
| Work in progress | -28,664 | -28,852 |
| Other current assets | 25,026 | 8,128 |
| Non-current liabilities | -1,946 | -1,917 |
| Current liabilities | 20,974 | 15,613 |
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| **Total deferred tax** | **-78,249**| **-116,864**|
### Deferred tax (assets / liabilities):
(DKK’000)
| | Property, plant & equipment | Right of use assets | Intangible assets | Work in progress | Other current assets | Non-current liabilities | Current liabilities | Share-based payments | Total |
|----------------------|-----------------------------|---------------------|------------------|-----------------|---------------------|------------------------|---------------------|----------------------|-------------|
| **Opening balance 1 January 2022** | | | | | | | | | |
| Recognised in profit / loss | 9,124 | 314 | -119,274 | -28,852 | 8,128 | -1,917 | 755 | 14,858 | -116,864 |
| Effect of currency exchange adjustments | 2,197 | -6,096 | 20,103 | 189 | 17,070 | -29 | 7,996 | | 38,822 |
| | -4 | -3 | 0 | 0 | -173 | 0 | -10 | -18 | -207 |
| **Closing balance 31 December 2022** | | | | | | | | | |
| | 11,317 | -5,784 | -99,171 | -28,664 | 25,026 | -1,946 | 8,740 | 12,234 | -78,249 |
### Deferred tax (assets / liabilities):
(DKK’000)
| | Property, plant & equipment | Right of use assets | Intangible assets | Work in progress | Other current assets | Non-current liabilities | Current liabilities | Share-based payments | Total |
|----------------------|-----------------------------|---------------------|------------------|-----------------|---------------------|------------------------|---------------------|----------------------|-------------|
| **Opening balance 1 January 2021** | | | | | | | | | |
| Recognised in profit / loss | 6,770 | 245 | -40,102 | -36,122 | 2,761 | 0 | 759 | 8,494 | -57,195 |
| Effect of currency exchange adjustments | 2,302 | 65 | 10,925 | 7,270 | 5,368 | 0 | -5 | 6,233 | 32,158 |
| Acquisition of subsidiaries | 52 | 4 | 0 | 0 | -1 | 0 | 1 | 131 | 186 |
| | 0 | 0 | -90,097 | 0 | 0 | -1,917 | 0 | 0 | -92,014 |
| **Closing balance 31 December 2021** | | | | | | | | | |
| | 9,124 | 314 | -119,274 | -28,852 | 8,128 | -1,917 | 755 | 14,858 | -116,864 |
Accounting principles
Tax for the year, which consists of current tax for the year and changes in deferred tax, is recognised in profit for the year by the portion attributable to the profit for the year and recognised directly in other comprehensive income and equity by the portion attributable to entries recognised directly in other comprehensive income and equity.
Current tax payable and current tax receivable are recognised in the statement of financial position, calculated as tax on taxable income for the year, adjusted for prepaid tax.
On calculation of current tax, the tax rates and rules applicable at the balance sheet date are used.
Deferred tax is recognised on all temporary differences between the carrying amounts and tax-based values of assets and liabilities using the balance sheet liability method. Deferred tax is calculated on the basis of the planned use of each asset and the settlement of each liability, respectively. Deferred tax is measured using the tax rates and tax rules which – based on acts in force or acts actually in force at the balance sheet date – are expected to apply when the deferred tax is expected to crystallise as current tax. Changes in deferred tax resulting from changed tax rates or tax rules are recognised in profit/loss unless the deferred tax is attributable to transactions previously recognised directly in equity or other comprehensive income. In the latter case, such changes are also recognised directly in equity or other comprehensive income.
Deferred tax assets, including the tax base of tax loss carryforwards, are recognised in the statement of the financial position at their estimated realisable value, either as a set-off against deferred tax liabilities or as net tax assets to be set off against future positive taxable income. At each balance sheet date, it is considered whether sufficient taxable income is likely to arise in the future for the deferred tax asset to be used.
Income statement classified by function
| Income Statement (DKK’000) | 2022 | 2021 |
|----------------------------|------------|------------|
| Revenue | 5,544,646 | 3,631,971 |
| Cost of services, incl. depreciation | -3,772,174 | -2,298,687 |
| **Gross profit** | **1,772,472** | **1,333,284** |
| Sales and marketing costs | -41,008 | -36,715 |
| Administrative costs, incl. depreciation, amortisation and special items | -897,950 | -592,552 |
| Other operating income | 5,903 | -184 |
| **Operating profit (EBIT)**| **839,417** | **703,833** |
| Financial income | 30,341 | 10,259 |
| Financial expenses | -100,261 | -43,648 |
| Fair value adjustment of contingent consideration | -7,874 | 78,906 |
| Income / loss from investment in joint venture | -5,873 | -21,732 |
| Income / loss from investment in associates | 790 | 0 |
| **Profit before tax** | **756,541** | **727,618** |
| Tax on the profit | -153,790 | -153,316 |
| **Net profit for the year**| **602,752** | **574,302** |
Depreciation and amortisation have been presented as follows in the above income statement: (DKK’000)
| | 2022 | 2021 |
|------------------------|------------|------------|
| Cost of services | -24,113 | -29,214 |
| Administrative costs | -248,540 | -109,987 |
| **Depreciation and amortisation** | **-272,653** | **-139,201** |
Section 3
Invested capital
This section comprises tangible and intangible assets, showing in which assets Netcompany has invested capital.
### Goodwill
| DKK'000 | 2022 | 2021 |
|---------|------------|------------|
| **Cost at 1 January** | 3,372,453 | 2,264,065 |
| Additions, acquisition of subsidiaries | 0 | 1108,387 |
| **Cost at 31 December** | 3,372,453 | 3,372,453 |
| **Impairment at 1 January** | 0 | 0 |
| **Impairment at 31 December** | 0 | 0 |
| **Carrying amount at 31 December** | 3,372,453 | 3,372,453 |
### Discount rates and growth rates in terminal period used as assumptions
| Discount rate before tax: | 2022 | 2021 |
|---------------------------|------|------|
| Netcompany A/S¹ | 8.8% | 8.3% |
| Netcompany Norway AS | 9.9% | 10.0%|
| Netcompany UK Ltd.² | 11.9%| 10.5%|
| Netcompany Netherlands B.V.| 12.0%| 10.1%|
| Netcompany-Intrasoft S.A. | 11.6%| 12.4%|
| Growth rate in terminal period | 2022 | 2021 |
|---------------------------------|------|------|
| | 2.0% | 1.0% |
¹ Including subsidiary Netcompany Poland Sp. Z o.o.
² Including subsidiary Netcompany Vietnam Company Ltd.
### Impairment test
The tests performed at the end of 2022 showed the recoverable amounts were estimated to be higher than the carrying amounts of all CGUs and therefore no impairment loss has been recognised in 2022. The most significant assumptions are related to revenue and EBITDA-margins which are based on a combination of historical experience and external sources of information.
The value in use amounts were calculated as future free cash flows based on budgets for 2023 and forecasts for the following years incorporating the assumptions used in financial budgets, including the expected impact from business synergies. For all CGUs, the forecast period comprises five years.
The discount rate applied for Netcompany-Intrasoft equals the internal rate of return used for the determination of the purchase price and does not reflect an increased risk within this specific CGU.
Cash flow projections beyond the five year forecast have been extrapolated using a steady 2.0% annual growth rate. The change compared to last year is related to the current interest and long term expectations.
Management believes that the growth rate is reasonable based on IT services demand, and the continued digital conversion in the markets, and any reasonably possible change in the key assumptions on which the recoverable amount is based would not cause the carrying amount to exceed its recoverable amount.
**Sensitivity analysis**
There are no impairment indications based on current assumptions, and key assumptions are not sensitive to reasonable changes to an extent (e.g. 5% change in discount rate), which will result in an impairment loss individually or in combination.
Netcompany shares were priced at DKK 294.2 per share at 31 December 2022, equal to a market capitalisation of DKK 14,710 million, which was 58.2% lower than market capitalisation at 31 December 2021.
### Accounting principles
#### Goodwill
On initial recognition, goodwill is recognised and measured as the difference between the total of the fair value of the consideration transferred, the value of non-controlling interests and fair value of previously equity interest, compared to the fair value of the acquired identifiable assets, liabilities and contingent liabilities adjusted for deferred tax. The recognised goodwill amount is allocated to the activities of the Group generating separate payments, which represents the lowest level of cash generating units (CGUs). Determination of CGUs complies with the management structure and management accounting and reporting of the Group.
The useful lives of goodwill are indefinite and not amortised but tested at least once a year for impairment. Goodwill derives from business acquisitions.
#### Impairment
Goodwill acquired through business combinations are impairment tested at least annually and when circumstances indicate that the carrying amount may be impaired. The tests are performed at the lowest level of the CGUs representing different business acquisitions. The carrying amount of intangible assets with definite useful life is examined at the balance sheet date in order to determine whether there is any indication of impairment. If this is the case, the recoverable amount of the asset is determined in order to determine the need for any write-down and the extent thereof. If the asset does not generate cash flow independently of other assets, the recoverable amount is determined for the smallest CGUs of which the asset forms part.
The recoverable amount is determined as the higher of the asset’s or the CGU’s fair value, net of selling costs, and the value in use.
To determine the value in use, estimated future cash flows are discounted to net present value by applying a discount rate that reflects current market assessments of the time value of money and the particular risks related to the CGU, and for which no adjustments have been made in such estimated future cash flows.
If the recoverable amount of the asset is lower than the carrying amount, the carrying amount is written down to the recoverable amount. For CGUs, the write-down for impairment is allocated so that goodwill is written down first, and then any remaining impairment loss is allocated on the other assets of the unit, however, the individual asset may not be written down to an amount below its fair value net of any expected selling costs.
Impairment losses are recognised in the income statement. On any subsequent reversal of impairment losses for intangible assets arising from changes in the assumptions used to determine the recoverable amount, the asset’s carrying amount is adjusted to the recoverable amount, however, not exceeding the carrying amount that the asset would have had if the impairment had not been made. Impairment losses of goodwill may not be reversed.
### Significant estimates
Goodwill is not amortised but tested at least once a year for impairment.
The determination of the recoverable amount of a CGU to which goodwill is allocated requires significant Management judgement in determining the various assumptions, such as cash flow projections, discount rate and terminal growth rates. The sensitivity of the estimated measurement of these assumptions, combined or individually, can be significant. Furthermore, the use of different estimates or assumptions when determining the fair value of such assets may result in different values and could result in impairment in future periods.
### Other intangible assets
| DKK'000 | Development projects under construction | Technology and software | Trademark | Order back-log | Customer relationships | Total other intangible assets |
|---------|----------------------------------------|-------------------------|-----------|---------------|------------------------|-------------------------------|
| **Cost at 1 January 2022** | 0 | 113,282 | 203,302 | 44,710 | 358,633 | 719,927 |
| Additions | 17,597 | 100,167 | | | | |
| Transfers | -15,018 | 15,018 | | | | |
| Disposals | 0 | -278 | | | | -278 |
| Exchange rate adjustments | 0 | -29 | | | | -29 |
| **Cost at 31 December 2022** | 2,578 | 228,159 | 203,302 | 44,710 | 358,633 | 837,383 |
| Amortisation at 1 January 2022 | 0 | -16,305 | -51,693 | -8,027 | -120,157 | -196,181 |
| Amortisation for the year | 0 | -31,167 | -20,273 | -17,120 | -65,513 | -134,073 |
| Disposals | 0 | 278 | | | | 278 |
| Exchange rate adjustments | 0 | 4 | | | | 4 |
| **Amortisation at 31 December 2022** | 0 | -47,190 | -71,966 | -25,147 | -185,670 | -329,973 |
| **Carrying amount at 31 December 2022** | 2,578 | 180,969 | 131,336 | 19,564 | 172,963 | 507,410 |
| DKK'000 | Development projects under construction | Technology and software | Trademark | Order back-log | Customer relationships | Total other intangible assets |
|---------|----------------------------------------|-------------------------|-----------|---------------|------------------------|-------------------------------|
| **Cost at 1 January 2021** | 0 | 65,729 | 167,776 | 37,514 | 350,658 | 621,678 |
| Additions, acquisition of subsidiaries | 0 | 89,158 | 35,526 | 38,677 | 213,436 | 376,796 |
| Additions | 0 | 11,304 | | | | 11,304 |
| Disposals | 0 | -52,909 | | | | -289,851 |
| **Cost at 31 December 2021** | 0 | 113,282 | 203,302 | 44,710 | 358,633 | 719,927 |
| Amortisation at 1 January 2021 | 0 | -65,698 | -41,288 | -34,766 | -292,856 | -434,609 |
| Amortisation for the year | 0 | -3,516 | -10,405 | -4,742 | -32,761 | -51,424 |
| Disposal | 0 | 52,909 | | 31,481 | 205,461 | 289,851 |
| **Amortisation at 31 December 2021** | 0 | -16,305 | -51,693 | -8,027 | -120,157 | -196,181 |
| **Carrying amount at 31 December 2021** | 0 | 96,976 | 151,609 | 36,684 | 238,476 | 523,746 |
The impairment tests performed at the end of 2022 estimated the recoverable amounts to be higher than the carrying amount of all CGUs and therefore no impairment loss has been recognised in 2022. No indications of impairment are present.
### Accounting principles
#### Development projects under construction
Development projects under construction consists of costs such as salaries that are directly attributable to the development project not yet completed, recognised from the time at which the development project first qualifies for recognition as an asset. Development projects under construction are not subject to amortisation, but are tested for impairment once a year and transferred to technology and software when completed.
#### Developed software
The cost of developed software comprises costs such as salaries and operating expenses that are directly attributable to the development projects, recognised from the time at which the development project first qualifies for recognition as an asset. Useful lives of developed software are finite and amortised on a straight-line basis over their estimated useful lives:
Other intangible assets (continued)
- Software: 3-5 years
The estimated useful life and amortisation method are reviewed at the end of each reporting period, with the effect of any changes in estimate being accounted for on a prospective basis.
**Other intangible assets**
Other intangible assets acquired in a business combination consists of technology, order back-log, customer relationships and trademark. Intangible assets acquired in a business combination are recognised separately from goodwill and are initially recognised at their fair value at the acquisition date (which is regarded as their cost). Subsequently to initial recognition, acquired intangible assets acquired are reported at cost less accumulated amortisation and accumulated impairment losses.
Useful lives of other intangible assets are finite and amortised on a straight-line basis over their estimated useful lives:
- Technology: 5 years
- Trademark: 3-20 years
- Order back-log: 2-5 years
- Customer relationships: 5-7 years
**Impairment**
Other intangibles acquired through business combinations and development projects under construction are impairment tested at least annually and when circumstances indicate that the carrying amount may be impaired. The tests are performed at the lowest level of the CGUs representing different business acquisitions. For further accounting principles regarding impairment and impairment tests, please refer to accounting principles in note 14 Goodwill.
**Significant estimates**
The determination of the recoverable amount of a CGU to which other intangible assets is allocated requires significant Management judgement in determining the various assumptions, such as cash flow projections, discount rate and terminal growth rates. The sensitivity of the estimated measurement of these assumptions, combined or individually, can be significant.
Furthermore, the use of different estimates or assumptions when determining the fair value of such assets may result in different values and could result in impairment in future periods.
**Business Combinations**
**Acquisitions in 2022**
The Group made no acquisitions during 2022.
DKK 50 million was paid related to the final consideration for Netcompany-Intrasoft, following the release of the holdback in 2022. However, part of the holdback was not transferred due to unfinished businesses prior acquisition.
Final payment related to the acquisition of Netcompany Netherlands will be paid in the beginning of 2023 based on performance in the Netherlands in 2022. Due to overperformance on revenue a fair value adjustment of DKK 7.9 million was recognised in the Income Statement in 2022.
**Acquisitions in 2021**
On October 31 2021, the Group acquired the entire share capital of Intrasoft (Netcompany-Intrasoft S.A.) at a price of DKK 1,748.9 million on a debt-free basis. As debt was recognised to DKK 373.6 million the purchase price was agreed to DKK 1,375.2 million.
Of the total consideration, DKK 1,144.3 million was paid in cash, DKK 133.5 million was paid in shares and DKK 97.5 million was initially accrued according to holdback options. DKK 37.5 million of the holdback was released in December 2021.
The determination of the preliminary purchase price and the purchase price allocation is considered final.
In addition, the consideration paid for the business combination effectively included amounts in relation to the benefit of expected synergies, revenue growth, future market development and the assembled workforce of Netcompany-Intrasoft. These benefits are not recognised separately from goodwill because they do not meet the recognition criteria for identifiable intangible assets.
Asset and liabilities recognised have been calculated using the subsidiary’s results and adjusting them for differences in the accounting policies between the Group and the subsidiary. Please refer to next page.
**Special items**
The Group has reversed acquisition costs of DKK 5k in 2022 and recognised DKK 37.7 million in 2021, which are included in special items.
## Business Combinations (continued)
### Assets and liabilities recognised in Intrasoft International S.A. (DKK’000)
| Assets and liabilities | Original recognition |
|------------------------|----------------------|
| **Non-current assets** | |
| Intangible assets | 376,796 |
| Tangible assets | 107,102 |
| Financial assets | 11,974 |
| **Current assets** | |
| Trade receivables | 362,125 |
| Contract work in progress | 625,785 |
| Intercompany receivables | 29,253 |
| Tax receivables | 32,055 |
| Other receivables | 11,346 |
| Prepayments | 17,854 |
| Cash | 132,415 |
| Non-controlling interest | -8,221 |
| **Equity** | |
| **Non-current liabilities** | |
| Bank debt and borrowings | 295,261 |
| Pension obligations | 17,797 |
| Leasing liabilities | 57,858 |
| Other payables | 1,005 |
| Deferred tax liability & tax provision | 91,948 |
| **Current liabilities** | |
| Bank debt and borrowings | 205,192 |
| Leasing liabilities | 25,603 |
| Prebilled invoices | 298,139 |
| Trade payables | 159,129 |
| Other debts | 259,755 |
| Provisions | 12,118 |
| Income tax payable | 7,836 |
| **Net assets taken over** | |
| Goodwill | 1,08,387 |
| **Total consideration** | |
| Cash payment | 1,144,253 |
| Share payment | 133,473 |
| Holdback | 97,506 |
| **Total consideration** | 1,375,232 |
### Identified assets and liabilities
#### Technology and software, DKK 89.2 million
A part of Intrasoft revenue is based on strong platforms developed within Banking, Customs, Compliance, Social Security and Taxation. The fair value of the platforms has been assessed based on the relief from the royalty method. The royalty method has been based on the next 5 years sales forecast, using a deemed license fee rate of 15% and discounted with the internal required rate of return of 9.4% p.a. The calculated fair value has been increased with a tax amortisation benefit factor of 1.2.
#### Trademark, DKK 35.5 million
Trademark relates to the “Intrasoft” name. The fair value of the trademark has been determined on the relief from royalty method on basis of forecast sales for the next 5 years and using a royalty rate of 1%, discounted with the internal required rate of return of 9.4% p.a. The calculated fair value has been increased with a tax amortisation benefit factor of 1.2.
#### Order back-log, DKK 38.7 million
Fair value of order back-log has been determined on the basis of Net Operating Profit Less Adjusted Taxes (NOPLAT) from the order back-log at the acquisition date, adjusted for amounts already included in the recognition of fair value of other identified intangible assets, and discounted with the internal required rate of return of 7.4% p.a. The calculated fair value has been increased with tax amortisation benefit factors between 1.2 and 1.3.
#### Customer relationships, DKK 213.4 million
Fair value of customer relationships has been determined on the basis of forecasted NOPLAT from acquisition date in October 2021 to 2028 adjusted for an expected churn-rate and discounted with the internal required rate of return of 9.4% p.a. The calculated fair value has been increased with tax amortisation benefit factors between 1.2 and 1.3.
#### Deferred tax liability, DKK 91.9 million
Deferred tax of DKK 90.1 million relates to the re-measurement of technology and software, trademark, order back-log and customer relationships reflects and is equal to the total increase in the fair values as a result of increasing the fair values with the tax amortisation benefit factor. Further DKK 1.8 million relates to opening balance.
### Business Combinations (continued)
#### Impact on revenue and profit / loss from acquired business in 2021 (DKK’000)
| | Revenue | Profit |
|--------------------------------|-----------|-----------|
| Intrasoft International S.A. (since acquisition date, 31 October 2021) | 285,584 | 10,101 |
| Intrasoft International S.A. (estimated full year) | 1,541,961 | 27,351 |
#### Accounting policies
Acquisitions of businesses are accounted for using the acquisition method. The cost of an acquisition is measured as the consideration transferred for assets acquired and liabilities assumed in the business combination measured at fair value on acquisition date. Deferred tax related to the revaluations is recognised.
The most significant assets acquired generally comprise goodwill, technology and software, trademark, order back-log and customer relationships. Management estimates the fair value, as no active market exists for the majority of acquired assets, liabilities and contingent liabilities.
The consideration paid for a business consists of the fair value of the agreed consideration in the form of the assets transferred, equity instruments issued, and liabilities assumed at the date of acquisition. If part of the consideration is contingent on future events, such consideration is recognised at fair value. Subsequent changes in the fair value of contingent consideration are recognised in the income statement.
A positive excess (goodwill) of the consideration transferred over the fair value of the identifiable net assets acquired is recorded as goodwill.
If uncertainties regarding identification or measurement of acquired assets, liabilities or contingent liabilities or determination of the consideration transferred exist at the acquisition date, initial recognition will be based on provisional values. Any adjustments in the provisional values, including goodwill, are adjusted retrospectively, until 12 months after the acquisition date, and comparative figures are restated.
Any adjustments after 12 months have been and will be recognised in comprehensive income as a fair value adjustment of the consideration payable.
#### Significant estimates
Key assumptions for the methods applied in determining the fair value is based on the present value of future cash flows, churn rates or the expected cash flows related to the specific asset. Estimates and methodologies used, can have a material impact on the respective values and ultimately the amount of the fair values recognised for identifiable assets and liabilities of the acquired business.
### Investment properties
| DKK'000 | 2022 | 2021 |
|---------|------|------|
| **Cost at 1 January** | 2,477 | 0 |
| Addition, acquisition of subsidiaries | 0 | 5,605 |
| Transfer to held for sale | 0 | -3,126 |
| Exchange rate adjustments | 0 | -2 |
| **Cost at 31 December** | 2,477 | 2,477 |
| **Carrying amount at 31 December** | 2,477 | 2,477 |
Netcompany-Intrasoft initially owned one building in Bulgaria and land in Greece. The building in Bulgaria was held for sale in 2021 and finally sold in the beginning of 2022. For further details please refer to note 21.
The land classified as investment property is not depreciated.
The building classified as investment property was depreciated using the straight-line method by equal annual charges over the estimated useful life of the building.
### Accounting policies
Investment property, principally comprising land is held by the Group for long term rental yields. Investment property is measured at cost less impairment losses. When the carrying amounts of the investment property exceed their recoverable amounts, the difference (impairment) is charged directly in profit or loss.
### Other tangible assets (continued)
| DKK’000 | Leasehold improvements | Equipment | Right of use assets | Total |
|---------|------------------------|-----------|---------------------|-------|
| **Cost at 1 January 2021** | 28,841 | 94,740 | 165,381 | 288,962 |
| Additions, acquisition of subsidiaries | 10,387 | 13,077 | 78,033 | 101,497 |
| Remeasurements | 0 | 0 | 34,965 | 34,965 |
| Additions | 13,009 | 33,237 | 84,783 | 131,029 |
| Disposals | -2,981 | -4,146 | -35,897 | -43,024 |
| Exchange rate adjustments | 484 | 459 | 4,102 | 5,046 |
| **Cost at 31 December 2021** | 49,741 | 137,367 | 331,368 | 518,475 |
| Depreciation at 1 January 2021 | -14,597 | -62,620 | -76,424 | -153,641 |
| Depreciation for the year | -5,586 | -27,758 | -54,433 | -87,777 |
| Disposals | 74 | 3,737 | 35,897 | 39,708 |
| Exchange rate adjustments | -193 | -418 | -1,737 | -2,349 |
| **Depreciation at 31 December 2021** | -20,302 | -87,059 | -96,697 | -204,058 |
| Carrying amount at 31 December 2021 | 29,439 | 50,308 | 234,670 | 314,418 |
### Short term / low-value right of use assets
The Group has entered into leasing contracts regarded as short term and low-value, all expiring within 6 months. Total expenses relating to short term and low value leases recognised in the income statement amounts to DKK 6.5 million and DKK 1.3 million, (DKK 1.9 million and DKK 0.3 million) respectively. All other lease contracts are recognised on the statement of financial position according to IFRS 16.
### Future cash outflow from lease contracts
The Group has entered into leasing contracts in 2022 starting in 2023. The future cash flow for these lease contracts amount to DKK 603.9 million (DKK 47.7 million) and mainly relates to the new headquarter in Copenhagen and Athens.
### Accounting principles
#### Equipment and leasehold improvement
Equipment and leasehold improvements are measured at cost less accumulated depreciation and impairment losses.
Cost comprises the acquisition price, costs directly attributable to the acquisition, and preparation costs of the asset until the time when it is ready to be put into operation. The basis of depreciation is cost less estimated residual value after the end of useful life. Straight-line depreciation is made on the basis of the estimated useful lives of the assets:
- Equipment: 3-5 years
- Leasehold improvements: 5-7 years
Depreciation methods, useful lives and residual values are reviewed annually.
Gains and losses from the sale of equipment are calculated as the difference between selling price less selling costs and carrying amount at the time of sale. Gains or losses are recognised in the income statement in the functions to which the assets relate. Gains and losses related to divestments are recognised as other operating income.
#### Right of use assets
Right of use assets are measured at cost less accumulated depreciation and impairment losses adjusted for any re-measurements of the lease liability where initial cost is equal to the initial amount of the related lease liability. Depreciation is straight-line on the basis of the underlying contracts which are 1-10 years.
**Investment in joint venture**
| DKK'000 | 2022 | 2021 |
|---------|------------|------------|
| Cost at 1 January | 130,000 | 75,000 |
| Additions | 0 | 55,000 |
| **Cost at 31 December** | **130,000** | **130,000** |
| Revaluation at 1 January | -26,767 | -5,035 |
| Net profit / loss for the year | 2,705 | -4,061 |
| Calculated elimination of unrealised internal profit | -8,578 | -17,671 |
| **Revaluations at 31 December** | **-32,640** | **-26,767** |
| **Carrying amount at 31 December** | **97,360** | **103,233** |
**Joint Venture: (DKK'000)**
| Joint Venture | Form of enterprise | Ownership | Equity | Result |
|--------------------------------------|--------------------|-----------|----------|--------|
| Smarter Airports A/S, Copenhagen, Denmark | A/S | 50% | 256,491 | 5,410 |
1 The final and audited financial figures for 2022 are not yet published by Smarter Airports.
**Financial information for Smarter Airports (DKK'000)**
| Item | 2022 | 2021 |
|-------------------------------------------|------------|------------|
| Revenue | 2,462 | 0 |
| Amortisation | -2,960 | 0 |
| Financial expenses | -191 | -264 |
| Profit before tax | 6,936 | -10,412 |
| Tax on profit of the year | -1,526 | 2,291 |
| Non-current assets | 259,195 | 197,538 |
| Current assets | 7,980 | 61,110 |
| Cash and cash equivalents | 3,790 | 56,512 |
| Non-current liabilities | 0 | 0 |
| Current liabilities | 10,684 | 7,567 |
2 The information disclosed reflects the amounts presented in Smarter Airports A/S and not Netcompany’s share of those amounts.
Smarter Airports A/S was founded by Netcompany A/S and Københavns Lufthavne A/S on 9 October 2020.
Netcompany has agreed that the initial DKK 12 million of dividends will be distributed as preferred dividends to the other shareholder of Smarter Airports A/S.
**Impairment test and investments**
Impairment tests are performed if indications of impairment are present. If the carrying amount is found to be greater than the implied fair value, then impairment has occurred, and the book value of the joint venture is written down to its recoverable amount. The recoverable amount is the highest of net selling price and value in use.
**Accounting principles**
The joint venture is recognised using the equity method so that the carrying amount of the joint venture constitutes the Group’s proportional share of the net assets of the enterprise less unrealised internal profit. Profit after tax of the joint venture has been recognised as a separate line in the statement of comprehensive income. Joint venture with negative net asset value is included without any value.
The carrying amount of investment in joint venture is examined at the balance sheet date in order to determine if there is any indication of impairment.
No indications of impairment were present at balance sheet date.
**Significant judgements**
The classification of the joint venture is based on an assessment of the contractual and operational relationship between the parties. This includes assessing the conditions in shareholder agreements, contracts etc. Consideration is also given to the extent to which each party can govern the financial and operating policies of the entity, how the operation of the entity is designed, and which party possesses the relevant knowledge and competences to operate the entity.
Another factor relevant to this assessment is the extent to which each of the parties can direct the activities and affect the returns, for example by means of rights, reserved matters, or casting votes.
### Financial assets at fair value through other comprehensive income
| DKK'000 | 2022 | 2021 |
|------------------|--------|--------|
| Unlisted securities: | | |
| Edap-Etep Kritis | 87 | 79 |
| Akropolis Park | 0 | 0 |
| Marathon II Aedakes | 397 | 372 |
| Odyssey Partnes S.C.A. SICAR | 839 | 1,652 |
| **Total unlisted securities** | **1,324** | **2,102** |
| Gains/losses recognised in other comprehensive income | 0 | 0 |
#### Accounting policies
The Group has a number of investments in unlisted entities, which are not accounted for as subsidiaries, associates or jointly controlled entities. For those investments, the Group has made an irrevocable election to classify the investments at fair value through other comprehensive income rather than through profit or loss as the Group considers this measurement to be the most representative of the business model for these assets.
Information about the method and assumptions used in determining fair value is provided in note 35.
All the financial assets at fair value through other comprehensive income are denominated in Euro.
### Asset held for sale
| DKK'000 | 2022 | 2021 |
|----------------------------------------------|--------|--------|
| Transfer from investment properties | 0 | 3,126 |
| Exchange rate adjustments | 0 | -3 |
| **Carrying amount of assets classified as held for sale** | **0** | **3,123** |
| Other liabilities | 0 | 0 |
| **Liabilities directly associated with assets classified as held for sale** | **0** | **0** |
| **Net assets classified as held for sale** | **0** | **3,123** |
No assets were held for sale at 31 December 2022, and the assets held for sale in 2021 was successfully sold in 2022, and recognised as gains/loss of DKK 0.1 million in other operating income.
Upon reclassifying the assets and liabilities to held for sale, the net asset held for sale was revalued at fair value less cost to sell.
#### Accounting principles
On-current assets as well as assets and liabilities expected to be sold as a group in a single transaction are classified as held for sale, if their carrying value is likely to be recovered by sale within 12 months in accordance with a formal plan.
Assets held for sale are measured at the lower of the carrying value and the fair value less costs to sell. Assets are not depreciated from the time they are reclassified to held for sale.
Section 4
Working capital & Capital structure
This section comprises notes related to Netcompany’s working capital and capital structure.
Trade receivables and work in progress compared to revenue (%)
2022: Trade receivables 20.1%, Work in progress 12.3%
2021*: Trade receivables 21.1%, Work in progress 13.7%
* Percentages is based on full year revenue, also for acquired companies
## Trade receivables
| DKK'000 | 2022 | 2021 |
|---------|------------|------------|
| **Trade receivables** | 1,111,954 | 1,031,880 |
### Aging of trade receivables (DKK'000)
| Aging of receivables that are not impaired | 2022 | 2021 |
|-------------------------------------------|------------|------------|
| Trade receivables, not overdue | 746,480 | 675,255 |
| Trade receivables, 0-30 days overdue | 223,963 | 217,253 |
| Trade receivables, 31-60 days overdue | 61,401 | 73,940 |
| Trade receivables, 61-90 days overdue | 33,440 | 27,954 |
| Trade receivables, over 90 days overdue | 63,237 | 54,398 |
| **Total trade receivables excl. expected credit loss** | 1,128,521 | 1,048,800 |
|--------------------------------------------------------|------------|------------|
| Expected credit loss | -16,567 | -16,920 |
| **Total trade receivables** | 1,111,954 | 1,031,880 |
The carrying amount of the trade receivables is assumed to approximate the fair value. For description of credit risk please refer to note 32.
At 31 December 2022, the Group has recognised expected credit loss of DKK 16.6 million (DKK 16.9 million) and credit losses of DKK 0.7 million have incurred during the year (DKK 5.8 million).
### Accounting principles
Trade receivables include receivables from sales. Trade receivables are measured at fair value on initial recognition and subsequently at amortised cost, usually equalling nominal value less any expected credit losses.
At 31 December 2022, the Group has recognised a provision for project risks of DKK 4.8 million (DKK 2.1 million). Please refer to note 30.
**Revenue recognised**
Revenue recognised in the financial year that was included in the contract portfolio at the beginning of the year amounts to DKK 589.7 million (DKK 596.6 million).
The recognition of revenue is to some extent impacted by management estimates and judgement for contract work in progress in relation to determining stage of completion and expected profitability of the individual projects, and hence, revenue recognised in subsequent years may be impacted by changes in estimates to the revenue recognised in previous years. Besides one project in the Netherlands, revenue recognised from contract work in progress in 2022 and 2021 has not been impacted by any significant changes to the revenue recognised in previous years.
**Contract work in progress (continued)**
| Expected revenue recognition of future performance obligations | <1 year | 1-5 years | >5 years |
|-------------------------------------------------------------|---------|----------|---------|
| | 2022 | 2021 | 2022 | 2021 | 2022 | 2021 |
| | 498,644 | 331,107 | 272,358 | 205,797 | 602 | 313 |
**Future performance obligations**
Future performance obligations derive solely from fixed price contracts. Future performance obligations represent contractual values less revenue recognised at 31 December 2022 for the Group’s fixed price projects at year end. As of 31 December 2022, the Group has future performance obligations of DKK 771.6 million on open fixed price projects out of a total of DKK 4,583.5 million (DKK 537.2 million out of a total of DKK 3,131.5 million).
The assessment of the timing of expected revenue recognised from the future performance obligations is subject to some uncertainty.
**Accounting principles**
**Contract work in progress consists of client related assets and liabilities**
Contract work in progress is measured at the selling price of the work carried out less prepayments received at the balance sheet date.
The selling price is measured based on the stage of completion and the total estimated income from the individual contracts in progress. Usually, the stage of completion is determined as the ratio of actual to total budgeted consumption of resources. For some projects where the consumption of resources cannot be applied as a basis, the ratio between completed and total sub-activities of the individual projects has been applied. If the selling price of a project cannot be made up reliably, it is measured at the lower of the costs incurred and net realisable value. If prepayments received exceed the selling price on a contract by contract basis, the excess amount is recognised as a liability in “Prebilled invoices”.
Contract work in progress consist of fixed price project, Time and Material and Licenses. Contract work in progress is identified on a contract by contract assessment and recognised either at a point in time or point over time. Fixed price projects are measured as percentage of completion and is recognised over time whereas Time and Material is measured at a point in time. Licenses are recognised either over time or on point in time depending on the nature of the license sold.
**Significant estimates**
Contract work in progress for Fixed Priced contracts is measured at the selling price of work completed at the balance sheet date, and the selling price is calculated on the basis of contracted income and the determined stage of completion. Stage of completion is determined making estimates of future hours and other project costs including subcontractors. The Group reviews its contract portfolio on a regular basis. If circumstances arise that change the original estimates of the selling price of the contracts or costs, revisions to estimates are made. These revisions may result in increases or decreases in estimated revenues or costs, and such revisions are reflected in the income statement in the period in which the circumstances giving rise to the revisions become known by the Group.
**Significant judgements**
The number of performance obligations (deliveries) of the contracts is decided by performing a judgement on each delivery with a judgement on whether a contract should be unbundled into separate performance obligations or more contracts should be combined and seen as one performance obligation.
Cash and cash equivalents
| DKK'000 | 2022 | 2021 |
|---------|--------|--------|
| Deposits at banks | 336,048 | 458,779 |
| **Total cash and cash equivalents** | **336,048** | **458,779** |
Accounting principles
The carrying amounts for cash and cash equivalents assumed to equal the fair value. The Group’s cash and cash equivalents consist of deposits in well-reputed banks. Therefore, cash and cash equivalents are not considered to be subject to specific credit risks.
Share capital
Number of shares
| 2022 | 2021 |
|------|------|
| 50,000,000 | 50,000,000 |
Number of votes
| 2022 | 2021 |
|------|------|
| 50,000,000 | 50,000,000 |
Netcompany treasury shares
| 2022 | 2021 |
|------|------|
| NO. | % |
| 827,110 | 1.7% |
| 287,189 | 0.6% |
| -789 | 0.0% |
| -212,151 | -0.4% |
| **901,359** | **1.8%** |
| 899,813 | 1.8% |
| 143,970 | 0.3% |
| -187,687 | -0.4% |
| -28,986 | -0.1% |
Number of treasury shares 1 January
Purchase of own shares
Transfers related to acquisitions
Transfers related to RSU programme
Number of treasury shares 31 December
The share capital equals DKK 50,000,000 divided into shares of DKK 1 each or multiples thereof.
The company’s shares are traded on Nasdaq OMX Copenhagen in denominations of DKK 1. No shares confer any special rights upon any shareholder. No shares are subject to restrictions on transferability or voting rights.
Purchase of own shares for the long term Incentive Programme is expected to occur on a yearly basis. Transfer of shares related to the RSU programme will likewise vest on a yearly basis. For a specification of granted RSU please refer to note 7.
Transfers related to the acquisition of Netcompany-Intrasoft was finalised during 2022, while transfer of shares related to acquisition of Netcompany Netherlands will be finalised in 2023.
Accounting principles
Treasury shares that are reacquired are recognised at cost and deducted from equity. No gain or loss is recognised in profit or loss on the purchase, sale, issue or cancellation of the Group’s own equity instruments. Any difference between the carrying amount and the consideration, if reissued, is recognised in the share premium.
### Earnings per share
| DKK'000 | 2022 | 2021 |
|------------------|--------|--------|
| **Earnings per share - EPS (DKK)** | 12.27 | 11.73 |
| **Diluted earnings per share - EPS-D (DKK)** | 12.15 | 11.59 |
| Profit | 603,369| 576,142|
| Average number of shares | 50,000 | 50,000 |
| Average number of treasury shares | 806 | 906 |
| Average number of shares in circulation | 49,194 | 49,094 |
| Average number of outstanding restricted stock units | 478 | 592 |
| Average number of diluted shares in circulation | 49,672 | 49,686 |
In 2022, DKK 100 million was distributed to shareholders by means of share buyback.
### Earnings per share - EPS
**2022**
- Q1: 2.71
- Q2: 1.72
- Q3: 3.45
- Q4: 4.39
- Total: 12.27
**2021**
- Q1: 4.06
- Q2: 2.29
- Q3: 2.21
- Q4: 3.17
- Total: 11.73
### Borrowings
| DKK'000 | 2022 | 2021 |
|------------------|--------|--------|
| Non-current liabilities¹ | 1,872,372 | 2,275,788 |
| Current liabilities | 47,314 | 74,497 |
| **Total borrowings** | 1,919,686 | 2,350,286 |
¹ According to the Group loan agreement, Netcompany has the opportunity to voluntarily make instalments at the Group’s discretion before the loan initially matures in 2025.
| DKK'000 | Currency | Maturity | Type of interest | Amortised loan cost | Nominal value | Carrying amount |
|------------------|----------|----------|------------------|---------------------|---------------|-----------------|
| Bank loan | DKK | 2025+1+1 | Floating | 7,628 | 1,880,000 | 1,872,372 |
| Bank loan | EUR | 2023 | Floating | 0 | 37,183 | 37,183 |
| Bank loan | USD | 2023 | Floating | 0 | 10,131 | 10,131 |
| **2022** | | | | 7,628 | 1,927,314 | 1,919,686 |
| DKK'000 | Currency | Maturity | Type of interest | Amortised loan cost | Nominal value | Carrying amount |
|------------------|----------|----------|------------------|---------------------|---------------|-----------------|
| Bank loan | DKK | 2023 | Floating | 2,712 | 1,080,000 | 1,077,288 |
| Bank loan | DKK | 2023 | Floating | 1,500 | 1,200,000 | 1,198,500 |
| Bank loan | EUR | 2022 | Floating | 0 | 49,766 | 49,766 |
| Bank loan | USD | 2022 | Floating | 0 | 15,968 | 15,968 |
| Bank loan | JOD | 2022 | Floating | 0 | 8,764 | 8,764 |
| **2021** | | | | 4,212 | 2,354,497 | 2,350,286 |
In 2022, Netcompany entered into a new Group facility agreement. The Group bank loan matures in 2025, with the opportunity to postpone with one year, and another year in addition. For further details please refer to note 34.
The fair value of bank loans excluding capitalised loan costs is deemed to approximate the nominal value of the loans.
According to the loan agreement all distribution of dividend has to be approved by the lender.
### Accounting principles
On initial recognition, borrowings are measured at fair value less related transactions costs paid. Subsequently to initial recognition, borrowings are measured at amortised costs using the effective interest method. Any difference between the proceeds initially received and the nominal value is recognised in financial expenses over the term of the loan.
### Pension obligations
| Present value of obligation (DKK’000) | 2022 | 2021 |
|--------------------------------------|------|------|
| Interest on obligation | 129 | 21 |
| Service costs | 2,243| 394 |
**Recognised in the income statement**
| | 2022 | 2021 |
|------------------------------|------|------|
| Actuarial gains and losses from change in financial assumptions | -735 | 0 |
| Actuarial gains and losses from experience | 326 | 0 |
**Recognised in other comprehensive income**
| | 2022 | 2021 |
|------------------------------|------|------|
| Acquired in business combinations | 0 | 17,797 |
| Exchange rate adjustment | -558 | -14 |
**Other changes**
| | 2022 | 2021 |
|------------------------------|------|------|
| | -558 | 17,783 |
**Value at 31 December**
| | 2022 | 2021 |
|------------------------------|------|------|
| | 19,601 | 18,198 |
Netcompany contributes to defined benefits and contribution plans. On the defined contribution plans Netcompany has no further payment obligations once the contributions are paid. On the Group’s defined benefit plans the responsibility for the pension obligation towards the employees rests with Netcompany.
### Accounting principles
The regular contributions for defined contribution plans constitute net periodic costs for the year in which they are due and as such are included in staff costs. The liability in respect of defined benefit pension or retirement plans is the present value of the defined benefit obligation at the balance sheet date.
Independent actuaries using the projected unit credit method calculate the defined benefit obligation annually. Actuarial gains and losses arising from experience adjustments and changes in actuarial assumptions are charged or credited to equity in other comprehensive income in the period in which they arise. Past service costs are recognised immediately in profit or loss.
Pension obligations (continued)
Termination benefits are payable when employment is terminated before the normal retirement date, or when an employee accepts voluntary redundancy in exchange for these benefits. The Group recognises termination benefits when it is demonstrably committed to either: terminating the employment of current employees according to a detailed formal plan without possibility of withdrawal; or providing termination benefits as a result of an offer made to encourage voluntary redundancy. Benefits falling due more than 12 months after balance sheet date are discounted to present value.
Significant estimates
In determining pension obligations, management makes use of external and independent actuaries as the basis for the estimates applied in measuring the obligations.
| Actuarial assumptions applied | 2022 | 2021 |
|------------------------------|--------|--------|
| Discount rate | 2.2% | 1.5% |
| Future salary increases | 3.0% | 2.3% |
| Future pension increases | 2.2% | 0.8% |
Sensitivity analysis (DKK’000)
| | 2022 | 2021 |
|------------------------------|--------|--------|
| Defined benefit pension obligation | 19,601 | 18,198 |
| **Discount rate** | | |
| Increase of 0.5 percentage point | 18,597 | 16,719 |
| Decrease of 0.5 percentage point | 19,529 | 17,609 |
| **Salary increase** | | |
| Increase of 0.5 percentage point | 19,454 | 17,521 |
| Decrease of 0.5 percentage point | 18,657 | 16,790 |
The table above illustrates the change in the gross obligation relating to defined benefit plans from a change in the key actuarial assumptions. The analysis is based on fairly probable changes, provided that the other parameters remain unchanged.
Other payables
| DKK’000 | 2022 | 2021 |
|-------------------------------------------------------------------------|--------|--------|
| Wages and salaries, payroll taxes, social security costs, etc. | 87,381 | 166,026|
| Holiday pay obligation | 96,981 | 92,197 |
| VAT and duties | 111,027| 105,759|
| Contingent consideration | 101,272| 93,398 |
| Holdback (note 16) | 10,246 | 60,816 |
| Other costs payable | 233,676| 22,308 |
| **Total other payable** | 640,582| 540,504|
The payable contingent consideration regards the acquisition of Netcompany Netherlands B.V. in 2019 and comprises of a contingent element and an earnout element, which both will be transferred in March 2023. The contingent element was granted to the sellers in shares and amounts to DKK 72 million (equal to 305,085 shares according to the purchase agreement). The earn-out related purchase price amounts to DKK 46.1 million (equal to 194,352 shares according to the purchase agreement).
The earnout is fully payable in shares based on the Netcompany share price at the time of the transaction after return of a cash settlement of DKK 16.8 million related to overstated contingent purchase price in 2020.
Accounting principles
Accruals for project related costs is recognised as other payables, which by invoicing from vendor is categorised as trade payables. For split between between current and non-current liabilities refer to note 34.
Significant estimates
Contingent consideration resulting from business combinations is valued at fair value at the acquisition date as part of the business combination. When the contingent consideration meets the definition of a financial liability, it is subsequently remeasured to fair value at each reporting date. The key assumptions take the probability of meeting the performance target into consideration.
## Provisions
| DKK'000 | 2022 | 2021 |
|---------|--------|--------|
| **Other provisions at 1 January** | 8,839 | 0 |
| Additions, acquisition of subsidiaries | 0 | 12,131 |
| Movement in the year | 2,711 | -3,291 |
| **Other provisions at 31 December** | 11,550 | 8,839 |
Based on the current project portfolio including monitoring of deliveries on projects, the Group has recognised a provision of DKK 11.6 million (DKK 8.8 million), covering legal claims and project related risks.
### Accounting principles
Provisions represent potential commitments for onerous contracts or legal claims. An onerous contract is considered to exist when the Group has a contract under which the unavoidable costs of meeting the obligation under the contract exceed the economic benefits to be received from the contract, hence the recognised provision represents the Group's best estimate of the unavoidable loss to complete its contract obligations for the related contracts. Legal claims cover legal demands or assertion related to existing as well as already delivered projects.
### Significant estimates
As part of its regular review of the contract portfolio, the Group may identify contracts where the completion of a contract most likely will result in a negative contribution. In these circumstances, the Group will record a provision to cover the unavoidable loss. The estimates of the provision may be subject to significant Management judgement and uncertainty depending on project complexity and on whether there are any disputes with customers in relation to project performance, claims and counter claims, contract interpretation and alike.
## Non cash items
| DKK'000 | 2022 | 2021 |
|---------|--------|--------|
| Unrealised interest | -2,723 | 697 |
| Exchange rate adjustments on translating foreign subsidiaries | -8,011 | 10,792 |
| Share based remuneration recognised in Income Statement | 25,116 | 32,195 |
| **Total non cash items** | 14,382 | 43,685 |
## Working capital changes
| DKK'000 | 2022 | 2021 |
|---------|--------|--------|
| Change in receivables | -225,527 | -146,947 |
| Change in payables | 166,207 | -42,303 |
| **Total working capital changes** | -59,320 | -189,249 |
## Financial risks and financial instruments
| DKK’000 | 2022 | 2021 |
|---------|------------|------------|
| **Categories of financial instruments** | | |
| Trade receivables | 1,111,954 | 1,031,880 |
| Other receivables | 38,276 | 39,557 |
| **Financial assets measured at amortised cost** | | |
| Other securities and investments | 1,324 | 2,102 |
| Cash | 336,048 | 458,779 |
| **Financial assets measured at fair value through the statement of comprehensive income** | | |
| Trade payables | 265,196 | 328,496 |
| Other payables excl. contingent consideration | 539,310 | 447,016 |
| Borrowings | 1,919,686 | 2,350,286 |
| Lease liabilities | 265,934 | 246,624 |
| **Financial liabilities measured at amortised cost** | | |
| Pension obligations | 19,601 | 18,198 |
| Contingent consideration | 101,272 | 93,398 |
| **Financial liabilities measured at fair value** | | |
| | 120,873 | 111,596 |
During 2022, the Group completed the scheduled refinancing of the Group bank debt and entered a sustainable linked loan, with improved terms and margins.
### Policy for management of financial risks
There is no change in Netcompany’s financial risk assessment compared to last year.
The Group’s objective at all times is to limit the Group’s financial risks.
The Group manages the financial risks and coordinates cash management and management of interest rate and currency risks based on financial risk policies agreed with the Board of Directors.
### Key measures for the Group loan
| DKK’000 | 2022 | 2021 |
|---------|------------|------------|
| Revolver facilities | 2,800,000 | 1,500,000 |
| Acquisition facility | 2,000,000 | 400,000 |
| Bridge facility (fixed margins) | - | 1,200,000 |
| **Total combined Group Facility** | 4,800,000 | 3,100,000 |
| **Utilisation of Group loan** | | |
| Borrowings | 1,880,000 | 2,280,000 |
| Guarantees | 148,877 | 236,666 |
| **Total utilisation of Group Loan** | 2,028,877 | 2,516,700 |
| CIBOR/IBOR at 31 December | 2.43% | 0.00% |
### Margins based on leverage
| | 2022 | 2021 |
|------------------|------------|------------|
| Minimum margin | 0.80% | 1.10% |
| Maximum margin | 1.90% | 2.10% |
### Margins based on ESG KPIs
| | 2022 | 2021 |
|------------------|------------|------------|
| Minimum margin | -0.05% | - |
| Maximum margin | 0.05% | - |
### Total interest rate on utilised Group loan at 31 December
| | 2022 | 2021 |
|------------------|------------|------------|
| | 3.83% | 1.20% |
### Local facilities not included in Group loan
| | 2022 | 2021 |
|------------------|------------|------------|
| Local bank debt | 47,314 | 74,497 |
| Local guarantees | 342,170 | 275,534 |
### Combined Group facilities
| | 2022 | 2021 |
|------------------|------------|------------|
| | 2,847,314 | 2,354,497 |
### Combined Group guarantees
| | 2022 | 2021 |
|------------------|------------|------------|
| | 491,047 | 512,200 |
Financial risks and financial instruments (continued)
**Liquidity risks**
The Group attempts to maximise the flexibility and minimise risks. At 31 December 2022, the Group has unutilised credit facilities of a total of DKK 771.1 million (DKK 183.3 million) excluding an acquisition facility of DKK 2,000 million (DKK 400 million).
Current interest rate equals to yearly bank loan interest expenses of DKK 71.9 million (DKK 20.3 million) based on the current IBOR and current utilisation. The increase compared to 2021 follows the increase in IBOR and the acquisition of Netcompany-Intrasoft in October 2021 and thereby increased utilisation of the facilities.
The main bank loans are in DKK. The Group has not entered into any hedging contracts regarding exchange rate risks during 2022 or 2021.
**Interest rate risks**
The Group loan bear floating interest rates, and Management therefore closely follows the development in the IBOR and continuously consider if interest risks should be minimised by hedging the interest rate.
The combined committed facilities constitutes a total amount of DKK 2,847.3 million (DKK 2,774.5 million), and an optional facility of DKK 2,000 million (DKK 400 million) limited to acquisitions, whereof DKK 1,927.3 million (2,354.5 million) has been utilised on borrowings and DKK 148.9 million (DKK 236.7 million) on guarantees.
In 2022, the Group main loan carried floating interest between IBOR + 0.75% and IBOR + 1.95% (IBOR + 0.7% and IBOR + 2.1%) depending on the financial leverage.
Following the increase in IBOR, the Group is no longer exposed to interest rate risks relating to the cash balances, which previously bore negative interest due to the past low interest environment.
**Credit risks**
In 2022, the Group realised credit loss of DKK 0.7 million (DKK 5.8 million). Based on the customer composition and past history with limited credit losses, the credit risk is assessed to be limited and at 31 December 2022, the Group made a provision of DKK 16.6 million (DKK 16.9 million) for expected credit losses.
**Currency risks**
The Group is to a limited extent exposed to foreign currency risks. The main part of the Group’s transactions is in Danish kroner and Euro, which implies limited foreign exchange risk due to the ultimate parent company’s functional and reporting currency being in DKK.
The Group is exposed to exchange rate risk in the countries where the Group has its activities outside Denmark, which mainly consist of European countries using EUR, but also includes Norway and the United Kingdom. The currency risk related to transactions in EUR is limited, as the DKK to some extent are fixed to the EUR. With respect to subsidiaries situated outside Denmark, there are transactions with the subsidiaries, however, their extent and risk are not significant.
The Group’s Policy is to hedge any exchange risk net exposure, that would yield a +2/-2 percentage points EBIT margin impact from a +10%/-10% change in the given currency.
**Optimisation of the capital structure**
The Group regularly assesses whether its capital structure is in accordance with the Group’s and the shareholder’s interests. The overall objective is to ensure a capital structure that supports long term growth whilst maximising returns for the Group’s shareholders’ by optimising the equity-to-debt ratio.
## Financial liabilities – maturity analysis
| DKK’000 | Current | 2022 | 2021 |
|---------|---------|------|------|
| | <1 year | | |
| Borrowings | 47,314 | 74,497 |
| Pension obligations | 5,829 | 0 |
| Lease liabilities | 85,420 | 98,645 |
| Trade payables | 265,169 | 328,496 |
| Other payables | 640,528 | 446,006 |
| **Total financial liabilities** | **1,044,260** | **947,644** |
| Non-current | 2022 | 2021 |
|-------------|------|------|
| 1-5 years | 1,872,372 | 2,275,788 |
| | 4,087 | 5,070 |
| | 140,866 | 112,462 |
| | 0 | 0 |
| | 0 | 0 |
| >5 years | 0 | 0 |
| | 39,648 | 35,517 |
| | 94,498 | 0 |
| | 0 | 0 |
| | 49,333 | 48,646 |
The Group’s contractual maturity for its non-derivative financial liabilities, with agreed payment periods are shown above. The maturity analysis is based on undiscounted cash flows, and excluding interest payment.
For further details regarding the borrowings, please refer to note 27.
Part of other payables relates to the contingent consideration. For a description of the contingent consideration, please refer to note 29.
## Fair value hierarchy
| DKK'000 | 2022 Level 3 | 2021 Level 3 |
|--------------------------|--------------|--------------|
| Other securities and investments | 1,324 | 2,102 |
| **Total financial assets** | **1,324** | **2,102** |
| Pension obligation | 19,601 | 18,198 |
| Contingent consideration | 101,272 | 93,398 |
| **Total financial liabilities** | **120,873** | **111,596** |
Financial instruments measured at fair value are measured on a recurring basis and categorised into the following levels of the fair value hierarchy.
**Level 1:** Observable market prices for identical instruments
**Level 2:** Valuation techniques primarily based on observable prices or traded prices for comparable instruments
**Level 3:** Valuation techniques primarily based on unobservable prices
Netcompany has no assets or liabilities in level 1 or level 2 and there has been no transfers between categories in the year.
Contingent consideration is measured at fair value through profit and loss. For details on the valuation input to the fair value, please refer to note 29.
Pension obligation is calculated annually by independent actuaries using the projected unit credit method.
Other securities and investment consists of unlisted securities and are measured at fair value through other comprehensive income.
The valuation is based on the latest quarterly reports.
Section 5
Other disclosures
This section covers other statutory notes, which are of secondary importance to the understanding of the financial performance of Netcompany.
### Fee to the Group auditor
| Description | 2022 | 2021 |
|--------------------------------------------------|--------|--------|
| Statutory audit | 6,541 | 3,846 |
| Other assurance agreements | 50 | 45 |
| Tax and VAT advisory services | 183 | 0 |
| Other services | 199 | 117 |
| **Total fee to the Group auditor** | **6,973** | **4,008** |
Fees for services other than the statutory audit of the financial statements provided by EY Godkendt Revisionspartnerselskab Denmark amounted to DKK 0.2 million (DKK 0.2 million) including other assurance opinions and other services.
---
### Related parties
As at 31 December 2022 there are no shareholders with controlling interest.
Large shareholders (>5%) consists of:
- AC NC Holding ApS: 10.3% (Denmark)
- Danske Bank A/S: 5.1% (Denmark)
Please refer to Shareholder Information in Management Commentary.
Related parties with significant influence are the company’s Executive Management, Board of Directors, Other Key Management Personnel and their related parties. Furthermore, related parties are companies in which the above persons have significant interests, as well as joint venture to the Group. All transactions with related parties are made on arm’s length terms.
In 2022, Netcompany recognised revenue from Smarter Airports A/S of DKK 70.7 million (DKK 101.6 million) and acquired technology from Smarter Airport A/S of DKK 20 million.
In 2022, Other Key Management Personnel exercised a put option of 44,539 treasury shares related to the acquisition of Intrasoft.
There were no other transactions with members of Executive Management, members of the Board of Directors of the Group or Other Key Management Personnel, other than remuneration and furthermore, no loans were granted to the Board of Directors, Executive Management or Other Key Management Personnel in 2022 or 2021.
**Ownership**
The part of Netcompany Group A/S owned by Executive Management and the Board of Directors is specified in the Remuneration report.
Related parties (continued)
Netcompany Group A/S
- NC TopCo A/S
Netcompany A/S
- Netcompany Poland sp. Z o.o.
Netcompany Norway AS
Netcompany UK Holding Ltd.
Netcompany UK Ltd.
Netcompany Vietnam Company Ltd.
Netcompany Netherlands B.V.
Netcompany-Intrasoft SA Luxembourg
Netcompany-Intrasoft Scandinavia A/S
Netcompany-Intrasoft Belgium SA
Intrasoft SA
Netcompany-Intrasoft East Africa Limited
Netcompany-Intrasoft Zambia Limited
Netcompany-Intrasoft USA, Inc.
Netcompany-Intrasoft Cyprus Ltd.
Intrasoft International South Africa (PTY) Ltd.
Advanced Transport Telematics
Intrasoft International Bulgaria Ltd
Intrasoft GPM Group SRL
Smarter Airports A/S
80%
### Related parties (continued)
| Name of entity | Location | Currency | Ownership | Function |
|-----------------------------------------------------|--------------|----------|-----------|----------------|
| Netcompany Group A/S | Denmark | DKK | 100% | Parent |
| NC TopCo A/S | Denmark | DKK | 100% | Subsidiary |
| Netcompany A/S | Denmark | DKK | 100% | Subsidiary |
| Netcompany Poland sp. Z.o | Poland | PLN | 100% | Subsidiary |
| Netcompany Norway AS | Norway | NOK | 100% | Subsidiary |
| Netcompany Holding UK Ltd. | United Kingdom | GPB | 100% | Subsidiary |
| Netcompany UK Ltd. | United Kingdom | GPB | 100% | Subsidiary |
| Netcompany Vietnam Company Ltd. | Vietnam | VND | 100% | Subsidiary |
| Netcompany Netherlands B.V. | Netherlands | EUR | 100% | Subsidiary |
| Netcompany-Intrasoft SA | Luxembourg | EUR | 100% | Subsidiary |
| Netcompany-Intrasoft Scandinavia A/S | Denmark | DKK | 100% | Subsidiary |
| Netcompany-Intrasoft USA, Inc. | United States | USD | 100% | Subsidiary |
| Netcompany-Intrasoft Cyprus Ltd. | Cyprus | EUR | 100% | Subsidiary |
| Intrasoft International South Africa (PTY) Ltd. | South Africa | ZAR | 100% | Subsidiary |
| Netcompany-Intrasoft S.A Belgium | Belgium | EUR | 100% | Subsidiary |
| Intrasoft SA | Greece | EUR | 100% | Subsidiary |
| Netcompany-Intrasoft Zambia Limited | Zambia | ZMW | 100% | Subsidiary |
| Intersoft International Bulgaria Ltd (Dormant) | Bulgaria | BGN | 100% | Subsidiary |
| Netcompany-Intrasoft East Africa Limited | Kenya | KES | 88% | Subsidiary |
| Intrasoft GPM Group SRL (Dormant) | North Macedonia | MKD | 85% | Subsidiary |
| Netcompany-Intrasoft Middle East FZC | United Arab Emirates | USD | 80% | Subsidiary |
| Netcompany-Intrasoft Jordan | Jordan | JOD | 80% | Subsidiary |
| Smarter Airport A/S | Denmark | DKK | 50% | Joint venture |
| Advanced Transport telematics | Greece | EUR | 50% | Associated |
| Incelligent I.K.E | Greece | EUR | 20% | Associated |
---
### Collateral provided and contingent liabilities
As part of its contract commitments with customers, the Group has through its banks provided performance guarantees of DKK 491 million (DKK 512.2 million).
There are no collaterals provided for the Group’s bank loan.
The Group is in 2022 as well as in 2021 part of some legal claims. The outcome of these disputes is not considered likely to impact the Groups financial position significantly, besides what is already recognised in the balance sheet.
---
### Adoption of the Annual Report for publication
At a meeting held on 25 January 2023, the Board of Directors adopted the Annual Report for publication. The Annual Report is presented to the Shareholders of Netcompany Group A/S for adoption at the Annual General Meeting.
---
### Events after the balance sheet date
At the time of publication, Netcompany Group A/S awaits the outcome of the discussions with the Danish Business Authority.
No events have occurred after the balance sheet date, which would influence the evaluation of this Annual Report.
## Parent company financial statement
### Content
| Statement | Page |
|-----------|------|
| Statement of comprehensive income | 126 |
| Statement of financial position | 127 |
| Statement of changes in equity | 128 |
| Cash flow statement | 129 |
**Management statement**
140
**Independent auditor’s report**
141
### Notes to the consolidated financial statements
#### Section 1: Basis of preparation
- **Note 1** Accounting policies
130
#### Section 2: Result for the year
- **Note 2** Administrative costs
130
- **Note 3** Staff costs and remuneration
130
- **Note 4** Depreciation
133
- **Note 5** Financial income and expenses
133
- **Note 6** Tax
133
#### Section 3: Invested capital
- **Note 7** Right of use assets
134
- **Note 8** Investments in subsidiaries
134
#### Section 4: Working capital & Capital structure
- **Note 9** Cash and cash equivalents
135
- **Note 10** Share capital
136
- **Note 11** Borrowings
136
- **Note 12** Other payables
137
- **Note 13** Working capital changes
137
- **Note 14** Financial risks and financial instruments
137
#### Section 5: Other disclosures
- **Note 15** Fee to Group auditor
138
- **Note 16** Related parties
139
- **Note 17** Collateral provided and contingent liabilities
139
- **Note 18** Joint taxation
139
- **Note 19** Events after the balance sheet date
139
## Statement of comprehensive income for the Parent for 2022
| DKK'000 | Notes | 2022 | 2021 |
|------------------|-------|----------|----------|
| Revenue | | 30,000 | 30,000 |
| **Gross profit** | | 30,000 | 30,000 |
| Sales and marketing costs | | -2,767 | -1,253 |
| Administrative costs | 2 | -34,293 | -40,859 |
| **Operating profit / loss (EBIT)** | | -7,060 | -12,112 |
| Financial income | 5 | 37,746 | 20,987 |
| Financial expenses | 5 | -81,946 | -32,998 |
| **Profit / loss before tax** | | -51,261 | -24,123 |
| Tax on profit / loss for the year | 6 | 11,156 | 5,205 |
| **Profit / loss for the year** | | -40,104 | -18,918 |
| Other comprehensive income / loss | | 0 | 0 |
| **Comprehensive income for the year / loss** | | -40,104 | -18,918 |
## Statement of financial position of the Parent at 31 December 2022
| DKK'000 | Notes | 2022 | 2021 |
|------------------|-------|----------|----------|
| Right of use assets | | 617 | 1,168 |
| **Tangible assets** | | 617 | 1,168 |
| Investment in subsidiary | 8 | 3,041,509 | 3,017,516 |
| Other receivables | | 246 | 326 |
| Deferred tax | | 2,324 | 3,820 |
| **Financial assets** | | 3,044,080 | 3,021,663 |
| **Non-current assets** | | 3,044,696 | 3,022,831 |
| Receivables from Group entities | | 2,008,306 | 1,752,501 |
| Tax receivables | | 184,796 | 145,322 |
| Other receivables | | 0 | 0 |
| Prepayments | | 3,226 | 1,157 |
| **Receivables** | | 2,196,328 | 1,898,980 |
| Cash | 9 | 1,785 | 7,152 |
| **Current assets** | | 2,198,113 | 1,906,132 |
| **Assets** | | 5,242,810 | 4,928,963 |
| DKK'000 | Notes | 2022 | 2021 |
|------------------|-------|----------|----------|
| Share capital | 10 | 50,000 | 50,000 |
| Treasury shares | | -313,287 | -241,409 |
| Share-based remuneration | | 54,226 | 70,177 |
| Retained earnings| | 1,478,757| 1,537,078|
| **Equity** | | 1,269,696| 1,415,846|
| Borrowings | 11 | 1,872,372| 2,275,788|
| Lease liability | 115 | 584 | |
| **Non-current liabilities** | | 1,872,487 | 2,276,372 |
| Lease liability | | 504 | 586 |
| Trade payables | | 463 | 429 |
| Payables to Group entities | | 2,086,504| 1,164,975|
| Other payables | 12 | 13,157 | 70,755 |
| **Current liabilities** | | 2,100,627 | 1,236,745 |
| **Liabilities** | | 3,973,115 | 3,513,117|
| **Equity and liabilities** | | 5,242,810 | 4,928,963 |
## Statement of changes in equity for the Parent for 2022
| DKK'000 | Share capital | Treasury shares | Share-based remuneration | Retained earnings | Total |
|----------------------------------------------|---------------|-----------------|--------------------------|-------------------|-------------|
| **Equity at 1 January 2022** | 50,000 | -241,409 | 70,177 | 1,537,078 | 1,415,846 |
| Profit / loss for the year | 0 | 0 | 0 | -40,104 | -40,104 |
| **Total comprehensive income** | 0 | 0 | 0 | -40,104 | -40,104 |
| Treasury shares acquired in the year | 0 | -111,472 | 0 | -20,016 | -131,487 |
| Treasury shares used in business combinations| 0 | 171 | 0 | 388 | 559 |
| Share-based remuneration for the year | 0 | 39,423 | -15,952 | 1,411 | 24,882 |
| **Total transactions with owners** | 0 | -71,878 | -15,952 | -18,217 | -106,047 |
| **Equity at 31 December 2022** | 50,000 | -313,287 | 54,226 | 1,478,757 | 1,269,696 |
| DKK'000 | Share capital | Treasury shares | Share-based remuneration | Retained earnings | Total |
|----------------------------------------------|---------------|-----------------|--------------------------|-------------------|-------------|
| **Equity at 1 January 2021** | 50,000 | -175,000 | 42,478 | 1,501,305 | 1,418,783 |
| Profit / loss for the year | 0 | 0 | 0 | -18,918 | -18,918 |
| **Total comprehensive income** | 0 | 0 | 0 | -18,918 | -18,918 |
| Treasury shares acquired in the year | 0 | -99,993 | 0 | 0 | -99,993 |
| Treasury shares used in business combinations| 0 | 29,091 | 0 | 103,791 | 132,882 |
| Share-based remuneration for the year | 0 | 4,493 | 27,699 | 0 | 32,192 |
| Dividend paid | 0 | 0 | 0 | -50,000 | -50,000 |
| Dividend on treasury shares | 0 | 0 | 0 | 900 | 900 |
| **Total transactions with owners** | 0 | -66,409 | 27,699 | 54,691 | 15,981 |
| **Equity at 31 December 2021** | 50,000 | -241,409 | 70,177 | 1,537,078 | 1,415,846 |
## Cash flow statement for the Parent for 2022
| DKK’000 | Notes | 2022 | 2021 |
|----------------------------------------------|-------|----------|----------|
| Operating profit (EBIT) | | -7,060 | -12,112 |
| Depreciation | | 564 | 484 |
| Non-cash | | 781 | 6,452 |
| Working capital changes | 13 | -9,064 | 1,865 |
| **Cash flows from operating activities** | | | |
| Cash outflow on acquisition of subsidiaries | | -50,011 | -1,181,533|
| Other receivables (deposits) | | 80 | -109 |
| **Cash flows from investing activities** | | | |
| Income taxes paid on behalf of the Group | | -203,588 | -183,890 |
| Financial income received | | 35,897 | 20,987 |
| Financial expenses paid | | -83,398 | -30,415 |
| Paid dividend | | 0 | -49,100 |
| Net loan to Group entities | | 842,499 | 11,506 |
| Payment of treasury shares | | -131,487 | -99,993 |
| Proceeds from borrowings | | 2,182,836| 1,700,000|
| Repayment of borrowings | | -2,582,836| -185,182 |
| Repayment of leasing debt | | -570 | -493 |
| **Cash flows from financing activities** | | 59,343 | 1,183,420|
| **Increase in cash and cash equivalents** | | -5,367 | -1,533 |
| Cash and cash equivalents at 1 January | | 7,152 | 8,685 |
| **Cash and cash equivalents at 31 December** | 9 | 1,785 | 7,152 |
### Reconciliation of liabilities arising from financing activities (DKK’000)
| Borrowings (note 11) | Leasing | Total |
|----------------------|---------|---------|
| Opening balance 1 January 2022 | 2,275,788 | 1,170 | 2,276,958 |
| Proceeds from borrowings | 2,182,836 | 0 | 2,182,836 |
| Repayment of borrowings | -2,582,836 | -570 | -2,583,406|
| Loan costs on refinancing | -9,469 | 0 | -9,469 |
| Amortisation of loan costs (non-cash) | 6,053 | 0 | 6,053 |
| Leasing (non-cash) | 0 | 19 | 19 |
| Closing balance 31 December 2022 | 1,872,372 | 619 | 1,872,991|
### Reconciliation of liabilities arising from financing activities (DKK’000)
| Borrowings (note 11) | Leasing | Total |
|----------------------|---------|---------|
| Opening balance 1 January 2021 | 760,556 | 591 | 761,147 |
| Proceeds from borrowings | 1,700,000 | 0 | 1,700,000|
| Repayment of borrowings | -185,182 | -493 | -185,675|
| Amortisation of loan costs (non-cash) | 414 | 0 | 414 |
| Leasing (non-cash) | 0 | 1,071 | 1,071 |
| Closing balance 31 December 2021 | 2,275,788 | 1,170 | 2,276,958|
Netcompany Group A/S presents its Parent financial statements in accordance with the International Financial Reporting Standards as adopted by the EU and additional Danish disclosure requirements for financial statements governing reporting class D, see the Danish Executive Order on IFRS issued according to the Danish Financial Statements Act.
Totals in the financial statements have been calculated on the basis of actual amounts in accordance with the correct mathematical method. A recalculation of totals may in some cases result in rounding differences caused by the underlying decimals not disclosed to the reader.
The Parent generally applies the same accounting policies for recognition and measurement as the Group. Cases in which the Parent’s accounting policies differ from those of the Group are described under the relevant notes.
For a detailed specification of the Parent’s accounting policies, please see relevant notes in the consolidated financial statements.
### Administrative costs
| DKK’000 | 2022 | 2021 |
|---------|--------|--------|
| Administrative costs | 12,632 | 8,237 |
| Staff costs (note 3) | 21,097 | 32,138 |
| Depreciation | 564 | 484 |
| **Total administrative costs** | **34,293** | **40,859** |
### Staff costs and remuneration
| DKK’000 | 2022 | 2021 |
|---------|--------|--------|
| Salary and wages | 21,077 | 32,119 |
| Other social security costs | 20 | 19 |
| **Total staff costs** | **21,097** | **32,138** |
**Staff costs presented under following account balances**
| Administrative costs | 21,097 | 32,138 |
**Total staff costs** | **21,097** | **32,138**
**Average number of employees** | **3** | **3** |
## Staff costs and remuneration (continued)
| DKK’000 | 2022 | 2021 |
|---------|--------|--------|
| **Remuneration to the Board of Directors**<sup>1</sup> | | |
| Bo Rygaard | 1,372 | 1,050 |
| Juha Christensen | 979 | 788 |
| Scanes Bentley | 730 | 438 |
| Hege Skryseth | 565 | 350 |
| Asa Riisberg | 779 | 525 |
| Susan Cooklin | 525 | 0 |
| **Total remuneration to the Board of Directors** | 4,951 | 3,150 |
| **Remuneration to the Executive Management**<sup>1</sup> | | |
| André Rogaczewski | 5,562 | 8,167 |
| Claus Jørgensen | 5,586 | 8,226 |
| Thomas Johansen | 3,043 | 4,734 |
| **Total short term remuneration** | 14,191 | 21,128 |
| André Rogaczewski | 765 | 3,370 |
| Claus Jørgensen | 765 | 3,370 |
| Thomas Johansen | 425 | 1,872 |
| **Total share-based remuneration expensed** | 1,955 | 8,613 |
| **Total remuneration to the Executive Management** | 16,146 | 29,741 |
---
### Share-based remuneration
| DKK’000 | 2022 | 2021 |
|---------|--------|--------|
| Executive Management | 1,955 | 8,613 |
| Other Group Key Management Personnel | 1,274 | 581 |
| Group employees | 21,653 | 22,998 |
**Total share-based remuneration**
- **2022**: 24,882
- **2021**: 32,192
During 2022, 91,393 RSUs (59,468 RSUs) were granted of which 20,516 (16,368) were granted to Executive Management and 70,877 (43,100) were granted to Other Key Management Personnel and other employees.
The fair value of total granted RSUs at grant date was DKK 98.3 million (DKK 102.7 million). The cost associated herewith is expensed over the vesting period with DKK 24.9 million in 2022 (DKK 32.2 million).
The number of shares granted is determined by the stock price on the grant day, measured against the value of grant for each person.
The share-based incentive programme based on RSUs will continue in 2023. The company’s share-based incentive schemes are further detailed in the Group’s Remuneration report.
The cost related to Group employees is expensed in the financial statements of subsidiaries.
---
<sup>1</sup> Remuneration to Executive Management and Board of Directors is recognised as administrative costs.
## Staff costs and remuneration (continued)
### Restricted stock units in Netcompany shares
| Allocated to: | Outstanding 1 Jan 2022 | Issued | Lapsed | Transferred | Outstanding 31 Dec 2022 | Grant value at 31 Dec 2022 | Market value at 31 Dec 2022 | Vesting date |
|----------------------------------------------------|------------------------|--------|--------|-------------|--------------------------|----------------------------|----------------------------|--------------|
| Executive Management, 2018 | 3,261 | 0 | 0 | -3,261 | 0 | 0 | 0 | |
| Executive Management, 2019 | 37,263 | 0 | 0 | -37,263 | 0 | 0 | 0 | |
| Executive Management, 2020 | 26,161 | 0 | -8,732 | 0 | 17,429 | 6,130 | 5,128 | 31 December 2022 |
| Executive Management, 2021 | 16,368 | 0 | 0 | 0 | 16,368 | 9,431 | 4,815 | 31 December 2023 |
| Executive Management, 2022 | 0 | 20,516 | 0 | 0 | 20,516 | 9,902 | 6,036 | 31 December 2024 |
| Employees', 2018 | 102,263 | 0 | 0 | -102,263 | 0 | 0 | 0 | |
| Employees', 2019 | 56,188 | 0 | 0 | -56,188 | 0 | 0 | 0 | |
| Employees', 2020 | 67,131 | 0 | -4,051 | -11,825 | 51,255 | 18,026 | 15,079 | 31 December 2022 |
| Employees', 2021 | 42,535 | 0 | -2,104 | -1,028 | 39,403 | 22,703 | 11,592 | 31 December 2023 |
| Employees', 2022 | 0 | 70,877 | -3,771 | -323 | 66,783 | 32,147 | 19,648 | 31 December 2024 |
**Total allocated shares**
| | 351,170 | 91,393 | -18,658 | -212,151 | 211,754 | 98,338 | 62,298 | |
### Restricted stock units in Netcompany shares
| Allocated to: | Outstanding 1 Jan 2021 | Issued | Lapsed | Transferred | Outstanding 31 Dec 2021 | Grant value at 31 Dec 2021 | Market value at 31 Dec 2021 | Vesting date |
|----------------------------------------------------|------------------------|--------|--------|-------------|--------------------------|----------------------------|----------------------------|--------------|
| Executive Management, 2018 | 33,637 | 0 | -1,390 | -28,986 | 3,261 | 505 | 2,297 | 30 June 2021¹ |
| Executive Management, 2019 | 44,605 | 0 | -7,342 | 0 | 37,263 | 7,686 | 26,252 | 31 December 2021 |
| Executive Management, 2020 | 26,161 | 0 | 0 | 0 | 26,161 | 9,200 | 18,430 | 31 December 2022 |
| Executive Management, 2021 | 0 | 16,368 | 0 | 0 | 16,368 | 9,431 | 11,531 | 31 December 2023 |
| Employees', 2018 | 102,969 | 0 | -706 | 0 | 102,263 | 16,146 | 72,045 | 31 December 2021 |
| Employees', 2019 | 56,914 | 0 | -726 | 0 | 56,188 | 11,589 | 39,584 | 31 December 2021 |
| Employees', 2020 | 68,123 | 0 | -992 | 0 | 67,131 | 23,609 | 47,294 | 31 December 2022 |
| Employees', 2021 | 0 | 43,100 | -565 | 0 | 42,535 | 24,508 | 29,966 | 31 December 2023 |
**Total allocated shares**
| | 332,409 | 59,468 | -11,721 | -28,986 | 351,170 | 102,675 | 247,400 | |
¹ Group Employees consists of Other Key Management Personnel and Other Group Employees.
## Depreciation
| DKK'000 | 2022 | 2021 |
|---------|------|------|
| **Depreciation** | | |
| Right of use assets | 564 | 484 |
| **Total Depreciation** | 564 | 484 |
**Depreciation presented as follows in the income statement:**
| Administrative costs | 564 | 484 |
|----------------------|------|------|
| **Total Depreciation** | 564 | 484 |
## Tax
| DKK'000 | 2022 | 2021 |
|---------|------|------|
| **Current tax** | | |
| Adjustment to prior year | 0 | 23 |
| Change in deferred tax | 1,496| -906 |
| **Total current tax** | -11,156 | -5,205 |
| **Profit / loss before tax** | -51,261 | -24,123 |
| **Tax at a rate of 22%** | -11,277 | -5,307 |
| Adjustment to prior year | 0 | 23 |
| Tax-based value of non-deductible expenses | 121 | 79 |
| **Total current tax** | -11,156 | -5,205 |
| **Effective tax rate** | 21.8% | 21.6% |
## Financial income and expenses
| DKK'000 | 2022 | 2021 |
|---------|------|------|
| **Financial income** | | |
| Intra-group interest income | 35,810 | 20,924 |
| Other finance income | 1,935 | 63 |
| **Total Financial income** | 37,746 | 20,987 |
| **Financial expenses** | | |
| Intra-group interest expenses | 31,700 | 15,751 |
| Interest expenses, leasing | 7 | 8 |
| Interest expenses on bank loan | 37,783 | 10,733 |
| Other finance charges | 13,456 | 6,506 |
| **Total Financial expenses** | 81,946 | 32,998 |
### Right of use assets
| DKK'000 | 2022 | 2021 |
|------------------|--------|--------|
| **Cost at 1 January** | | |
| Additions | 0 | 1,456 |
| Remeasurements | 12 | -392 |
| Disposals | -469 | -511 |
| **Cost at 31 December** | 779 | 1,236 |
| **Depreciation at 1 January** | -67 | -94 |
| Depreciation for the year | -564 | -484 |
| Disposals | 469 | 511 |
| **Depreciation at 31 December** | -162 | -67 |
| **Carrying amount at 31 December** | 617 | 1,168 |
### Investments in subsidiaries
| DKK'000 | 2022 | 2021 |
|------------------|--------|--------|
| **Cost at 1 January** | | |
| Acquisition of subsidiary | 0 | 1,375,232 |
| Capital contribution | 0 | 1,375,232 |
| Transfer of subsidiary (push down) | 0 | -1,375,232 |
| Share-based remuneration additions | 23,993 | 23,579 |
| **Cost at 31 December** | 3,041,509 | 3,017,516 |
| **Carrying amount at 31 December** | 3,041,509 | 3,017,516 |
#### Subsidiaries: (DKK'000)
| NC TopCo A/S, Copenhagen, Denmark | Form of enterprise | Ownership | Equity | Result |
|-----------------------------------|--------------------|-----------|--------|--------|
| | A/S | 100 % | 3,144,493 | 24,370 |
---
1 Annual Report 2021
Investments in subsidiaries (continued)
In 2021, the Parent acquired Intrasoft, and immediately pushed down the acquired entity to NC TopCo A/S through a capital contribution.
Share-based remuneration additions to investments in subsidiaries incurred by the Parent on behalf of staff employed in subsidiaries (note 3) and are not recognised in the Parent income statement.
Accounting principles
Investments in subsidiaries are recognised and measured at cost. Dividend is recognised as income when the right is finally obtained.
The carrying amount of investments in subsidiaries is examined at the balance sheet date in order to determine if there is any indication of impairment.
Impairment test for investments
The subsidiaries of the Parent are considered independent cash-generating entities. In the event of any indication of impairment of the carrying amount (cost) of investments in subsidiaries, any impairment loss is determined based on a calculation of the value in use of the relevant subsidiary.
If dividends distributed exceed the subsidiary’s comprehensive income in the period for which dividend is distributed, this is considered an indication of impairment.
In 2022, all subsidiaries are performing according to the plan with satisfactory earnings, and hence Management has concluded that there are no impairment indicators that require a detailed impairment test to be performed.
Cash and cash equivalents
| DKK’000 | 2022 | 2021 |
|------------------|--------|--------|
| Deposits at banks| 1,785 | 7,152 |
| **Total cash and cash equivalents** | **1,785** | **7,152** |
## Share capital
| | 2022 | 2021 |
|----------------------|------------|------------|
| **Number of shares** | 50,000,000 | 50,000,000 |
| **Number of votes** | 50,000,000 | 50,000,000 |
### Netcompany treasury shares
| | 2022 | 2021 |
|----------------------|------------|------------|
| **Number of treasury shares 1 January** | | |
| Purchase of own shares | 827,110 | 899,813 |
| Transfers related to acquisitions | -789 | -187,687 |
| Transfers related to RSU programme | -212,151 | -28,986 |
| **Number of treasury shares 31 December** | 901,359 | 827,110 |
The share capital equals DKK 50,000,000 divided into shares of DKK 1 each or multiples thereof.
The company’s shares are traded on Nasdaq OMX Copenhagen in denominations of DKK 1. No shares confer any special rights upon any shareholder. No shares are subject to restrictions on transferability or voting rights.
Purchase of own shares for the long term Incentive Programme is expected to occur on a yearly basis. Transfer of shares related to the RSU programme will likewise vest on a yearly basis.
Transfers related to the acquisition of Netcompany-Intrasoft was finalised during 2022, while transfer of shares related to acquisition of Netcompany Netherlands will be finalised in 2023.
For a specification of granted RSU or treasury shares please refer to note 3.
## Borrowings
| | 2022 | 2021 |
|----------------------|------------|------------|
| **DKK’000** | | |
| Non-current liability | 1,872,372 | 2,275,788 |
| Current liability | 0 | 0 |
| **Total borrowings** | 1,872,372 | 2,275,788 |
1 According to the Group loan agreement, Netcompany has the opportunity to voluntarily make instalments at the Group’s discretion before the loan matures in 2025.
| | Currency | Maturity | Type of interest | Amortised loan cost | Nominal value | Carrying amount |
|----------------------|----------|----------|------------------|---------------------|---------------|-----------------|
| **DKK’000** | | | | | | |
| Bank loans | DKK | 2025+1+1 | Floating | 7,628 | 1,880,000 | 1,872,372 |
| | | | | | | |
| **2022** | | | | | | |
| | | | | | | |
| Bank loans | DKK | 2023 | Floating | 2,712 | 1,080,000 | 1,077,288 |
| Bank loans | DKK | 2023 | Floating | 1,500 | 1,200,000 | 1,198,500 |
| | | | | | | |
| **2021** | | | | | | |
In 2022, Netcompany entered into a new Group facility agreement. The Group bank loan matures in 2025, with the opportunity to postpone with one year, and another year in addition. For further details please refer to note 32.
The fair value of bank loans excluding capitalised loan costs is deemed to approximate the nominal value of the loans.
### Other payables
| Description | 2022 | 2021 |
|--------------------------------------------------|--------|--------|
| Wages and salaries, payroll taxes, social security costs, etc. payable | 3 | 7,500 |
| VAT and duties | 1,507 | 1,506 |
| Holdback (note 16 in Group) | 10,246 | 60,816 |
| Other costs payable | 1,401 | 933 |
| **Total other payables** | **13,157** | **70,755** |
### Working capital changes
| Description | 2022 | 2021 |
|----------------------|----------|----------|
| Change in receivables| -2,069 | -88 |
| Change in payables | -6,995 | 1,953 |
| **Total working capital changes** | **-9,064** | **1,865** |
### Financial risks and financial instruments
#### Categories of financial instruments
| Description | 2022 | 2021 |
|--------------------------------------------------|------------|------------|
| Receivables from Group entities | 2,008,306 | 1,752,501 |
| **Financial assets measured at amortised cost** | **2,008,306** | **1,752,501** |
| Cash | 1,785 | 7,152 |
| **Financial assets measured at fair value** | **1,785** | **7,152** |
| Borrowings | 1,872,372 | 2,275,788 |
| Lease liabilities | 619 | 1170 |
| Trade payables | 463 | 429 |
| Payables to Group entities | 2,086,504 | 1,164,975 |
| Other payables | 13,157 | 70,755 |
| **Financial liabilities measured at amortised cost** | **3,973,115** | **3,513,117** |
**Policy for management of financial risks**
The Parent’s objective at all times is to limit the Parent’s financial risks.
The Parent manages the financial risks and coordinates cash management and management of interest rate and currency risks based on financial risk policies agreed with the Board of Directors.
**Liquidity risks**
During 2022, the Parent completed the scheduled refinancing of the bank debt and entered a sustainable linked loan, with improved terms and margins.
The Parent attempts to maximise flexibility and minimise risks. At 31 December 2022, the Parent has unutilised credit facilities of a total of DKK 771.1 million (DKK 183.3 million) excluding an acquisition facility of DKK 2,000.0 million (DKK 400.0 million).
**Interest rate risks**
The Parent’s loan bear floating interest rates, and Management therefore closely follows the development in the IBOR and continuously consider if interest risks should be minimised by hedging the interest rate.
The combined committed facilities constitutes a total amount of DKK 2,800 million (DKK 2,700 million), and an optional facility of DKK 2,000 million (DKK 400 million) limited to acquisitions, whereof DKK 1,880 million (2,280 million) was utilised on borrowings and DKK 148.9 million (DKK 236.7 million) on guarantees.
The Parent’s original bank loan carried floating interest rates between IBOR + 0.8% and IBOR + 1.9% (IBOR + 1.1% and IBOR + 2.1%), depending on the financial leverage.
Current interest rate equals to yearly bank loan interest expenses of DKK 71.9 million (DKK 20.3 million) based on the current IBOR and current utilisation. The increase compared to 2021 follows the increase in IBOR and the acquisition of Netcompany-Intrasoft in October 2021 and thereby increased utilisation of the facilities.
If the interest rate on the Group bank loan changes ‘one additional step up’, due to changes in leverage, a new interest rate of 1.6% will be applicable equal to bank loan interest expenses of DKK 75.7 million, which corresponds to an additional increase in financial expenses of DKK 3.8 million.
**Credit risks**
In 2022, the Parent has not realised any credit losses. At 31 December 2022, the credit risk is primarily relating to inter-company receivables where the credit risk is considered remote and the Parent has made a provision of DKK 0 for expected credit losses.
**Currency risks**
The Parent is only to a limited extent exposed to foreign currency risks. The main part of the Parent’s transactions is in DKK.
**Optimisation of the capital structure**
The Parent regularly assesses whether its capital structure is in accordance with the Parent’s and the Shareholders’ interest. The overall objective is to ensure a capital structure that supports long term growth whilst maximising returns for the Parent’s owners by optimising the equity-to-debt ratio.
---
**Fee to the Group auditor**
| (DKK’000) | 2022 | 2021 |
|----------------------------|--------|--------|
| Statutory audit | 1,968 | 673 |
| Other assurance agreements | 50 | 0 |
| Tax and VAT advisory services | 0 | 0 |
| Other services | 178 | 25 |
| **Total fee to the Group auditor** | **2,196** | **698** |
Fees for services other than the statutory audit of the financial statements provided by EY Godkendt Revisionspartnerselskab Denmark amounted to DKK 0.2 million (DKK 0.0 million) including other assurance opinions and other services.
As at 31 December 2022, there are no shareholders with controlling interest.
Large shareholders (>5%) consists of:
• AC NC Holding ApS: 10.3% (Denmark)
• Danske Bank A/S: 5.1% (Denmark)
Please refer to Shareholder Information in Management Commentary.
Related parties with significant influence are the company’s Executive Management, Board of Directors, and their related parties. Furthermore, related parties are companies in which the above persons have significant interests, as well as subsidiaries and joint venture to the Group. All transactions with related parties are made on arm’s length terms. The Parent earns fee income from subsidiaries in relation to administrative services amounting to DKK 30.0 million (DKK 30.0 million).
In 2022, Other Key Management Personnel in the Group exercised a put option of 44,539 treasury shares related to the acquisition of Intrasoft.
There were no transactions with members of Executive Management or members of the Board of Directors of the Group, other than remuneration, and furthermore no loans were granted to the Board of Directors or Executive Management in 2022 and 2021.
Ownership
The part of Netcompany Group A/S owned by Executive Management and the Board of Directors is specified in the Remuneration report.
Netcompany Group A/S will provide continuing financial support to Netcompany Netherlands B.V. for a period up until February 2024.
The Parent has provided collateral for bank guarantees initiated by its subsidiaries towards its customers amounting DKK 148.9 million (DKK 236.7 million).
There are no collaterals provided for the Group’s bank loan.
The Group is in 2022 as well as in 2021 part of some legal claims. The outcome of these disputes are not considered likely to impact the Groups financial position significantly, besides what is already recognised in the balance sheet.
As of 16 April 2018, the Parent joined the national taxation arrangement and became the administrative company of the Danish subsidiaries. The current income tax is allocated among the jointly taxed companies in proportion to their taxable income (“full allocation method”).
At the time of publication, Netcompany Group A/S awaits the outcome of the discussions with the Danish Business Authority.
No events have occurred after the balance sheet date, which would influence the evaluation of this Annual Report.
The Board of Directors and the Executive Management have today considered and approved the Annual Report of Netcompany Group A/S for the financial year 1 January - 31 December 2022 for the Group and the Parent. The Annual Report is prepared in accordance with International Financial Reporting Standards as adopted by the EU and Danish disclosure requirements for Annual Reports and additional requirements of the Danish Financial Statements Act.
In our opinion, the management commentary contains a fair review of the development of the Group’s and the Parent’s business and financial matters, the results for the year and of the Parent’s financial position and the financial position as a whole of the entities included in the consolidated financial statements, together with a description of the principal risks and uncertainties that the Group and the Parent face.
In our opinion, the Annual Report for Netcompany Group A/S with the file name Netcompany Group-2022-12-31.zip for the financial year 1 January - 31 December 2022 for the Group and the Parent is conducted in compliance with the ESEF regulation.
We recommend the Annual Report for adoption at the Annual General Meeting.
Copenhagen, 25 January 2023
Executive management
André Rogaczewski
Chief Executive Officer
Claus Jørgensen
Chief Operating Officer
Thomas Johansen
Chief Financial Officer
Board of Directors
Bo Rygaard
Chairman
Juha Christensen
Vice Chairman
Scanes Bentley
Hege Skryseth
Åsa Riisberg
Susan Helen Cooklin
Independent auditor’s report
To the shareholders of Netcompany Group A/S
Report on the audit of the Consolidated Financial Statements and Parent Company Financial Statements
Opinion
We have audited the consolidated financial statements and the parent company financial statements of Netcompany Group A/S for the financial year 1 January – 31 December 2022, which comprise statement of comprehensive income, statement of financial position, statement of changes in equity, cash flow statement and notes, including accounting policies, for the Group and the Parent Company. The consolidated financial statements and the parent company financial statements are prepared in accordance with International Financial Reporting Standards as adopted by the EU and additional requirements of the Danish Financial Statements Act.
In our opinion, the consolidated financial statements and the parent company financial statements give a true and fair view of the financial position of the Group and the Parent Company at 31 December 2022 and of the results of the Group’s and the Parent Company’s operations and cash flows for the financial year 1 January – 31 December 2022 in accordance with International Financial Reporting Standards as adopted by the EU and additional requirements of the Danish Financial Statements Act.
Our opinion is consistent with our long-form audit report to the Audit Committee and the Board of Directors.
Independence
We are independent of the Group in accordance with the International Ethics Standards Board for Accountants’ International Code of Ethics for Professional Accountants (IESBA Code) and the additional ethical requirements applicable in Denmark, and we have fulfilled our other ethical responsibilities in accordance with these requirements and the IESBA Code.
Basis for opinion
We conducted our audit in accordance with International Standards on Auditing (ISAs) and additional requirements applicable in Denmark. Our responsibilities under those standards and requirements are further described in the “Auditor’s responsibilities for the audit of the consolidated financial statements and the parent company financial statements” (hereinafter collectively referred to as “the financial statements”) section of our report. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our opinion.
Key audit matters
Key audit matters are those matters that, in our professional judgement, were of most significance in our audit of the financial statements for the financial year 2022. These matters were addressed during our audit of the financial statements as a whole and in forming our opinion thereon. We do not provide a separate opinion on these matters. For each matter below, our description of how our audit addressed the matter is provided in that context.
Appointment of auditor
We were initially appointed as auditor of Netcompany Group A/S on 9 March 2021 for the financial year 2021. We have been reappointed annually by resolution of the general meeting for a total consecutive period of 1 year up until the financial year 2022.
We have fulfilled our responsibilities described in the “Auditor’s responsibilities for the audit of the financial statements” section, including in relation to the key audit matters below. Accordingly, our audit included the design and performance of procedures to respond to our assessment of the risks of material misstatement of the financial statements. The results of our audit procedures, including the procedures performed to address the matters below,
provide the basis for our audit opinion on the financial statements.
**Revenue recognition, including the measurement and recognition of work in progress**
The accounting principles and disclosures on revenue recognition related to projects are included in note 23 to the consolidated financial statements. On 31 December 2022, the carrying value of the Group’s work in progress amounted to DKK 1,115 million. Significant judgement is required by Management in determining the stage of completion and expected profit on work in progress, including assessment of specific project risks and assessment of potential onerous contracts. In addition, the Group’s accounting for arrangements with multiple performance obligations is subject to complexity, as the total contract value is allocated to each identified performance obligation and recognised as revenue as the services are delivered.
Due to the complexity in the judgements combined with the significance of revenue and work in progress, we consider revenue recognition, including the measurement and recognition of work in progress to be a key audit matter.
**How our audit addressed the key audit matter**
As part of our audit, we obtained an understanding of the Group’s processes for assessment of time and cost-to-complete estimates, the processes for identification and assessment of performance obligations and the processes for identification and assessment of project related risks including the risk of projects changing into onerous contracts.
We assessed the internal controls relating to monitoring of project development, time registration, estimation of time and cost-to-complete and identification and assessment of project risks and potential onerous contracts.
We obtained an overview of the Group’s projects in progress on 31 December 2022. On basis of risk and materiality we selected a sample of projects. For the selected sample, we tested Management’s assumptions for assessment of stage of completion, estimates of expected time and cost-to-complete and expected profits. To assess the accuracy of Management’s assumptions and estimates we performed look-back analysis by comparing the actual profit of completed projects with the expected profit from budgets. We analysed the budget deviations and discussed with Management the possible risk of similar deviations on projects in progress on 31 December 2022.
We tested the identification and accounting of arrangements with multiple performance obligations by testing a sample of recognised arrangements to supporting customer contracts and amendments. We tested the identification, assessment and accounting of project risks, potential onerous contracts, and warranty issues by application of data analysis and examination of supporting documentation.
**Statement on the Management’s review**
Management is responsible for the Management’s review.
Our opinion on the financial statements does not cover the Management’s review, and we do not express any form of assurance conclusion thereon.
In connection with our audit of the financial statements, our responsibility is to read the Management’s review and, in doing so, consider whether the Management’s review is materially inconsistent with the financial statements or our knowledge obtained during the audit, or otherwise appears to be materially misstated.
Moreover, it is our responsibility to consider whether the Management’s review provides the information required under the Danish Financial Statements Act.
Based on the work we have performed, we conclude that the Management’s review is in accordance with the financial statements and has been prepared in accordance with
the requirements of the Danish Financial Statements Act. We did not identify any material misstatement of the Management’s review.
**Management’s responsibilities for the financial statements**
Management is responsible for the preparation of consolidated financial statements and parent company financial statements that give a true and fair view in accordance with International Financial Reporting Standards as adopted by the EU and additional requirements of the Danish Financial Statements Act and for such internal control as Management determines is necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error.
In preparing the financial statements, Management is responsible for assessing the Group’s and the Parent Company’s ability to continue as a going concern, disclosing, as applicable, matters related to going concern and using the going concern basis of accounting in preparing the financial statements unless Management either intends to liquidate the Group or the Parent Company or to cease operations, or has no realistic alternative but to do so.
**Auditor’s responsibilities for the audit of the financial statements**
Our objectives are to obtain reasonable assurance as to whether the financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditor’s report that includes our opinion. Reasonable assurance is a high level of assurance, but is not a guarantee that an audit conducted in accordance with ISAs and additional requirements applicable in Denmark will always detect a material misstatement when it exists. Misstatements can arise from fraud or error and are considered material if, individually or in the aggregate, they could reasonably be expected to influence the economic decisions of users taken on the basis of the financial statements.
As part of an audit conducted in accordance with ISAs and additional requirements applicable in Denmark, we exercise professional judgement and maintain professional scepticism throughout the audit. We also:
- Identify and assess the risks of material misstatement of the financial statements, whether due to fraud or error, design and perform audit procedures responsive to those risks and obtain audit evidence that is sufficient and appropriate to provide a basis for our opinion. The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations or the override of internal control.
- Obtain an understanding of internal control relevant to the audit 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 Group’s and the Parent Company’s internal control.
- Evaluate the appropriateness of accounting policies used and the reasonableness of accounting estimates and related disclosures made by Management.
- Conclude on the appropriateness of Management’s use of the going concern basis of accounting in preparing the financial statements and, based on the audit evidence obtained, whether a material uncertainty exists related to events or conditions that may cast significant doubt on the Group’s and the Parent Company’s ability to continue as a going concern. If we conclude that a material uncertainty exists, we are required to draw attention in our auditor’s report to the related disclosures in the financial statements or, if such disclosures are inadequate, to modify our opinion. Our conclusions are based on the audit evidence obtained up to the date of our auditor’s report. However, future events or conditions may cause the Group and the Parent Company to cease to continue as a going concern.
Independent auditor’s report (continued)
• Evaluate the overall presentation, structure and contents of the financial statements, including the note disclosures, and whether the financial statements represent the underlying transactions and events in a manner that gives a true and fair view.
• Obtain sufficient appropriate audit evidence regarding the financial information of the entities or business activities within the Group to express an opinion on the consolidated financial statements. We are responsible for the direction, supervision and performance of the group audit. We remain solely responsible for our audit opinion.
We communicate with those charged with governance regarding, among other matters, the planned scope and timing of the audit and significant audit findings, including any significant deficiencies in internal control that we identify during our audit.
We also provide those charged with governance with a statement that we have complied with relevant ethical requirements regarding independence, and to communicate with them all relationships and other matters that may reasonably be thought to bear on our independence, and where applicable, actions taken to eliminate threats or safeguards applied.
From the matters communicated with those charged with governance, we determine those matters that were of most significance in the audit of the consolidated financial statements and the parent company financial statements of the current period and are therefore the key audit matters. We describe these matters in our auditor’s report unless law or regulation precludes public disclosure about the matter.
**Report on compliance with the ESEF Regulation**
As part of our audit of the Consolidated Financial Statements and Parent Company Financial Statements of Netcompany Group A/S, we performed procedures to express an opinion on whether the annual report of Netcompany Group A/S for the financial year 1 January – 31 December 2022 with the file name Netcompany Group-2022-12-31-en.zip is prepared, in all material respects, in compliance with the Commission Delegated Regulation (EU) 2019/815 on the European Single Electronic Format (ESEF Regulation) which includes requirements related to the preparation of the annual report in XHTML format and iXBRL tagging of the Consolidated Financial Statements including notes.
Management is responsible for preparing an annual report that complies with the ESEF Regulation. This responsibility includes:
• The preparing of the annual report in XHTML format;
• The selection and application of appropriate iXBRL tags, including extensions to the ESEF taxonomy and the anchoring thereof to elements in the taxonomy, for all financial information required to be tagged using judgement where necessary;
• Ensuring consistency between iXBRL tagged data and the Consolidated Financial Statements presented in human readable format; and
• For such internal control as Management determines necessary to enable the preparation of an annual report that is compliant with the ESEF Regulation.
Our responsibility is to obtain reasonable assurance on whether the annual report is prepared, in all material respects, in compliance with the ESEF Regulation based on the evidence we have obtained, and to issue a report that includes our opinion. The nature, timing and extent of procedures selected depend on the auditor’s judgement, including the assessment of the risks of material departures from the requirements set out in the ESEF Regulation, whether due to fraud or error. The procedures include:
• Testing whether the annual report is prepared in XHTML format;
• Obtaining an understanding of the company’s iXBRL tagging process and of internal control over the tagging process;
• Evaluating the completeness of the iXBRL tagging of the Consolidated Financial Statements including notes;
• Evaluating the appropriateness of the company’s use of iXBRL elements selected from the ESEF taxonomy and the creation of extension elements where no suitable element in the ESEF taxonomy has been identified;
• Evaluating the use of anchoring of extension elements to elements in the ESEF taxonomy; and
• Reconciling the iXBRL tagged data with the audited Consolidated Financial Statements.
In our opinion, the annual report of Netcompany Group A/S for the financial year 1 January – 31 December 2022 with the file name Netcompany Group-2022-12-31-en.zip is prepared, in all material respects, in compliance with the ESEF Regulation.
Copenhagen, 25 January 2023
**EY**
Godkendt Revisionspartnerselskab
Business Registration No 30700228
**Mikkel Sthyr**
State Authorised Public Accountant mne26693
**Morten Weinreich Larsen**
State Authorised Public Accountant mne42791
Formulas
Key figures and financial ratios have been compiled in accordance with the following calculation formulas.
**Organic revenue** = Revenue not classified as non-organic revenue
**Non-organic revenue** = Revenue from acquired businesses the first 12 months after acquisition
**Organic Growth** = \[ \frac{\text{Organic revenue current year} \times 100}{\text{Revenue last year}} \]
**Gross profit margin** \(^1,^2\) = \[ \frac{\text{Gross profit} \times 100}{\text{Revenue}} \]
**EBITA** \(^1,^2\) = Operating profit + Amortisation
**EBITA margin** \(^1,^2\) = \[ \frac{\text{EBITA} \times 100}{\text{Revenue}} \]
**Adjusted EBITA** = EBITA + Special items + Other operating income
**Adjusted EBITA margin** = \[ \frac{\text{Adjusted EBITA} \times 100}{\text{Revenue}} \]
**Operating profit margin** \(^1\) = \[ \frac{\text{Operating profit} \times 100}{\text{Revenue}} \]
**EBITDA** \(^1,^2\) = EBIT + Depreciation and amortisation
**EBITDA margin** = \[ \frac{\text{EBITDA} \times 100}{\text{Revenue}} \]
**Adjusted EBITDA** = EBITDA + Special items + Other operating income
**Adjusted EBITDA margin** = \[ \frac{\text{Adjusted EBITDA} \times 100}{\text{Revenue}} \]
**EPS** = \[ \frac{\text{Net profit}}{\text{Average outstanding shares}} \]
**EPS diluted** = \[ \frac{\text{Net profit}}{\text{Average outstanding shares} + \text{Diluted shares}} \]
**Free cash flow** \(^1,^2\) = Cash flow from operating activities - Capex
**Capex** \(^2\) = Capitalised costs and cost spent to buy intangible and tangible assets, excluding impact from business acquisitions.
**Cash conversion ratio** \(^1,^2\) = \[ \frac{\text{Free cash flow} \times 100}{\text{Net profit} - \text{Amortisation and deferred tax of amortisation}} \]
**Days sales outstanding** \(^2\) = \[ \frac{\text{Trade receivables} \times \text{days}}{\text{Revenue}} \]
**Return on equity** \(^2\) = \[ \frac{\text{Net profit for the period} \times 100}{\text{Average equity}} \]
**Return on invested capital (ROIC)** \(^2\) = \[ \frac{\text{Net profit} \times 100}{\text{Average invested capital}} \]
**ROIC (Adjusted for Goodwill)** \(^1\) = \[ \frac{\text{Net profit} \times 100}{\text{Average invested capital} - \text{average Goodwill}} \]
**Solvency (equity ratio)** = \[ \frac{\text{Equity}}{\text{Total assets}} \]
**Equity per share** \(^2\) = \[ \frac{\text{Equity excluding non-controlling interest at year-end}}{\text{Number of circulating shares at year-end}} \]
**Price/book value** \(^2\) = \[ \frac{\text{Share price at year-end}}{\text{Equity per share at year-end}} \]
**Market value** \(^1\) = Number of shares, excluding treasury shares, year-end x share price at year-end
**Dividend return** = \[ \frac{\text{Paid dividend per share}}{\text{Share price at beginning of year}} \]
Company information
Netcompany Group A/S
Grønningen 17
1270 Copenhagen
Denmark
CVR no. 39488914
Tel.: +45 7013 1440
E-mail: [email protected]
Auditor
EY
Godkendt Revisions-partnerselskab
Dirch Passers Alle 36
2000 Frederiksberg
Denmark
Annual Report design
BystedFFW
Annual Report 2022
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| Phase | Magic Dice (Both players) | Veil Tokens (Active Player) |
|-------|---------------------------|-----------------------------|
| I | 4 | 3 |
| II | 5 | 2 |
| III | 5 | 5 |
| IV | 5 | 7 |
| V | 5 | 9 |
| VI | 6 | 5 |
| VII | 6 | 7 |
| VIII | 7 | 7 |
All miscasts this phase gain a +1 Miscast Modifier
All miscasts this phase gain a -1 Miscast Modifier
THE JIX AGE
FANTASY BATTLES
MAGIC FLUX
TEMPORAL ESSENCE
5 Magic Dice
(Both players)
5 Veil Tokens
(Active Player)
When making a casting roll with 3 or more Magic Dice, all doubles count as triples. Note that a Caster can suffer multiple Miscast effects from a single casting roll. However no Miscast effect can be applied more than once.
THE IX AGE
FANTASY BATTLES
MAGIC FLUX
| Phase | Magic Dice (Both players) | Veil Tokens (Active Player) |
|-------|---------------------------|-----------------------------|
| I | 4 | 3 |
| II | 5 | 2 |
| III | 5 | 5 |
| IV | 5 | 7 |
| V | 5 | 9 |
| VI | 6 | 5 |
| VII | 6 | 7 |
| VIII | 7 | 7 |
All miscasts this phase gain a +1 Miscast Modifier
All miscasts this phase gain a -1 Miscast Modifier
THE JIX AGE
FANTASY BATTLES
MAGIC FLUX
TEMPORAL ESSENCE
5 Magic Dice
(Both players)
5 Veil Tokens
(Active Player)
When making a casting roll with 3 or more Magic Dice, all doubles count as triples. Note that a Caster can suffer multiple Miscast effects from a single casting roll. However no Miscast effect can be applied more than once.
THE IX AGE
FANTASY BATTLES
MAGIC FLUX
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Nicks
Yomin
The Keymaker
Klettermartin
Hutmartin
Projects
Relais Computer
CNC Sewer
Kimono
Lockpicking
Finished Projects
reverse engineering the OVGU student card
FTDI Breakout Board
LAN Tap Throwing Star
Japanese Garments
Haori
LED Display
Bulbdial Clock
Blinkedings Ultimate
klocam
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nightvision
something with my acoustic coupler (cool idea missing)
something with my old vending machine smart card reader (first reverse engineering needed)
DECT phones + asterisk = profit?
Netz39 - http://www.netz39.de/wiki/
Personal Projects
Art Teco - ncurses based text editor
Neobox - OpenMoko Neo userland replacement
dmenu with filecompletion
space status trayicon
Tabakdosendeckelgravur
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Linux common knowledge (Fedora laptop, Arch server, Debian phone)
C, Haskell, Erlang, bash
AVR
Eagle
microwave pizza
basic Klingon (Klingon Boggle partner wanted!!), basic Japanese
Climbing, Bouldering
basic reverse engineering
soldering (SMD in progress)
GIT
etching
basic lockpicking
rubics cube in various forms and types
sewing
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PKW
Openmoko Neo Freerunner
IDTronic EVO LF (125KHz RFID Reader)
SCM SCL3710 (NFC Reader)
Newsky TV28T DVB-T SDR
60m rope, boulderpad, 4 friends, 5 nuts, lot of slings
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1 acoustic coupler
2 thin clients (Itona TC4533/TC6933)
7 Linksys WRT54G(S)
http://www.netz39.de/wiki/
Printed on 2016-12-05 07:48
1 Epson LQ-400 matrix printer
4 Siemens Optipoint 500 Standard
10 DECT phones (Siemens, Panasonic, Philips, T-Easy)
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networking stuff
microcontroller stuff
functional programming stuff
*nix stuff
Randian Objectionism
Japanese
Zen Buddhism
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Operating Systems
Kommunikation und Netze
Functional Programming
Mainframe Computing
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Minesweeper (1:47 prof beat me)
Deadspace
Bioshock
CS (lets play glasfun)
NES Snake Rattle 'n' Roll
Favorite TV Series
Stargate
South Park
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049C F0AC 6457 A7F3 6DC9 C760 5B8C EBB8 1C58 177B
Netz39 - http://www.netz39.de/wiki/
Pics
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http://www.netz39.de/wiki/ - Netz39
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http://www.netz39.de/wiki/user:yomin
Last update: 2014-06-07 02:33
http://www.netz39.de/wiki/
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University of Nebraska - Lincoln
DigitalCommons@University of Nebraska - Lincoln
Library Philosophy and Practice (e-journal)
Libraries at University of Nebraska-Lincoln
2023
Wikipedia as a Source of Information to Engineering Students-A Study
Nagaraju Kuppugari Dr Government Degree College, Naidupet, [email protected]
Follow this and additional works at: https://digitalcommons.unl.edu/libphilprac
Part of the Scholarly Communication Commons
Kuppugari, Nagaraju Dr, "Wikipedia as a Source of Information to Engineering Students-A Study" (2023). Library Philosophy and Practice (e-journal). 7832.
https://digitalcommons.unl.edu/libphilprac/7832
Wikipedia as a Source of Information to Engineering Students-A Study
Dr. Kuppugari. Nagaraju
Librarian, Govt. Degree College, Naidupet, Tirupathi dist. A.P 524126
E-mail: [email protected]
Abstract
The study explored the use of Wikipedia as a source of information by the engineering students at Nellore dist in Andhra Pradesh. The study also tries to examine the
reasons to prefer Wikipedia over the traditional encyclopaedia by the engineering students.
The study adopted survey method and an online questionnaire for collecting the data from the respondents. After analysing the data the results revealed that ‘easy to understand’ was the
reason to prefer Wikipedia to the traditional encyclopaedia. The study also found that 77.42
percent of the respondents using Wikipedia to get background information. The investigator suggests that faculty working in the engineering colleges have to take an initiative to improve
the content available on Wikipedia by editing articles with the latest reliable information.
Keywords: Wikipedia; Information; Survey; Engineering students
1. INTRODUCTION
The enormous changes and improvement of ICT based technologies and the rise of using internet by the general public led the information revolution. In the 21
st century apart
from tradition information sources online sources are also popular among the users.
Information need to the changing society created an opportunity to popularise online encyclopaedia like Wikipedia. Since its inception in 2001 Wikipedia emerged as a largest
compilation of human knowledge. As of December 2022 it is available in more than 300
languages. It is useful as an instant source for getting background information of a topic.
The prime motives behind the use of these sources by the students are ease of use and
convenience. The present study aims to examine how the engineering students using Wikipedia as source of information.
2. REVIEW OF LITERATURE
Lim (2009) explored journalism and mass communication students' perceptions, uses, and motivations for using Wikipedia in a public university in the Midwestern United States. The study employed the uses and gratification approach, and a web survey was conducted to collect the data in spring 2008. The findings of the study show that 53.7% accessed wikipedia through search engines, whereas 47% through their bookmarks. The respondents of the study mainly used Wikipedia to obtain information and knowledge. The investigator suggested that librarians and educators need to provide guidelines for using Wikipedia rather than prohibiting.
Soylu (2009) conducted a case study on academic views on the uses of Wikipedia as an academic source at Indiana University. The participants in the study were undergraduates and faculty, and they were recruited based on their willingness. The study used a semistructured interview method for collecting the data. Results show that all participants used Wikipedia to look up definitions and descriptions of concepts. None of the participants knew about the content and the guiding policies on Wikipedia. The investigator suggests that there is a need to develop instructional programs to evaluate the reliability of online content in introductory- level courses in colleges.
Snyder (2010) explored the faculty and students 'viewpoints on the use of Wikipedia as an academic reference. The survey results reveal that the faculty uses Wikipedia for research and pleasure reading more than for academic purposes, due to the lack of trust in the quality of the information on Wikipedia.
Trevino and Hargittai (2011) study analysed college students' awareness of the Wikipedia editing process, and how the site functions. Task observation and interview methods employed for the collection of primary data from the respondents. The findings report that only a few students have in-depth knowledge of the Wikipedia editing process, and also some respondents lacking awareness of the content on Wikipedia that can be editable by anyone.
Colon-Aguirre and Fleming–May (2012) study aimed to assess students' use of Wikipedia and other free internet sources to support their class work. It was carried out in the spring and fall semesters of 2010. To collect the primary data, the investigator employed a semi-structured interview method, and a semi-structured questionnaire. The finding reveals that "students use Wikipedia as a source of information for their course work".
Knight and Pryke (2012) conducted a survey on Wikipedia use at Liverpool Hope University in the spring of 2010. By using a commercial surveying tool, the investigators sent emails and invited students and faculty to fill out an online questionnaire. Most of the questions were closed and semi-closed. The response rate to the survey among students was 16% (n=1222) and from faculty 31% (n=133). The study concludes that students use it as an initial information source for acquiring a basic understanding of concepts. They are not used for the content of assessments.
Polk, Johnston, and Evers (2015) examined Wikipedia use by students, teaching staff, and librarians. The study used a survey method and a convenience sampling technique for the selection of the sample. A questionnaire used with open-ended questions for collecting the data from the respondents. The findings depict that students perceived Wikipedia are not a reliable source.
Garrison (2015) study aimed to observe how college students are using Wikipedia for their academics. The participants of the study are first-year undergraduate students at a Liberal Arts College. The results reveal that Wikipedia use is more at the beginning of assignments. The study further found that female students are more likely to avoid using
Wikipedia than male students. 64.9% of respondents use Wikipedia for 'background information'. The study concludes that teachers' influence is a significant factor in the use and rating of Wikipedia.
Selwyn and Gorad (2016) carried out a survey of undergraduate students at a public university in Southeast Australia. The data was collected using a 48- item questionnaire and it was administered using the online survey platform. The study, conducted with an aim of finding out how university students are engaging with Wikipedia during their academic activities. The findings revealed that nearly 90% of students using Wikipedia, however, only a few respondents, rely on Wikipedia as a primary source. The study results describe that Wikipedia was only used as an initial orientation role.
3. OBJECTIVES OF THE STUDY
The main objectives of this study are
❖ To determine the use of Wikipedia as a source of information.
❖ To identify the reasons to prefer Wikipedia to traditional encyclopaedia
Hypotheses
The null hypotheses of the study
* H0 There would be no significant difference between male and female respondents on using Wikipedia as an information source.
Scope and limitations of the study
The study is limited to examine the Wikipedia as a Source of Information to Engineering Students .The target population of the study is confined to 3 rd and final year B.Tech students of various courses in the four selected engineering colleges in SPSR Nellore district, Andhra Pradesh.
4. METHODOLOGY
This is an exploratory study and focused on the engineering students search for information from Wikipedia.
Research instrument
The investigator collected data for the study by using both online and offline methods. A structured online questionnaire prepared using survey monkey and send to the students and asked them to share to their classmate whatsapp groups, and also the investigator personally visited some engineering colleges and the questionnaires were distributed to the respondents.
Data Analysis
The collected data were analysed by the investigator using SPSS. Percentages and Chi-square test significant tests of p value are set at 0.05 levels.
Table-4.1 Target population in the selected colleges
| S.No. | College Name | Target population |
|---|---|---|
| 1 | N.B.K.R Institute of Science & Technology, Vidyanagar | 1237 |
| 2 | Narayana Engineering College, Nellore | 959 |
| 3 | P.B.R Visvodaya Institute of Technology & Sciences, Kavali | 980 |
| 4 | Audi Sankara College of Engineering & Technology, Gudur | 1065 |
| Total | | 4241 |
It is clear from above Table that the total target population of all four engineering colleges was 4241. The investigator selected samples from each college by using a sample size formula.
The Population & Sample size
The study population was B.Tech students in the selected engineering colleges in SPSR Nellore district, Andhra Pradesh. Since the population is large to study the investigator chooses a sample of students by using the following sample size formula.
Based on the above formula, the sample size for the current study was 853, which is 20.11% of the target population. This is the minimum sample size to estimate the true population proportion.
Sample selection
Proportionate stratified simple random sampling method was adopted for the selection of the sample. The below Table clearly depicts the college-wise data about the sample students in the final and third year.
Table- 4.2 Proportionately selected students sample
| S.No. | College Name | Final year students | Third year students |
|---|---|---|---|
| 1 | N.B.K.R Institute of Science & Technology, Vidyanagar | 117 | 132 |
| 2 | Narayana Engineering College, Nellore | 87 | 106 |
| 3 | P.B.R Visvodaya Institute of Technology & Sciences, Kavali. | 91 | 101 |
| 4 | Audi Sankara College of Engineering & Technology, Gudur | 112 | 102 |
| Total | | 407 | 441 |
5. ANALYSIS OF DATA
Table-5.1
Table 3.11 shows the gender-wise distribution of respondents. It is obvious from the above table that out of 853 respondents, 433(50.76 percent) are male and the remaining 420 (49.24 percent) are female respondents. It is clear from the table that majority of the respondents (48.5 percent) are in the 18 to 20 years of age group, followed by 48.1 percent in the 21 to 23 years age group. Only 3.4 percent of respondents are 23 years above the age group. It can be concluded that majority of the respondents (48.5 percent) are in the 18 to 20 year age group.
Figure 5.1 reveals the usage of Wikipedia among the respondents. It is clear that nearly two thirds of the respondents 505(59.20 percent) are using Wikipedia, and a notable percentage 348 (40.79 percent) responded negatively. It is also reveals that majority of the male respondents (64.66 percent) are using Wikipedia, whereas the female respondents' usage is low (53.71 percent).
It may be inferred that respondents are engineering students; normally they get information relating to their subject from textbooks and reference books available in their college library. Another aspect is maybe they are not fully aware of this information source. That's why 40.79 percent of the respondents do not use Wikipedia. It can be concluded that majority of the respondents are using Wikipedia.
Table-5.2 Reasons to prefer Wikipedia to traditional encyclopaedia
| Reasons | Gender | | |
|---|---|---|---|
| | Male n=280 | Female n=225 | Frequency N=505 |
| Easy to -use | 197(70.35) | 146 (64.88) | 343(67.9) |
| Reasonably accurate information | 154(55.0) | 113(50.22) | 267(52.9) |
| Easy to understand | 194(69.28) | 155(68.88) | 349(69.1) |
| Up-to-date information | 133(47.5) | 99(44.0) | 232(45.9) |
(Note: Figures in parentheses indicate percentage. Multiple responses are allowed)
The study also explored the use of Wikipedia over traditional encyclopaedia. It can be noticed from the table data that majority of the respondents (69.1 percent) opined that 'easy to understand' was the reason for using the Wikipedia, followed by easy to- use (67.9 percent), reasonably accurate information (52.9 percent) and least number for the up- to -date information (45.9 percent). It is also found from the table that majority of the male respondents (70.35 percent) opined that 'easy to use' was the reason for using Wikipedia, followed by easy to understand (69.28 percent).
It may be inferred that respondents are highly conversant with using electronic gadgets, so that they can get information through their mobile phone. This is the reason they prefer to get information through Wikipedia rather than the print encyclopaedia. It may also be inferred that searching for information on Wikipedia is convenient; it dominates the importance of credibility of information. It can be concluded that majority of the respondents expressed that 'easy to understand' was the reason to prefer Wikipedia to the traditional encyclopaedia.
Table 5.3 Use of Wikipedia as a source of information
| Purpose | Opinion | | |
|---|---|---|---|
| | | Male n=280 | Female n=225 |
| To get background information | Yes | 224(80.0) | 167(74.22) |
| | No | 26(9.3) | 15(6.7) |
| | No idea | 30(10.7) | 43(19.1) |
| For a quick overview | Yes | 205(73.2) | 171(76.0) |
| | No | 41(14.6) | 33(14.7) |
| | No idea | 34(12.0) | 21(9.2) |
| For checking factual information | Yes | 180(64.28) | 136(60.44) |
| | No | 37(13.4) | 26(11.4) |
| | No idea | 63(22.5) | 63(27.9) |
| | Yes | 154(55.0) | 113(50.22) |
| | No | 44(15.7) | 39(17.3) |
(Note: Figures in parentheses indicate percentage)
| Gender Vs | Chi-Square Value | Degrees of freedom | P value |
|---|---|---|---|
| To get background information | 7.677 | 2 | 0.022 |
| For a quick overview | 1.034 | 2 | 0.596 |
| For checking factual information | 2.082 | 2 | 0.353 |
| To get multilingual information | 1.143 | 2 | 0.565 |
Table 5.3 presents the data on the usage of Wikipedia as an information source. It is evident from the table that majority of the respondents (77.42 percent) are using Wikipedia to get background information, followed by 'Get a quick overview' (74.65 percent), checking factual information (62.57 percent) and getting multilingual information (52.87 percent).
It is also noticed that one third of the respondents (30.7 percent) have no idea about the availability of multilingual information on Wikipedia. Almost one fourth of the respondents (24.95 percent) have no idea about how to check factual information on Wikipedia.
From the table it is also observed that majority of the male respondents (80.0 percent) use Wikipedia to get background information, whereas the females are quite less (74.22 percent). There is no significant difference between male and female respondents' usage of Wikipedia as an information source. It is also proved from the Chi-square test, where the P value is statistically not significant at 0.05 levels with two degrees of freedom. The results support the hypothesis H1. It can be concluded that there is no significant difference between male and female respondents' usage of Wikipedia as an information source.
Table 5.4 Opinion on the reliability of information on Wikipedia
| Response | | |
|---|---|---|
| | Male n=280 | Female n=225 |
| Yes | 224 (80.0) | 164 (72.88) |
| No | 56 (20.0) | 61 (27.11) |
(Note: Figures in parentheses indicate percentage)
The table explains the respondents' opinion on the reliability of information on Wikipedia. It is clear that majority of the respondents (76.83 percent) opined that they are satisfied with the reliability of information on Wikipedia; however, almost one fourth (23.45 percent) responded negatively.
The table also shows that most of the male respondents (80.0 percent) and female respondents (72.88 percent) are satisfied with the reliability of information on Wikipedia. It can be concluded that most of the respondents (76.83 percent) are satisfied with the reliability of information on Wikipedia.
Findings of the study
❖ Almost two thirds of the respondents (59.20 percent) are using Wikipedia.
❖ 'Easy to understand' (69.1 percent) was the reason for using Wikipedia.
❖ Most of the respondents (77.42 percent) are using Wikipedia to get background information.
❖ Most of the respondents (76.63 percent) are satisfied with the reliability of Wikipedia information.
6. CONCLUSION & RECOMMENDATIONS
The rise of using the web by the general public led Wikipedia to emerge as an important online information source. The study findings support that most of the respondents are concerned about using Wikipedia to get background information. A notable aspect of the study's finding was that most of the respondents were satisfied with the reliability of information on Wikipedia.
- It is suggested that the faculty working in engineering colleges need to form as a group in their specific subject domain and have to take initiative to improve the content available on Wikipedia by editing articles with the latest reliable content.
- It is also suggested that the library and information science professionals in the engineering colleges should guide the students and try to enhance their information literacy skills. This is very helpful for them to know the authenticity, reliability and worthiness of information in online sources.
REFERENCES
Colón-Aguirre, M., & Fleming-May, R. A. (2012). "You Just Type in What You Are Looking For": Undergraduates' Use of Library Resources vs. Wikipedia. The Journal of Academic Librarianship. 38: 391–399. https://doi.org/10.1016/j.acalib.2012.09.013
Garrison, J. C. (2015). Getting a "quick fix": First-year college students' use of Wikipedia. First Monday. 20: 1–14. https://doi.org/10.5210/fm.v20i10.5401
Knight, C., & Pryke, S. (2012). Wikipedia and the University, a case study. Teaching in Higher Education. 17: 649–659. https://doi.org/10.1080/13562517.2012.666734
Lim, S. (2009). How and why do college students use Wikipedia? Journal of the American Society for Information Science and Technology. 60: 2189-2202.
Menchen-Trevino, E., & Hargittai, E. (2011). Young Adults' Credibility Assessment of Wikipedia. Information, Communication & Society. 14: 24–51. https://doi.org/10.1080/13691181003695173
Polk, T., Johnston, M. P., & Evers, S. (2015). Wikipedia Use in Research: Perceptions in Secondary Schools. TechTrends. 59: 92–102. https://doi.org/10.1007/s11528-0150858-6
Selwyn, N., & Gorard, S. (2016). Students' use of Wikipedia as an academic resource Patterns of use and perceptions of usefulness. The Internet and Higher Education.28: 28–34. https://doi.org/10.1016/j.iheduc.2015.08.004
Snyder, J. (2010). Wikipedia as an Academic Reference: Faculty and Student View points. AMCIS 2010 Proceedings. AMCIS 2010. https://aisel.aisnet.org/amcis2010/17
Soylu, F. (2009). Academic views on and uses of Wikipedia. GNOVIS Communication, Culture, and Technology. 9: 1–9. http://www.gnovisjournal.org/2009/05/13/academics-views-and-uses-wikipedia/
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In accordance with the Americans with Disabilities Act (ADA), the City of Fishers will, upon request, provide appropriate aid and/or assistance leading to effective participation for people with disabilities. Anyone who requires such assistance should contact Kelly Lewark, Office Manager, no later than forty-eight (48) hours before the scheduled event at (317) 595-3487 or via email at [email protected].
BOARD/COMMISSION:
Nickel Plate Review Committee February 26, 2020 at 5:00 p.m. Fishers City Hall Auditorium One Municipal Drive, Fishers, IN 46038-1574
DATE:
DIRECTIONS:
1. Call to order / Pledge of Allegiance
2. Roll Call
3. Approval of Previous Minutes – November 25, 2019
a. Case # NPR-20-1 - The Edge Creative Sign Package Amendment
Community Health Network requests approval of an amendment to the creative sign package for The Edge building located at 8890 E. 116th Street. The property is zoned Downtown Core and is located within the corporate limits. Doug Staley is the sign contractor ([email protected]).
PETITIONER: Staley Signs, Inc. on behalf of Community Health Network & Fishers Urban Development, LLC
PETITIONER: Staley Signs, Inc. on behalf of Community Health Network & Fishers Urban
Development, LLC
PROJECT MGR: Megan Schaefer (317) 588-1431
[email protected]
Staff-Report Petitioners-Packet Approved-Sign-Package
b. Case # NPR-20-3 - South Village of Nickel Plate Sec. 4
Stoeppelwerth and Associates, Inc. on behalf of Rekaz Home Remodeling LLC. request approval of the architecture of two (2) single-family homes on two (2) lots, each approximately .16 aces. The property is generally located east of Meadows Drive with a common address of 11301 Meadows Drive. The property is zoned VC – Village Center and is within City Limits. Leigh Anne Ferrell ([email protected]) is the project manager.
PETITIONER: Stoeppelwerth & Associates on behalf of Rekaz Home Remodeling LLC.
PROJECT MGR: Ross Hilleary
(317) 588-1436
[email protected]
Staff-Report
Site-Plan
Lot-32-Rendering
Lot-32-Floor Plans
Lot-33-Rendering
Lot-33-Floor Plans
4. Unfinished Business:
None
5. Old Business:
None
6. New Business:
Oath of Office and Conflict of Interest
7. Staff Communications:
None
8. Adjournment
Next Meeting: March 25, 2020
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Savings Monitoring 2022/23
General Fund
As
% Of Net
Budget
£'000
1.7%
1.3%
3.6%
0.7%
0.5%
0.0%
0.0%
1.9%
| 2022/23 | Gross Savings | | Net |
|---|---|---|---|
| Savings | Achieved / | In-Year | Savings |
| Approved | Anticipated | Pressures | At Risk |
| £'000 | £'000 | £'000 | £'000 |
| 2,674 | 2,637 | (1,781) | 1,818 |
| 2,353 | 1,777 | (387) | 963 |
| 2,730 | 2,491 | (1,361) | 1,600 |
| 1,932 | 1,932 | (180) | 180 |
| 495 | 328 | 0 | 167 |
| 0 | 0 | 0 | 0 |
| 325 | 325 | 0 | 0 |
| 10,509 | 9,490 | (3,709) | 4,728 |
Housing Revenue Account
Savings
£'000
0
0
| 2022/23 | |
|---|---|
| Savings | Savings |
| Proposed | Achieved |
| £'000 | £'000 |
| 0 | 0 |
| 0 | 0 |
Explanation and Mitigation of At Risk Savings
|
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|
2024-09-09T15:34:08+00:00
|
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UNITED STATES INTERNATIONAL TRADE COMMISSION Washington, D.C. 20436
In the Matter of
CERTAIN CASKETS
Investigation No. 337-TA-725
NOTICE OF COMMISSION ISSUANCE OF A LIMITED EXCLUSION ORDER AGAINST INFRINGING PRODUCTS OF RESPONDENT FOUND IN DEFAULT; TERMINATION OF INVESTIGATION
AGENCY: U.S. International Trade Commission.
ACTION: Notice.
SUMMARY: Notice is hereby given that the U.S. International Trade Commission has issued a limited exclusion order against infringing products of Ataudes Aguilares, S. de R.L. de C.V. of Guadalajara, Mexico ("Ataudes Aguilares"), which was previously found in default, and has terminated the above-captioned investigation under section 337 of the Tariff Act of 1930, as amended (19 U.S.C. § 1337).
FOR FURTHER INFORMATION CONTACT: Megan M. Valentine, Office of the General Counsel, U.S. International Trade Commission, 500 E Street, S.W., Washington, D.C. 20436, telephone (202) 708-2301. Copies of non-confidential documents filed in connection with this investigation are or will be available for inspection during official business hours (8:45 a.m. to 5:15 p.m.) in the Office of the Secretary, U.S. International Trade Commission, 500 E Street, S.W., Washington, D.C. 20436, telephone (202) 205-2000. General information concerning the Commission may also be obtained by accessing its Internet server at http://www.usitc.gov. The public record for this investigation may be viewed on the Commission's electronic docket (EDIS) at http://edis.usitc.gov. Hearing-impaired persons are advised that information on this matter can be obtained by contacting the Commission's TDD terminal on (202) 205-1810.
SUPPLEMENTARY INFORMATION: The Commission instituted this investigation on July 8, 2010, based on a complaint filed by Batesville Services, Inc. of Batesville, Indiana ("Batesville"). 75 Fed. Reg. 16837-38 (July 8, 2010). The complaint alleges violations of section 337 of the Tariff Act of 1930, as amended, 19 U.S.C. § 1337, in the importation into the United States, the sale for importation, and the sale within the United States after importation of certain caskets by reason of infringement of certain claims of U.S. Patent Nos. 5,611,124; 5,727,291; 6,836,936; 6,976,294; and 7,340,810. The Commission's notice of investigation named Ataudes Aguilares as the lone respondent.
On August 12, 2010, Batesville moved, pursuant to Commission Rule 210.16(b) (19 C.F.R. § 210.16(b)), for an order to show cause why Ataudes Aguilares should not be found in default for failure to respond to the Complaint and Notice of Investigation and for a finding of default upon the failure to show cause. On August 19, 2010, the Commission investigative attorney ("IA") filed a response in support of the motion. The presiding administrative law judge ("ALJ") issued the requested order, instructing Ataudes Aguilares to show cause, no later than the close of business on September 21, 2010, why it should not be found in default. Order No. 4 (Aug. 31, 2010). No response to Order No. 4 was filed, and the ALJ subsequently issued an initial determination ("ID") finding Ataudes Aguilares in default. Order No. 5 (Sept. 24, 2010). The Commission determined not to review the ID and issued a Notice requesting briefing from interested parties on remedy, the public interest, and bonding. 75 Fed. Reg. 65379-80 (Oct. 22, 2010).
The IA and Batesville submitted briefing responsive to the Commission's request on November 3 and 4, 2010, respectively. Each proposed a limited exclusion order directed to Ataudes Aguilares's accused products and recommended allowing entry under a bond of 100 percent of the entered value during the period of Presidential review.
The Commission found that the statutory requirements of section 337(g)(1)(A)-(E) (19 U.S.C. § 1337(g)(1)(A)-(E)) were met with respect to the defaulting respondent. Accordingly, pursuant to section 337(g)(1) (19 U.S.C. § 1337(g)(1)) and Commission rule 210.16(c) (19 C.F.R. § 210.16(c)), the Commission presumed the facts alleged in the complaint to be true.
The Commission has determined that the appropriate form of relief in this investigation is a limited exclusion order prohibiting the unlicensed entry of certain caskets that are manufactured abroad by or on behalf of, or imported by or on behalf of, respondent Aguilares by reason of infringement of claims 1, 13, 27, and 44–53 U.S. Patent No. 5,611,124; claims 1, 6, 8, 9, 16, 17, 19, and 21 of U.S. Patent No. 5,727,291; claims 1 and 2 of U.S. Patent No. 6,836,936; claims 1, 2, 5–8, 11, and 12 of U.S. Patent No. 6,976,294; and claims 1, 2, 4, and 5 of U.S. Patent No. 7,340,810. The Commission further determined that the public interest factors enumerated in section 337(g)(1) (19 U.S.C. § 1337(g)(1)) do not preclude issuance of the limited exclusion order. Finally, the Commission determined that the bond for importation during the period of Presidential review shall be in the amount of 100 percent of the entered value of the imported subject articles. The Commission's order was delivered to the President and the United States Trade Representative on the day of its issuance.
The Commission has terminated this investigation. The authority for the Commission's determination is contained in section 337 of the Tariff Act of 1930, as amended (19 U.S.C. § 1337), and in sections 210.16(c) and 210.41 of the Commission's Rules of Practice and Procedure (19 C.F.R. §§ 210.16(c) and 210.41).
By order of the Commission.
/s/
Marilyn R. Abbott Secretary to the Commission
Issued: December 13, 2010
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CC-MAIN-2021-39
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https://www.usitc.gov/secretary/fed_reg_notices/337/337_725_notice12132010sgl_0.pdf
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2021-09-23T20:52:12+00:00
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Sample Preparation Instructions
Electrospray:
Electrospray Ionization (ESI) is a mild solution based ionization process which relies on the analyte having either a basic or acidic site for ionization.
Vial type:
2ml glass vials.
Lid:
Snap-cap with Teflon disk.
Solvent:
HPLC grade acetonitrile, methanol, water, chloroform, dichloromethane or mixtures of these.
Volume:
>1000 µl, if less, then use vial inserts.
Concentration:
<2000 Da use 1µg ml - 1
>2000 Da use 100µg ml - 1.
Caution:
You must not use THF or DMF as solvent. ESI is severely compromised by the presence of involatile buffers and involatile salts. These must be removed from the sample or substituted by a volatile option, e.g. ammonium acetate.
All sample need to be particulate free so filter when necessary.
Contamination Peaks in Positive Ion ESI.
| m/z | Ion | Compound |
|---|---|---|
| 42 | (M+H)+ | Acetonitrile |
| 59 | (M+NH )+ 4 | Acetonitrile |
| 64 | (M+Na)+ | Acetonitrile |
| 79 | (M+H)+ | DMSO |
| 83 | (2M+H)+ | Acetonitrile |
| 101 | (M+Na)+ | DMSO |
| 102 | (M+H)+ | Triethylamine (TEA) |
| 104/106 | (M+Cu)+ | Acetonitrile |
| 105 | (2M+Na)+ | Acetonitrile |
| 120 | (M+Na+CH CN)+ 3 | DMSO |
| 122 | (M+H)+ | Tris |
| 123 | (M+H)+ | Dimethylaminopyridine (DMAP) |
| 130 | (M+H)+ | Diisopropylethylamine (DIPEA) |
| 144 | (M+H)+ | Tripropylamine |
| 145/147 | (2M+Cu)+ | Acetonitrile |
| 146 | (3M+Na)+ | Acetonitrile |
| 150 | (M+H)+ | Phenyldiethylamine |
| 157 | (2M+H)+ | DMSO |
| 159 | (M+H)+ | Sodium Trifluoroacetate |
| 169 | (2M+H)+ | d6-DMSO |
| 179 | (2M+Na)+ | DMSO |
| 186 | (M+H)+ | Tributylamine |
| 214 | (M+H)+ | Unidentified contaminant |
| 225 | (M+H)+ | Dicyclohexyl Urea (DCU) |
| 242 | M+ | Tetrabutylammonium |
| 243 | M+ | Trityl Cation |
| 257 | (3M+H)+ | DMSO |
| 273 | M+ | Monomethoxytrityl Cation (MMT) |
| 279 | (M+H)+ | Dibutylphthalate (Plasticiser) |
| 301 | (M+Na)+ | Dibutylphthalate (Plasticiser) |
| 317 | (M+K)+ | Dibutylphthalate (Plasticiser) |
| 338 | (M+H)+ | Erucamide |
| 360 | (M+Na)+ | Erucamide |
| 391 | (M+H)+ | Diisooctyl Phthalate (Plasticiser) |
| 413 | (M+Na)+ | Diisooctyl Phthalate (Plasticiser) |
| 429 | (M+K)+ | Diisooctyl Phthalate (Plasticiser) |
| 449 | (2M+H)+ | Dicyclohexyl Urea (DCU) |
| 454 | (M+Na+CH CN)+ 3 | Diisooctyl Phthalate (Plasticiser) |
| 798 | (2M+NH )+ 4 | Diisooctyl Phthalate (Plasticiser) |
| 803 | (2M+Na)+ | Diisooctyl Phthalate (Plasticiser) |
Ions observed: Positive ion mode for molecules that possess a basic site.
+
Ions separated by 5amu suggests you have (M+NH4) + and (M+Na) + . Look for accompanying (M+H) + and (M+K) + .
+
Similarly if you suspect (M+Na) + then look for (M+K) + at 16 Da higher than (M+Na)
You may also check for multimers if you see higher mass peaks e.g. (2M+H)+, (2M+NH4) + , (2M+Na) + , (3M+H) + etc.
(M+CH3CN) + and (M+CH3OH) + are also sometimes observed (+41 & +32 Da)
Generally multimers are observed if the sample is to concentrated, though some molecules "self assemble" to give higher mass species.
Ions observed: Negative ion mode for molecules that possess an acidic site.
(M-H)
-
(M-1)
-
Deprotonation can be aided by addition of a trace amount of base, NH4OH, TEA, TPA
Formic acid and TFA adducts are also often observed:
-
-
MALDI:
The sample is mixed with a UV absorbing matrix, the latter in great excess. Singly charged species are product.
Vial Type:
Eppendorf
Solvent:
HPLC grade acetonitrile, methanol, water or mixtures of these for biomolecules and DCM or THF for polymers.
Concentration:
<5000Da use 1-10 pmol µl - 1
>5000Da use 10-100 pmol µl- 1
Caution:
Sensitivity and resolution are compromised by the presence of salts. Rigorous sample clean up improves analysis.
Zip-Tip reversed phase sample preparation:
Sample preparation:
Adjust sample to 0.1% TFA, final pH should be <4.
Equilibration Solution:
0.1% TFA in Milli-Q grade water.
Wash Solution:
0.1% TFA in Milli-Q grade water.
Elution Solution:
0.1% TFA / 50% AcN.
Equilibrate the Zip-Tip pipette for sample binding:
1. Depress pipettor plunger to a dead stop. Using the maximum volume setting of 10µl, aspirate wetting solution into the tip. Dispense to waste. Repeat.
2. Aspirate equilibration solution. Dispense to waste. Repeat.
Bind and Wash the Peptides or Proteins:
Follow these steps after equilibrating the Zip-Tip pipette tip.
1. Bind peptides and/or proteins to Zip-Tip pipette tip by fully depressing the pipette plunger to a dead stop. Aspirate and dispense the sample 7-10 cycles for maximum binding of complex mixtures.
2. Aspirate wash solution into tip and dispense to waste. Repeat at least once.
NOTE: A 5% methanol in 0.1% TFA / Water wash can improve desalting efficiency. Additional washing may be required for electrospray MS.
Elute the Peptides or Proteins:
For Zip-Tip C18 and Zip-Tip C4 pipette tips, dispense 1 to 4 µl of elution solution into a clean vial.
Sample Loading:
Typically take 2µl of sample in the pmol/µl concentration range and mix with 2µl of matrix solution in the bottom of a 0.5ml eppendorf tube. Take 2µl of this mixture and apply to the sample position. Repeat this for the desired number of samples and allow the target to dry.
Matrix Solutions:
| 3,5-dimethoxy-4- hydroxycinnamic acid (Sinapinic Acid) | O O OH HO O |
|---|---|
| Alpha-cycano-4- hydroxycinnamic acid (Alpha cyano) | N HO OH O |
| 2,5-Dihydroxybenzoic acid (DHB) | O HO OH OH |
| 2,4,6- Trihydroxyacetophenone (THAP) | OH O CH3 HO OH |
| Beta Indole acrylic acid (IAA) | H N O OH | Polymethyl methacylates |
|---|---|---|
| 2-(4- Hydroxyphenylazo)benzoic acid (HABA) | O OH OH N N | Glycolipids, peptides, proteins |
Preparation of Standards for MALDI:
Prepare standards at 1mg/ml in 0.1% TFA in Water and do appropriate dilutions to obtain a final concentration of approximately 10 pmol/µl
| Substance Name | Average Molecular Mass (amu) | Dilution factor of 1mg/ml solution to give 10 pmol/µl |
|---|---|---|
| Angiotensin I | 1296.5 | 100 |
| ACTH (18-39 clip) | 2465.7 | 40 |
| Insulin (Bovine) | 5733.5 | 20 |
Suggested tolerated contaminant concentrations:
Preparation of tryptic digests for MALDI-TOF analysis using Coomassie Blue stained gel slices.
Dehydrate Gel Slices.
1. Equilibrate the stained gel slice in 50mM ammonium bicarbonate.
2. Cut the slice into 1 x 1 mm pieces.
3. Place pieces in 50% acetonitrile: 50% 50mM ammonium bicarbonate, (from a 100mM stock of ammonium bicarbonate).
4. Replace supernatant with acetonitrile to completely dehydrate.
5. Remove acetonitrile in a Speed Vac.
Tryptic digest.
6. Rehydrate slices in 25mM ammonium bicarbonate which contains 50-100ng trypsin per 20ul volume. Include ~0.01% octylglucoside. Add sufficient volume to swell slices to original volume and then excess 25mM ammonium bicarbonate to cover completely. (Use sequencing grade trypsin – Promega or Roche)
7. Incubate overnight at 37 o C. Remove supernatant and save for analysis.
8. Rinse slices with 80% acetonitrile, 1% formic acid. Slices will shrink.
9. Remove supernatant and pool with supernatant from step 8.
10. Dry down digest in Speed Vac. Stop when digest is almost dry.
11. Resuspend digest in a small volume of 1% formic if necessary.
12. Desalt on a Millipore Zip-Tip (see above) according to instructions.
Sample is ready for MALDI-TOF analysis.
Trypsin Autolysis Peaks which can be used for internal calibration:
|
<urn:uuid:c82a3dd0-cfe0-444a-a095-3dfb1c96ad84>
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CC-MAIN-2023-50
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https://www.bc.edu/content/dam/bc1/schools/mcas/Chemistry/pdf/research/mass-spec/Sample-Preparation-Instructions.pdf
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2023-12-10T14:42:15+00:00
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APPLICATION FORM
Faculty Development Training Program on
ELECTRICAL MACHINES – II (EE6504)
15 – 21, May, 2017
1. Name (in capital letters) :
2. Date of Birth :
3. Designation :
4. Institution :
5. Institution affiliated to Anna University: Yes / No
6. Address for Communication:
E-mail address :
Phone no. (with STD code)
Office :
Residential :
Mobile phone:
7. Educational Qualifications:
8. Subjects taught in last one year :
Are you going to teach electrical machines-II:
Yes/No
9. Professional Experience (in years) :
Teaching :
Industrial :
10. Accommodation required:
Yes / No
DECLARATION
The information provided by me is true to the best of my knowledge. I agree to abide by the rules and regulations governing the Faculty Development Training Program. If selected, I shall attend the program for the entire duration. I also undertake the responsibility to inform the coordinator in advance in case I am unable to attend the course.
Date :
Place:
Signature of the Applicant
SPONSORSHIP
Mr./Ms./Dr._________________________________________ is an employee of our Institute / Organization and is hereby sponsored for the above Faculty Development Training Program. He / She will be permitted to attend the program, if selected.
Date :
Place:
Signature & Seal of the Sponsoring Authority
MAILING ADDRESS
Dr.S. Ganesh Kumar, Assistant Professor,
The Co -ordinator,
FDTP on Electrical Machines- II
Dept. of Electrical and Electronics Engineering,
CEG Campus, Anna University,
Chennai – 600 025.Tamil Nadu, INDIA.
Phone : 044 – 22357818
E-mail : [email protected]
SEVEN DAYS FDTP ON
15 – 21, MAY 2017
REGISTRATION FORM
Co-ordinator Dr. S. Ganesh Kumar ASSISTANT PROFESSOR
Sponsored by
ANNA UNIVERSITY, CHENNAI
Organized by
DEPARTMENT OF ELECTRICAL AND ELECTRONICS ENGINEERING, ANNA UNIVERSITY CHENNAI - 600 025.
COURSE DESCRIPTION
This faculty development training program is intended to provide opportunity for teachers employed in AICTE approved and Anna University affiliated institutions for teaching and upgrading their knowledge in the areas of electrical machine. This program will be very useful for those who are involved in teaching electrical machines at U.G level. This will also provide a basic platform for a faculty who is willing to carry out research. However, our main focus will be on Electrical Machines-II based on the B.E (EEE) syllabus of Anna University, Chennai.
SPEAKERS
Faculty from IIT, Anna University and from Industry.
CONTENTS
The salient topics like Induction Motors, Synchronous and special machines will be discussed.
Note : The Participants are requested to bring their own laptop preferably with software like MATLAB.
ABOUT THE INSTITUTE & DEPARTMENT
The College of Engineering, Guindy, a pioneer Institute in Engineering Education in India and in Asia was established in the year 1794. More than 200 years have gone by and today this college has evolved into Asia's largest technological University. Department of Electrical and Electronics Engineering, which was established in the year 1930, is one of the leaders in India in this field of Engineering and Technology. The Department is elevated to Centre for Advanced study in Electrical Engineering and Embedded Systems by UGC and also houses an International collaboration Centre on Urban Energy.
REGISTRATION
- Registration for the seminar can be done using the attached form or photo copy of the form. The completed form should be sent by post to the Coordinator.
- Faculty from EEE department, who have basic knowledge of electrical machines. Young faculty from colleges affiliated to Anna University, Chennai may be preferred.
- Total number of participants is limited. However, organizer's decision is final in the selection of the candidates.
- Participants will be selected on first comes first serve basis.
- Priority will be given to young faculty.
- Selected candidates will be intimated by e-mail. Confirmation of participation is to be made by email.
- Participation certificates will be issued to the candidates who attend the program in full, by the Center for Faculty Development, Anna University, Chennai - 25.
-
No TA/DA will be paid.
- Accommodation may be provided at CEG- Anna University Hostel for outstation candidates free of cost subjected to the availability.
ORGANIZING COMMITEE
CHIEF PATRON : Vice-Chancellor,
Anna University,
Chennai.
PATRONS : Dr. S. Ganesan
Registrar,
Anna University,
Chennai.
Dr. P. Narayanasamy
DEAN –CEGC
Anna University.
CHAIR : Dr. K. Shanthi
Director, CFD
Dr. D. Sridharan
Addl Director, CFD
CO-CHAIR :
Dr. G. Uma
Head of the Department,
Department of Electrical &
Electronics Engg.
Anna University.
Coordinator :
Dr. S. Ganesh Kumar
Venue :
Conference Hall, DEEE
IMPORTANT DATES
Submission of Application: 03-05-2017
10.05.2017
Intimation of selection : 05-05-2017
(by E-mail)
11.05.2017
Confirmation by participants : (by E-mail)
08.05.2017
12.05.2017
|
<urn:uuid:49f20f30-f3ef-4502-b43a-c6e48de2544d>
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CC-MAIN-2017-26
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https://www.annauniv.edu/pdf/electrical_machines_fdtp.pdf
|
2017-06-24T06:53:22Z
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Introduction to the Bonsucro Certification System
Bonsucro’s vision is a sugarcane sector with thriving, sustainable producer communities and resilient, assured supply chains.
The main aim of the Bonsucro Certification System is to promote measurable standards in key environmental and social impacts of sugarcane production and primary processing while recognizing the need for economic viability.
## Bonsucro Worldwide
### Summary per Region/Country
| Region | Certified Mills | Members | Certified Volume |
|-------------------------|-----------------|----------|------------------------|
| **Brazil** | 70 | 58 | 2,981,282.41 tonnes |
| **The Americas without Brazil** | 18 | 66 | 664,399.39 tonnes |
| **Middle East and Africa** | 1 | 22 | |
| **Asia** | 22 | 88 | 122,662.71 tonnes |
| **Pacific** | 12 | 12 | 376,498.78 tonnes |
| **Europe** | 37 | | |
*For internal use only*
HOW DO WE SUPPORT OUR MEMBERS?
Our global community brings together all industry players & stakeholders who can create value through sugarcane.
We provide an integrated set of tools & services to help producers who want to improve their performance.
We provide the insights, the network, and the alignment required to transform the industry.
We offer performance verification to globally recognised standards.
The Bonsucro Standards
Bonsucro Production Standard
- Farm and mill demonstrates they are sustainable.
Bonsucro Chain of Custody Standard
- Any company selling/buying Bonsucro certified sugarcane-derived product demonstrates they are accurate in their claims. (no sustainability requirements)
Bonsucro Production Standard
- Defines sustainable sugarcane production
- Helps farmers and mills to:
- measure and improve their productivity & key environmental and social impacts.
- Can be used by all sugarcane mills and farms regardless of size.
1. Obey the law
2. Respect human rights and labour standards
3. Productivity – Manage input, production & processing efficiencies to enhance sustainability
4. Environmental – Actively manage biodiversity and ecosystem services
5. Continuous Improvement - Continuously improve key areas of the business
6. EU RED Compliance
7. Organisation of Farmers (Smallholder Standard only)
| No. | Indicator | Requirement |
|-----|---------------------------------------------------------------------------|-------------|
| 1.1.1 | National laws complied with | Yes |
| 1.2.1 | The right to use land and water can be demonstrated | Yes |
| | | 18 years for hazardous work, 15 (14) years for non-hazardous work, 13 (12) years for light family work |
| 2.1.1 | Minimum age of workers | |
| 2.1.2 | Absence of forced or compulsory labour | Yes |
| 2.1.3 | Absence of discrimination | Yes |
| 2.1.4 | Respect the right of all workers to form and join trade unions and/or to bargain collectively | Yes |
| 2.2.2 | Main health and safety risks are assessed and measures for mitigation of risk are implemented | Yes |
| 2.2.5 | All workers present on the field and/or mill have access to drinking water in sufficient quantity | 100% |
| No. | Indicator | Requirement |
|-----|---------------------------------------------------------------------------|-------------|
| 2.2.6 | All workers present on the field and/or mill have access to first aid provision for emergency response | Yes |
| 2.3.1 | Ratio of lowest entry level wage including benefits to minimum wage and benefits required by law | ≥1 ratio |
| 2.4.1 | Existence of a contract or equivalent document | 100% |
| 4.1.2 | Percentage of areas defined internationally or nationally as legally protected or classified as of High Conservation Value planted to sugarcane after the cut-off date of 1 January 2008 | 0% |
| 4.1.3 | The key environmental issues are covered by an appropriate and implemented environmental impact and management plan | >90% |
| 4.1.5 | Agro-chemicals applied per hectare per year | <5 kg active ingredient per hectare per year |
| 4.1.6 | Banned agro-chemicals applied per hectare per year | 0 kg active ingredient per hectare per year |
| 5.7.1 | Percentage of greenfield expansion or new sugarcane project covered by ESIA | 100% |
How does it work?
Bonsucro Publishes and Maintains the Standard
Mill/Farm works to Achieve the Standard
Mill/Farm Audited by Bonsucro Certified CB
For internal use only
Supporting sustainability in the sugarcane sector and SDGs
BON SUCRO
The global sugarcane platform
Supporting the SDGs
- 550+ members in 50+ countries
- $839,000 invested in Bonsucro impact projects in 2019, increase of 20% from 2018
- 5.8% of global sugarcane land is certified Bonsucro
- The number of certified mills rose to 123 (compared to 49 in 2015)
- 72 million tonnes of certified sugarcane produced in 2018-19 (compared to 66 million in 2017-18)
Bonsucro-certified operations globally exceed their target yields by an average of 8.65 additional tonnes of sugarcane per hectare.
In the first five years of certification, there was a decrease in accident rate by 38% at farm level and 48% at mill level.
The market experienced an uplift of 207%, to reach 946,559 tonnes of raw sugar credits.
On average, wages are 20% above national minimum wage on Bonsucro-certified farms.
Certified mills reduced their CO₂ emissions by 5.5% after just one year.
Certified mills produced 4.9 million tonnes of sugar using 2.2 million m³ less water than in 2017.
Country: Pakistan
Project partners: AlMoiz and the International Finance Corporation
Project length: 12 months
Bonsucro has helped two mills and their supplying smallholders to adopt sustainable production practices, incl.
- Health and safety training, provision of PPE
- Cover cropping trials, irrigation efficiency, clean seed, mulching
- Development of a tailored app for farmers relationship and support
Project partners: Swiss State Secretariat for Economic Affairs, ISEAL, Alliance for Water Stewardship, SRK, WWF, Better Cotton Initiative, RCL and Akwandze, Nedbank.
Project length: 24 months
Develop a new methodology for financial institutions to assess the sustainability performance of farmers
Country: Global
Project partners: TetraPak and Braskem
In 2019, Bonsucro member Braskem collaborated with Tetra Pak to produce a bioplastic from sustainably sourced sugarcane.
News of the first fully traceable plant-based packaging gained coverage in more than 100 media outlets in the UK, USA, Switzerland, the Netherlands and Russia.
Country: Nicaragua
Project partners: La Isla Network (LIN), San Antonio Mill, and the National Committee of Sugarcane Producers of Nicaragua (CNPA)
Research and development of solutions to protect workers from heat-stress
Prevent heat stroke, reduce productivity losses, reduced accident, long-term positive health impact.
Through their efforts, in 5 years of certification, producers achieve:
- CO₂: -18%
- + 8.65 Tc/ha vs non-certified (2018/19)
- -80% vs non-certified (Brazil)
- -38% on farms / -18% at mills
- -25% (Brazil)
- +28%
- -20% (Brazil)
Want to know more? Do get in touch!
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THE ROLE OF THE ANIMAL IN SOIL FERTILITY
(Met opsomming in Afrikaans)
B R ROBERTS, Department of Pasture Science, University of the Orange Free State
Introduction
Any investigation into the part played by the animal in influencing soil fertility, must of necessity extract data from a wide field of disciplines in applied science. One of the most fruitful approaches to such an investigation is that based on the concept of the ecosystem (Odum, 1963) which involves the consideration of both living and nonliving facets of the natural environment. Basically the system is made up of the inert edaphic and atmospheric factors which carry a population of living organisms grouped into three classes, namely (i) producers (ii) consumers and (iii) decomposers. In this context, the grazing animal is a consumer in a system made up of plants (producers) and micro-organisms and insects (decomposers).
In studying the animal as a consumer within a 'natural' ecosystem (eg on veld) or within an 'agronomic' ecosystem (eg mixed farming), the animal's energy budget may be defined as $I = Pg + Pr + E + M$ where $I =$ calorific value of feed intake, $Pg =$ production through growth, $Pr =$ production through reproduction, $M =$ metabolic heat loss and $E =$ calorific value of excretion, defecation and secretion. (Van Dyne, 1969).
Whereas this review is primarily concerned with the domestic animals, a more balanced and more efficient ecosystem is often attained when a variety of animals is included in the system. It has been shown by Talbot & Swift (1966) for instance, that whereas the Acacia savannah of Kenya can support only 2 000 kg of cattle, sheep and goats per square kilometre, the same veld is capable of supporting between 12 000 and 18 000 kg of mixed game.
It can be argued that if animal production is to be profitable, then the animals' total contribution to the fertility of its feed-producing unit must be negative, ie a gross removal of elements must take place. In this regard it should be noted however that (a) a large proportion of the N in animal dung consists of bacterial cells (b) that re-cycling of nutrients by the animal for continuous re-use is more important than the level of fertility as such and (c) that certain patterns of defoliation and loosening of the soil surface by animals' hooves have a stimulating effect on the growth of pasture plants.
Factors affecting the animals' contribution to soil fertility
The quantitative effects of the animal on the soil fertility of a given area, will be determined firstly by the number of animals per unit area, secondly by the composition, intake and digestibility of the feed consumed, and thirdly by the time spent by the animals on the area concerned. Each of these factors is in turn influenced by a number of basic determinants, which are beyond the scope of this review.
Having reached the soil surface, the nutrients and organic matter in the excreta of animals may be susceptible to considerable losses due to (i) volatilization (ii) removal in surface runoff (iii) use by insects and (iv) removal by humans for fuel.
The use which is made by plants of that proportion of excreta which does enter the soil, may in turn be influenced by (i) leaching by rain (ii) fixing of minerals (iii) limiting temperature and moisture conditions as well as by (iv) the depth of rooting and density of the plant cover. In this regard it should be stressed that the animal, when used as an agency of poor management on natural vegetation, has a decidedly negative effect on soil fertility. This occurs when over-utilization results in destruction of plant cover leading to higher runoff and severe loss of soil. Figure 1 indicates the losses from stored manure.
Inherent soil fertility as modified by animal excreta
The animals' contribution to soil fertility can only be properly evaluated in relation to the inherent level of fertility in the soil, as derived from the earth's crust through soil genesis. Using dolerite (ironstone) as an example of a common soil-forming rock in South Africa, it is found that the rock consists of 52 per cent silica and only small proportions of plant nutrients such as K (0.81%) and P (0.08%) while N is absent. The soils derived from dolerite vary widely in their nutrient status, depending on the environment in which they have formed. Doleritic soil on the Natal coast for instance, has a pH of 5.8 and contains 0.10%K, 0.04% P and 0.17% N, the latter presumably originating mainly from rainfall (Malherbe, 1964). Total nutrient content of the soil is however misleading as seen from the fact that although 150 mm of topsoil may contain 370 kg P (0.04% dry) per hectare, a crop such as wheat will only utilize 2 kg of this, as shown by the fact that 14.5 kg P (180 kg superphosphate) is necessary to obtain a yield of over 400 kg per hectare. A wheat crop of 10 bags per hectare requires 5 kg per hectare (Malherbe, 1964).
In general terms a soil containing less than 0,05% N and 0,02% P may be regarded as poor under South African conditions, while a fertile soil contains in excess of 0,2% N and 0,1% P. Thus although 80 per cent of the atmosphere consists of N (7 million metric tons N/square kilometre of the earth's surface) this vital plant nutrient is in short supply and under the circumstances, the value of animal excreta becomes clear. Table 1 indicates the relative nutritive value of various South African manures.
**TABLE 1 Analyses of South African manures (Malherbe, 1964) (% on dry basis)**
| | Organic matter | Ash | N | P | K |
|----------------------|----------------|-----|-----|-----|-----|
| Kraal manure | | | | | |
| (WP grain farms) | 56 | 44 | 2,2 | 0,5 | 1,4 |
| Karoo manure | | | | | |
| (sheep farms) | 50 | 50 | 1,6 | 0,6 | 2,5 |
| Kraal manure | | | | | |
| (summer rainfall area)| 53 | 47 | 1,6 | 0,3 | 1,4 |
The N in animal dung occurs mainly in two forms; firstly as residual protein which has not been broken down in the digestion process and secondly as proteins that have been synthesized in bacterial bodies. More than half the excreted protein may be in the latter form and since this form is readily broken down in the soil, this N is very largely available to plants. Up to one third of the dry matter in dung may consist of bacterial cells. The dung also contains large amounts of lignin (plant fibre) which forms soil humus and releases N slowly into the soil.
Urine on the other hand contains those nutrients which have been digested and 'used' by the animal body. All the nutrients in urine are soluble and directly available or readily become available to plants. Urine thus differs from dung in the availability of its nutrients as well as in its low P and high N and K contents. The more digestible the animal feed, the higher is the proportion of nutrients found in the urine. When excreted, the N in urine is largely in the form of urea and hippuric and uric acids. These compounds are not volatile but organisms in the excreta rapidly break down these compounds to ammonia, which combines with water and carbon dioxide to give ammonium carbonate. This is unstable and may lose virtually all its ammonia on drying, causing great losses of N:
\[(NH_4)_2CO_3 \rightarrow 2NH_3 + H_2O + CO_2.\]
**Qualified data on nutrients in animal excreta**
Many workers have determined the nutrient content and the mass of manure and urine voided by different classes of livestock. Clearly, these figures are very variable, but approximated figures are useful for comparative purposes. Data of Miller, Turk & Foth (1965) are summarized in Table 2.
It is important to note that the above figures represent approximately 75 per cent of the intake of the major nutrients and organic matter. Approximated utilization of nutrients by livestock is given in diagrammatic form in Figure 2.
**TABLE 2 Nutrient content and annual production of animal excreta (Millar, Turk & Forth, 1965)**
| Animal | Excrement | H₂O % | N kg | P kg | K kg | Tonnes/450 kg live-mass/year |
|--------|-----------|-------|------|------|------|-------------------------------|
| Horse | dung | 2,5 | trace| 2,3 | | |
| | urine | 4,0 | 1,0 | 2,4 | | |
| | total | 6,5 | 1,0 | 4,7 | | |
| Cow | dung | 2,1 | trace| 3,1 | | |
| | urine | 2,2 | 0,5 | 0,5 | | |
| | total | 4,5 | -0,5 | 3,6 | | |
| Pig | dung | 1,8 | 0,15 | 1,4 | | |
| | urine | 1,6 | 1,2 | 1,8 | | |
| | total | 3,5 | 1,4 | 3,1 | | |
| Sheep | dung | 4,5 | 0,06 | 5,2 | | |
| | urine | 4,9 | 1,3 | 2,3 | | |
| | total | 9,4 | 1,4 | 7,5 | | |
| Poultry| Total | 55 | 9,1 | 3,2 | 3,6 | 3,9 |
**Nutrient cycling under intensive farming conditions**
Data on the nutrient content of excreta become more meaningful when compared with the absolute amounts of nutrients removed from the soil by crops used for feeding livestock. Malherbe (1964) reports such figures, and Table 3 indicates the nutrient removal by two of South Africa's most important fodder crops, namely lucerne and maize.
The nutrient balance sheet is made more complete by calculating the actual amounts of nutrients removed when animals and animal products are sold off the production unit concerned. While the absolute quantities of nutrients removed will be directly influenced by stocking rates, Sears (1950) offers a useful basis for the calculation of nutrients removed based on meat and milk production per unit area as shown in Table 4.
| Product | Ammonium sulphate equivalent | Superphosphate equivalent | Lime equivalent | K salts equivalent |
|---------|------------------------------|---------------------------|-----------------|-------------------|
| 6 745 l milk/ha (sold) | 180 | 67 | 23 | 33 |
| 1 120 kg beef/ha (sold) | 130 | 86 | 45 | 6 |
| 7 sheep/hectare fattened to 68 kg (sold) | 117 | 54 | 24 | 54 |
The writer (Roberts, 1959) has shown that in the use of irrigated grass/clover pastures in the central Orange Free State, grazed by dairy cows, a total of 1 590 dung pats is deposited on a hectare of pasture annually, when rotational strip-grazing is applied. This is equivalent to 65 kg ammonium sulphate and to approximately 122 kg ammonium sulphate when the urine is added. Normal & Green (1958) have demonstrated that compared with the average crude protein content of a given pasture sward (13.3% CP), herbage within a 600 mm radius of dung pats and urine areas contain 14.8% CP and 16.5% CP respectively. In such excreta areas the yield of herbage is raised from 3 700 kg DM per hectare to 5 800 kg near dung pats and to 3 900 kg near urine areas. Wheeler (1958) demonstrated a further effect of excreta on pastures, namely the influence on botanical composition. It was shown that urine was the dominant factor leading to species changes in intensively grazed swards.
The role of the animal in soil fertility maintenance is by no means limited to the nutrient content of its excreta, but should also be evaluated in terms of the general ameliorating effects of the organic matter voided. Russel (1963) sums the matter up when he states "Soil tith has often been described as something every farmer can recognize but no scientist can describe". This healthy condition of the soil combines chemical, physical and microbial fertility and has been recognized since earliest times as the old saying goes "Lime and lime without manure, will make both farm and farmer poor".
Under South African conditions however, high temperatures result in relatively rapid breakdown of organic matter, making it necessary to apply farmyard manure at the rate of 20-40 tonnes per hectare for good results. It is estimated that 1.6 million tonnes of manure is applied to ploughed lands in South Africa annually (Malherbe, 1964).
Thus although animal dung and urine require to be properly handled to prevent losses during collection, storage and application, their value to the production system may be very great. Sears (1950) has shown that the fertilizer equivalents of excreta voided on grass/clover pastures to be 3 000 kg ammonium sulphate, 760 kg superphosphate, 300 kg lime and 2 094 kg potassium salts per hectare per annum.
A nitrogen balance sheet under veld grazing conditions
It is possible to evaluate the total annual contribution of animals in South Africa to fertility by calculating the amounts of excreta voided by the animal population as a whole and converting this to commercial fertilizer units at current prices.
On a regional basis, the potential contribution by animals to fertility is directly proportional to (a) the carrying capacity of the veld in extensive farming regions and (b) the level of fodder production in intensive farming regions. It has been shown that carrying capacity of the veld is almost linearly related to annual rainfall in the inland areas of the western half of South Africa (Van den Berg, 1970) and data is available on the digestibility of veld grazing in most regions (Van Niekerk, 1967). Approximate herbage yields and nutrient yields per unit area can be estimated from carrying-capacity figures, mass gains and daily nutrient requirements (Garrett, 1959). It has been shown for instance; that in the central Orange Free State, the veld can produce an average of 280 kg TDN per hectare annually (or 18.3 kg live-mass) when grazed at one beast per 4.3 hectare, over a period of 11 years (Mostert, Voster & Donaldson, 1964). Cattle and sheep excrete about 40 per cent of their intake from veld. Most types of grassveld in South Africa yield between one and 2.5 tonnes DM per hectare annually. A steer of 270 kg requires about 4 kg TDN per day and this is supplied by about 30 kg fresh grass. Both the protein content and the yield of grassveld may be increased by fertilizing with nitrogen and Meredith (1948) has shown that annual live-mass gains can be increased from 70 kg per hectare to 220 kg by fertilizing sourveld. It has also been found that the TDN yield of veld may be increased from 644 kg to 1 700 kg per hectare per annum by nitrogen fertilizing.
By estimating the amount of nitrogen available per unit area in veld grazing and subtracting from this the proportion retained by the animal, it may be calculated from the number of animals per unit area, what quantity of nitrogen is returned to the soil for re-cycling in the ecosystem. The most significant local contribution to this field of study is that of Gillard (1963), carried out at Frankenwald near Johannesburg.
Gillard states that while Erikson (1952) has shown that the amount of nitrogen added to the soil annually by rainfall in North America and Europe is 7.5 kg and 8.1 kg N/ha respectively, the figure measured at Bapsfontein in the Transvaal is between 11 kg and 17 kg per hectare. Since mineralization of N is very low under grass, loss by leaching is negligible (Theron, 1963).
Gillard showed that N retention is not higher than 20 per cent in beef animals, and usually nearer 15 per cent. It was found that the cattle at Frankenwald defaecated twelve
times and urinated eight times per day on average, as was found by Petersen (1956) and Harker (1960). Each dung pat covered about 650 square centimetres while urinations (600 ml) each covered 2 600 square centimetres. Applying these data to a 200-day grazing season, the proportion of the pasture on which excreta was voided, was calculated for the four stocking rates used, as set out in Table 5.
**TABLE 5 Area of veld covered by excreta at four stocking rates (Gillard, 1963)**
| Stocking rate (LSU/ha) | Percentage of pasture covered per annum |
|------------------------|----------------------------------------|
| 1 | 7,4 |
| 2 | 14,1 |
| 3 | 25,6 |
| 4 | 36,8 |
It can be seen that with heavy stocking, virtually the entire area of veld will have been covered by excreta within three seasons. However, since high stocking rates can only be obtained when fertilizer is applied, a high nitrogen turnover cannot otherwise be obtained.
With a moisture content of 80 per cent and an N content of 2 per cent, Gillard found that by the time dung had dried on the veld, it had lost more than two-thirds of its original nitrogen. It was found that dung beetles (eight genera) buried virtually all dung within five days of being voided, spreading the dung to twice its original area in the process, and affecting a fertilizer treatment equivalent to approximately 430 kg N per hectare on such dung areas. Soil analyses indicated that the action of the beetles reduced N losses from about 80 per cent to 10 per cent. Since the animals concerned voided about 16 kg N per season in dung and only 3.7 kg N in urine (0.27% N) the beetles' action is of great importance in the nitrogen economy, and it is for this reason that Australia, which has no indigenous dung beetles, is presently introducing South African beetles.
Urine N is lost from the soil surface which is fertilized at the rate of 63 kg N per hectare where the urine falls, but Gillard indicates that the loss after three weeks amounts to only 2 per cent of the total N in the urine, although up to 24 per cent may be lost from urine remaining on the grass tufts and not reaching the soil.
The grassveld on the South African Highveld yields about 21 kg N/ha per year in its herbage when dominated by *Trachypogon* and 32 kg N/ha when dominated by *Eragrostis* and *Cynodon* (Fisher, 1958). It has also been shown (Leigh, 1960), that recovery of applied fertilizer nitrogen by veld is 50 per cent or less and Gillard's investigations indicate that the recovery of excretal N is 25 per cent in the first season and 20 per cent in the second season, thus a total recovery of 45 per cent (as also obtained elsewhere) was assumed as a basis for N economy calculations. An increased rate of N turnover in the ecosystem results in a higher overall production due to the increased number of times that the same 'nutrient capital' is re-cycled per season. The Frankenwald trials yielded comparative data on the amount and rate of cycling of nitrogen under veld grazing conditions over a range of stocking rates. These data are shown in Table 6, in which the known data for N in live-mass, N in grazed herbage and N in excreta are compared.
**TABLE 6 Nitrogen economy of veld grazed at two stocking rates (Gillard, 1963)**
| | Low stocking (6 LSU on 6,8 ha) | High stocking (6 LSU on 3,4 ha) |
|------------------------|-------------------------------|---------------------------------|
| N retention in live-mass| 2.7 kg N (at 20% retention) | 4.5 kg N (at 15% retention) |
| Excreta | 10.9 kg N | 24.1 kg N |
| Herbage grazed | 9.5 kg | 28.6 kg |
| Recovered excretal N | 5.0 kg | 10.4 kg |
| Mineralized N | 18.2 kg | 18.2 kg |
It may be seen from the above table that high stocking rate leads to a more efficient N economy. Gillard however points out that this arrangement is not stable and leads to an increase in subclimax grasses at the expense of climax species.
Considering the nitrogen balance sheet in the grazed veld situation, it was found that the addition of N to the system through symbiotic fixation by legumes was absent and that the total gain of N through rainfall and free living N-fixing organisms was 16-21 kg N/hectare per annum. The N retention by beef steers is between 8 per cent and 20 per cent, which means that 3-5 kg N is removed from climax (*Trachypogon*) veld and 5-8 kg N from sub-climax (*Eragrostis-Cynodon*) veld. It was shown that despite this loss, soil analyses indicated no lowering of the soil N status after nine years of very intensive grazing, ie despite the removal of an average of 47 kg N/hectare over this period. An important effect of heavy stocking is the prevention of immobilization of nutrients in unconsumed grass and this fertility change encourages sub-climax grasses which, in the case of the Highveld are highly resistant to defoliation and yield well. Gillard concludes that even heavier live-mass gains may be obtained after heavy grazing has caused the sub-climax grasses to dominate. When extreme grazing pressure is applied, the limiting factor is not soil N but growth vigour, as reduced by too frequent defoliation.
**Conclusion**
Considering that South Africa's population has increased by 86 per cent since 1936 and that agricultural production has increased by 125 per cent during the same period, the local food-supply position may be considered to be satisfactory at present. With a daily consumption of 2 800 calories per person per day for all races, South Africa maintains a diet which is enjoyed by only 20 per cent of the world's population. However, with an annual loss of topsoil equivalent to 55 000 hectares (300 mm deep), containing major plant nutrients to the value of R6-50 per hectare, (a national loss of R790 million) the importance of efficient return on animal excreta on a country-wide basis becomes very important. Animal production from pastures contributes approximately 30 per cent of total agricultural production and is valued at R390 million. Since the area of fertile arable soils is one of the primary limiting factors in South African agriculture, the sooner local agriculturists learn to appreciate the contribution which animals can make to soil productivity once excreta are handled properly, the sooner stability of our wasting natural resources will be achieved.
Opsomming
DIE ROL VAN DIE DIER IN GRONDVVRUGBAARHEID
Die bydrae van die dier tot grondvrugbaarheid moet gesei word binne die raamwerk van die breë voedingstof-sirklus. Die dier (as verbruiker) speel 'n belangrike rol in die sirkulasie van voedingstowwe wat deur die plant (as produsent) beskikbaar gestel word. Die mikro-organismes (ontbinders) se funksie is om die uitgeskeilde materiaal om te sit in vorms wat vir plante weer beskikbaar is.
Die omgewingsfaktore bepaal primêr hoeveel energie (plantmateriaal) beskikbaar is vir gebruik deur die dier en dus vir sirkulasie in die ekosisteem as geheel. Die mis en urine van plaasdiere is onderhewig aan baie hoë verliese aan stikstof, en kraelmis moet dus reg behandel word. Syfers is beskikbaar tov die totale voedingstof en inhoud van diereuitskeidings, asook tov die voedingstowwe wat deur voer-gwasse uit die grond opgeneem word. In die beweidings-situasie op natuurlike veld, is dit bewys dat, mits stikstof nie beperkend is nie, 'n hoë veebedaling kan lei tot 'n meer doeltreffende stikstof-sirkulasie in die ekosisteem onder hoë reënal toestande.
Die invloed van mis en urine word nie to chemiese vrugbaarheid beperk nie, maar sluit ook in grond struktuur, botaniese samestelling en die algemene mikrobiese gesteldheid van die grond.
Omdat die hoeveelheid vrugbare grond wat beskikbaar is, 'n beperkende faktor in die Suid-Afrikaanse landbouproduksie is, is dit nodig dat meer doeltreffende gebruik gemaak word van die dier as faktor in die handhawing en verhoging van grondvrugbaarheid in hierdie land.
References
ERIKSON, E., 1952. Tellus 4: 215, cited by Gillard.
FISHER, J., 1958. The influence of mowing on fertilized and unfertilized veld at Frankenwald. M.Sc. thesis Univ. of Witwatersrand.
GARRET, W. N., 1959. The comparative energy requirements of sheep and cattle for maintenance and gain. J. Amin. Sc. 18 : 528-547.
GILLARD, P., 1963. An ecological study of grazing intensity on *Trachypogon* — others species grassland. Ph.D. thesis, Univ. of Witwatersrand.
HARKER, K. W., 1960. Defaecating habits of a herd of Zebu cattle. J. Trop. Agric. 37 : 193-200.
LEIGH, J. H., 1960. Some aspects of the anatomy, ecology and physiology of *Eragrostis*. Ph.D. thesis, Univ. of Witwatersrand.
MALHERBE, I. de V., 1964. Soil Fertility. Oxford Press, Cape Town.
MEREDITH, D. B. D., 1948. Fertilizing grasses in South Africa. D.Sc. thesis, Univ. of Witwatersrand.
MILLAR, C. E., TURK, L. M. & FOTH, H. D., 1965. Fundamentals of soil science. John Wiley, New York.
MOSTERT, J. W. C., VORSTER, L. F. & DONALDSON, C. H., 1964. Production and utilization of mixed redgrass veld by Afrikaner cattle. Tech. Bull. No. 32, Dept. A.T.S., Pretoria.
NORMAN, M. J. & GREEN, J. O., 1958. Local influence of cattle dung and urine upon yield and botanical composition of permanent pasture. J. Br. Grassld Soc. 13 : 37-42.
ODUM, E. P., 1963. Fundamentals of Ecology. Saunders Coy., Philadelphia.
PETERSEN, R. G., 1956. The distribution of excreta by freely grazing cattle and its effect on pasture fertility. Agron. J. 48 : 440-443.
ROBERTS, B. R., 1959. Studies on Irrigated Pastures. M.Sc. (Agric.) thesis, Univ. of Natal.
RUSSEL, E. J., 1963. Soil Conditions and Plant Growth, Longmans Green, New York.
SEARS, D. P., 1950. Soil fertility and pasture growth. J. Br. Grassld Soc. 5 : 267-280.
TALBOT, L. M. & SWIFT, L. W., 1966. Production of wildlife in support of human populations in Africa. 9th Int. Grassld Con. Proc., Sao Paulo : 1335-1359.
THERON, J. J., 1963. Mineralization of nitrogen in soils under grass. S. Afr. J. Agric Sc. 6 : 155-164.
VAN DEN BERG, J. A., 1970. Unpublished Graphs. Dept. Pasture Science, Univ. of Orange Free State.
VAN DYNE, G. M., 1969. The ecosystem concept in natural resource management. Academic Press, New York.
VAN NIEKERK, D. B. H., SMITH, D. W. & OOSTHUIZEN, D., 1967. The relationship between the crude protein content of South African feeds and its apparent digestion by ruminants. S. Afr. Soc. Anim. Prod. Proc. 6 : 108-116.
WHEELER, J. L., 1958. The effect of sheep excreta and nitrogen fertilizer on botanical composition and production of a ley. J. Br. Grassld Soc. 13 : 196-203.
WORTHEN, E. L. & ALDRICH, S. R., 1956. Farm Soils. 5th Ed. Wiley, N.Y.
Discussion
Dr Möhr
I have two questions. How important is the mechanical distribution of excreta on pastures under intensive grazing? My second question has to do with the loss of plant nutrients by soil erosion. According to American data, losses of nutrients other than nitrogen are very high. Could Prof Roberts comment on the fact that the losses from nitrogen are not very high?
Prof Roberts
Is the low loss of nitrogen proportional or is it in fact because there is such a little nitrogen to begin with? I understand that the leaching of nitrogen under a permanent grass cover is very low. As soon as the grass cover is denuded or the biological life together with the roots are
destroyed, then the situation changes and the nitrogen does leach faster than in the case of ploughed lands — particularly during the period when the crop is on the land.
Regarding the distribution of excreta, I believe that this is something which we shall have to study on a large scale in this country. We shall have to learn how to distribute excreta effectively on high-producing pastures. The question is largely one of pasture management and better utilization of the pasture. Cows for example do not come back in the following grazing to those areas where droppings and urine have fallen, but we have found that they do come back to such areas after irrigation. However the mechanical spreading of dungpats possibly results in a greater loss of nitrogen through volatilization.
Mr E B Dickinson
Is there likely to be any variation in efficiency of the animal in nitrogen economy in different grazing systems?
For instance, is a multi-camp grazing system likely to be better than say a four-camp system?
Prof Roberts
I don't think we have the answer to this, and that is why I appeal for more work on the lines of Gillard's work.
We certainly know that with a more flexible multi-camp approach where one has a shorter grazing period and a longer rest — simply giving nature more opportunity to produce, particularly in the sweet veld — one finds a greater total production. I can't say to what degree this greater production is a result of better physiological growth conditions or to nitrogen economy. With smaller camps and more intensive grazing one would perhaps have a higher concentration of nitrogen during the grazing periods. Under favourable conditions one might expect a more efficient recovery of nitrogen, using the multi-camp approach, but we don't really know. What should be done is to follow this up under different grazing systems much on the same lines as Gillard has done.
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29450
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A number of new sugar cane varieties have been in circulation for some time now. Some are in nurseries developed under the CFC (Common Fund for Commodities) project on various farmers’ holding across the country. These are varieties tested and observed by SIRI at different locations over several years and are now regarded as truly adapted and suitable for official release. Nonetheless, the final proof is in the eating and so farmers’ own evaluation and feedback are always invaluable.
The varieties being promoted for commercial use are BJ8532, BJ8534 and J9501. These have the potential to increase sugar yield and profitability. However, as always, results depend on the degree of care and good agronomic practices employed in farm production. Growers are therefore encouraged to apply all recommended inputs and practices starting with use of suitable seed cane to ensure good germination and field establishment.
It is always prudent to broaden the variety base on farms as an insurance against unforeseen circumstances such as disease and pest outbreaks. It is also well established that, at the time when they are released, newer varieties are usually more productive than the older ones and therefore have the capability, to achieve higher yields, thereby increasing profitability. In this period of contemplation of a move away from a sugar cane industry to a new sugar cane industry, in which the full potential of the sugar cane plant will be exploited to produce a range of products, it is of particular importance to have as wide a range of varieties as possible. Some might confer advantages to new processes being considered.
**BJ8532**
**Parentage:** BJ73405 x B73785
BJ8532 is recognized by persistent trashy brownish grey stalks and narrow pale green leaves. It is a promising recent selection that is being recommended for extensive planting. The variety bears slight resemblance to BJ82119 but stalks and leaves are smaller.
**BRIEF BOTANICAL DESCRIPTION**
**Stalks:** The stalks have a slightly zigzag profile and are usually of medium thickness. Internodes are medium in length. Young internodes have a well-defined wax covering and wax ring. The basic stalk color is brownish-grey but young internodes are usually light brown in appearance. There are no internode cracks or bud grooves. Root band, growth ring and leaf scar are broad but not swollen.
**Buds:** The buds are round and inserted between the leaf scar and growth ring.
**Leaves:** Leaves are erect, light green in color, of medium length and narrow blades. The leaf sheath is smooth with light sheath wax and greenish red on mature stalks.
**Arrows:** Rarely arrows
Continued on page 3
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Sugar Cane Variety Update 2005
AGRICULTURAL FEATURES
Germination: Germination is usually reliable with good early growth even from older sections of stalks.
Tillering: Tillering is rapid and profuse giving good early growth, thereby enabling good ground cover to be quickly achieved. Stalks are dense, fairly upright, non-brittle with clinging trash. Few late tillers have been observed.
Growth Pattern: Steady growth in absence of flowering over twelve months. The variety has not been productive as stand-over cane in the irrigated area.
Habit: Erect at first but semi-recumbent in heavy crops at maturity.
Trashing: Persistent trash but not very difficult to remove.
Flowering: It is so far non-flowering (in Jamaica).
Ratooning: Appears to have good ratooning ability.
Quality: The juice quality is above average throughout the season. Fibre content is moderate.
Adaptability: Adapted to a wide range of soils in the rain-fed and irrigated areas.
Disease Reaction: BJ8532 is resistant to rust and moderately resistant to smut in screening trials. The development of smut has not been observed in nurseries or commercial fields. It is moderately susceptible to ring spot and brown stripe diseases.
Recommended: The variety is recommended for use on light to medium soils, with adequate water supply, in the irrigated plains and high rainfall areas. BJ8532, however, should not be planted in fields coming out of smut-infected BJ8226. It is always a good practice to examine nurseries and stool - rogue for smut if necessary.
BJ8534
Parentage: BJ3405 x BJ3785
The main distinguishing features of BJ8534 are its semi-erect posture, greyish-purple trash free stalks with long internodes and absence of hairs.
BRIEF BOTANICAL FEATURES
Stalks: The stalks of BJ8534 are semi-erect and medium in length and thickness. The colour of the stalks is greyish-purple. The internodes are cylindrical with thick wax covering and well-defined wax ring. The young internodes are light greyish purple but gradually becoming greyish purple with age. Internode cracks and bud grooves are absent. The root band is not well defined but root initials are cream in colour and conspicuous. Growth ring is greenish to purple, becoming darker with age and slightly raised.
Buds: The buds are inserted between the growth ring and leaf scar. The bud is round, large and slightly bulging with prominent bud wings.
Leaves: The leaf blade is of medium length and width. The blade is fairly erect, drooping only at the tip. Auricle is not visible. The leaf sheath is pale green in colour and smooth.
Arrows: This character has not been observed in Jamaica.
AGRICULTURAL FEATURES
Germination: Germination is fairly good, but planting material and conditions must be good.
Tillering: Tillering is quite rapid and rel-
Continued on page 8
Sugar Cane Burning and Persistent Organic Pollutants (POPs)
By Elaine Manning
Mrs Elaine Manning
Apart from the usual soot and smoke nuisance, as well as distress to persons with respiratory problems, the burning of sugar cane has tended not to be regarded as an issue of major concern. Nonetheless, green cane harvesting has always been seen as preferable for conserving soil moisture and maintaining soil fertility. Now it turns out, there is much more to cane burning than meets the eye. Burning produces substances called POPs (persistent organic pollutants) such as certain “dioxins” and “furans,” which have much more severe consequences in the environment.
What are POPs?
POPs are organic pollutants that persist in nature. They include various substances, which are mainly industrial chemicals like PCBs (polychlorinated bi-phenyls), products of burning such as dioxins, and pesticides like DDT. These remain in the environment for very, very long times, are usually quite toxic and accumulate in the food chain. They form as unwanted by-products of not just sugar cane burning but processes such as waste incineration, coal burning, cigarette smoking, bush fires etc. The Environmental Protection Agency (EPA) of America considers “uncontrolled combustion,” including open burning of household trash, agricultural burning and landfill fires, to account for an estimated 57% of total dioxin releases.
What Problems Do POPs Cause?
POPs such as dioxins and furans are stable, persistent compounds that are believed to have a half-life of seven to twenty years in the human body, that is, it takes any time between 7 and 20 years for the quantity of dioxin present to decrease to half its original concentration. Once taken in they attach themselves to body fat and accumulate over time. POPs also magnify, which means that their concentration increases in animals at the top of the food chain. They are semi-volatile, so they can stay on the ground for many years and then are transported hundreds of miles away, get deposited in another place until they end up in animals and humans.
Dioxins are dangerous poisons with the potential to produce a wide range of adverse effects in humans. Dioxins interfere with the central nervous system, the immune system, and the reproductive system, with the potential of preventing normal growth and development of the young. They are even believed to be linked to various types of cancer.
How Does Cane Burning Contribute to POPs?
The sugar cane plant does not naturally produce dioxin. However when the sugar cane or other plant containing cellulose is burnt, furans are produced. These chemical compounds will combine with chlorine atoms (derived from the reaction of chlorofluorocarbons, or CFCs, with ozone) which are present in the atmosphere, to form dioxins.
Reducing POPs in Cane Harvesting
Jamaica is one of 151 signatories to the Stockholm Convention which seeks to restrict and ultimately eliminate the production, use, release and storage of POPs. Dioxins and furans are two of the twelve POPs that are initially being targeted under the convention.
In Jamaica, the burning of garbage, hospital waste and sugar cane fields are considered the three major sources of dioxins and furans.
Pic. Courtesy Dept. of the Environment and Heritage, Australia
In order to fulfill our obligation under the Convention, the National Environment and Planning Agency (NEPA), has developed a draft National Implementation Plan for the POPs. This plan includes recommendations on policies, and specific action plans for the various sectors including the sugar cane industry. The plan aims to significantly reduce or eliminate cane burning and ultimately return to 100% green cane harvesting over a certain time frame as set out in Table 1.
**The Next Steps**
The Sugar Industry Research Institute as the technical arm of the SIA will actively consult with NEPA and will work with sugar cane stakeholders to promote achievement of industry goals. The first step will be to initiate development of a policy on green cane harvesting for the industry. A return to green cane harvesting (GCH) will not be easy. The challenges are well known.
**Green Cane Harvesting**
GCH was part and parcel of the new technology, introduced during the sixties, facilitating mechanical loading, and which largely marked the end of manual loading of cane into haulage vehicles. This will not be reversed. To do GCH today would probably require fully mechanised (chopper) harvesting as workers are unavailable or unwilling to handle un-burnt cane at affordable rates. The challenges are well recognised:
1. Output of both manual and mechanical operations are slowed in GCH
2. Certain sections of the Industry may not benefit, in a normal year, from GCH
3. Large scale GCH would necessitate an increase in labour force and perhaps investment in transport equipment
4. A return to GCH will result in increased cost at a time when the Industry desperately needs to reduce costs
Nevertheless, environmental pressures now override all those considerations. There is no longer a choice as to whether or not we cease burning. We are now expected to phase out cane burning completely over a five year period beginning in 2006.
GCH however offers certain opportunities. Fields will be better able to withstand recurring severe drought. Soil fertility and farm productivity should increase while the nuisance of smoke and soot would be reduced and we all (and especially the sick and elderly) enjoy fresher, cleaner and healthier air on a year round basis.
Major changes bringing cane farmers into the 21st Century are occurring in the irrigated belt. A group of 18 growers in the Content region of Clarendon have formed themselves into the Content Pivot Group and are benefiting from a centre pivot covering 60.08 hectares (some 148 acres). Five other small farms in Clarendon and three in St Catherine totalling 23 hectares (roughly 57 acres) are also being wet by drip irrigation.
**CFC PROJECT**
These methods of water application represent the latest in irrigation technology. The scheme is part of a project funded by the Common Fund for Commodities (CFC), an agency of the United Nations headquartered in Amsterdam. Under this project, selected farmers also benefit from having nurseries of the latest varieties established on their farms to provide a ready supply of good quality cane seed to growers within their areas. Some farmers also participate in evaluating these recently released varieties on their own farm plots. Several demonstration plots showing best practices from planting to harvesting and ratoon maintenance have been established across the industry and growers are taken to field days wherever matters of interest are being highlighted. The issue of yield decline is being addressed by crop rotation on some farms. A study of various farm modules is being done to determine which combinations of inputs are more profitable in various settings. Finally, the results of all this will be made available to cane growers locally and abroad.
**CENTRE PIVOT IRRIGATION**
Work started on the centre pivot project in 2004. In selecting the site the main objectives were to find a relatively flat zone with a convenient and reliable water source and a land surface free of impediments such as public roads, farm houses, utility poles major gullies, orchards, forests etc. The Content area met all those conditions. Water was available from the National Irrigation Council (NIC) canal. There was a cluster of farmers engaged primarily in cane production. No public roads or utility poles crossed the area.
Farmers in the area selected were called to a meeting and told of the prospects. They would be upgraded from the traditional wasteful furrow irrigation to the modern efficient centre pivot sprinkler system. Another meeting was called to form them into a Water User Group that would manage their affairs. A Chairman, Secretary and Treasurer were selected.
and plans made to open a bank account in the Group’s name. Members also volunteered to be specially trained to operate the pivot.
**SUSTAINABILITY**
Funds used by the CFC to replant or cultivate fields for the growers involved would be collected as an interest-free loan, repayable over three years, and lodged to the Group’s bank account to serve exclusively as a start up reserve fund for operating and maintaining the system. The group would also agree to the withdrawal of a fee from cane sales from the area covered by the pivot. This fee, estimated to cover the cost of electricity and water charges, would also be lodged to the account so that after the formal end of the CFC project the scheme would be self-sustaining. The Group would, from time to time, review the accounts to determine whether this fee needed to be increased or decreased, depending on actual cost of operation.
**IMPLEMENTATION**
Installation of the pivot was beset by a series of problems resulting in delays. For instance, half way through construction in 2004 the machine had to be dismantled and taken back to the warehouse for safe storage during the passage of hurricane Ivan. Nonetheless assembly was essentially complete by the end of the year. Cane growers from the project area are registered at the Monymusk factory. Delays in start up of that factory in 2005 meant the land could not be cleared for a proper inspection of the path to be traversed by the pivot wheels to determine points requiring installation of culverts, bridges etc. By the time that inspection was done the rainy season intervened and the normally dry month of July saw the passage off the coast of two hurricanes making the area too soggy for movement of the machine. The first test run was eventually carried out in August and the system has since been in operation with ongoing minor adjustments.
Growers have now taken control of the system and are continuing efforts to improve the standard of agriculture to take full advantage of benefits of efficient irrigation.
**DRIP IRRIGATION**
In 2005, a new phase of irrigation projects was started with the contract being awarded for installation of drip irrigation systems on small plots on eight farmers’ holdings. Farms selected had to have adequately pressurised, reliable water source, and an existing hydrant. The growers would have to show a commitment to cane farming and have a track record of following recommendations from SIRI.
**INSTALLATION**
Wet weather during the implementation phase caused an adjustment to the planned sequence of operations. Land should have been prepared and tubes installed prior to planting. However, with fields wet and inaccessible to machinery following land preparation, the decision was taken to plant the canes and insert the tubes after sufficient drying out had occurred. The growers inserted dibbled tops, for the most part, on either side of each bank. Results were not always most satisfactory but there was considerable saving of time by planting before tube insertion.
By September, most of the eight fields were fully established in canes and tubes.
Farmers Step up to Modern Irrigation...
were laid. Earlier planted fields showed good establishment and cane was growing vigorously.
Drip tubes were buried to protect them against damage during cultivation and harvesting. Each tube was laid between two rows of cane, 18 inches apart, atop each bank so that a denser stand of cane would result. Distance between banks was the normal 5’6.” Growers were provided seed cane of newer recommended varieties.
RESPONSIBILITY
Growers participating in these projects have the weighty responsibility of demonstrating that, given the best technology, they too can produce cane profitably. Their successful performance under this project will send a signal to other growers that cane farming can be viable in the new sugar cane industry being developed. What is more, their performance will be keenly followed across the world by cane growers who face challenges similar to those confronting the Jamaican grower. Indeed, results of this project will be disseminated to other cane producing countries which are members of the CFC.
ACKNOWLEDGEMENTS
Selection of growers for these ventures has been the job of the SIRI Extension officers, James Fearon, Delroy Golding and Monroe Curtis serving the areas of Clarendon and Lower St Catherine. This project is being executed in an atmosphere of great uncertainty about the future of sugar. Extension officers often go beyond just persuading the grower to participate but assist him to carry out recommended agronomic practices and convince him to keep faith even in the face of delays. Commendation must also be given to SIRI officers Lloyd Pinnock and Keith Grant who, working tirelessly, were largely instrumental in site preparation and laying drip irrigation tubes to plan at the various locations. Accessing the newer varieties for establishing the various plots would not have been possible without the assistance of Malcolm Easy and his team of variety specialists. All in all, this has been a tremendous team effort by the SIRI staff including many unnamed in the fields of agronomy, weed control, nutrition, mechanical engineering etc – but this marks only the beginning. The ongoing challenge is to see this project through to fruition. Ultimately, the measure of success will be whether growers’ productivity is boosted sufficiently to ensure farm viability.
Sugar Cane Variety Update 2005...
J9501
Parentage: Eros x BJ84124
There are no outstanding distinguishing characteristics to make easy identification of this variety. It has thick stems and clean polished appearance. This is a promising newly released variety that is being propagated extensively throughout the industry to meet planting requirements. The variety has achieved importance in the irrigated and high rainfall areas because of its erect growing habit and potential to attain high levels of productivity.
BRIEF BOTANICAL FEATURES
Stalks: The stalk is erect with little tendency to lodge. The internodes are medium in length and thickness and cylindrical. The young internodes are pale green in colour becoming greyish-green as they age with medium wax covering and well-developed wax ring. Light black microbial deposit is quite visible on stalks in the rain-fed areas. Bud grooves are present and growth ring and root band are well defined. The root initials are quite conspicuous.
Buds: The buds are inserted just above the leaf scar and extending slightly above the growth ring. The buds are ovate to round with bulge and small bud wings. There are no auricles.
Leaves: The leaf blades are medium to large, wider than leaf sheath at junction, becoming wider upwards to widest point about half way along length, thereafter tapering gradually towards the tip. Blades are erect at base but soon forming a broad arch and drooping at the tip. The leaf sheath is smooth with medium sheath wax.
Arrows: Not available for evaluation.
AGRICULTURAL FEATURES
Germination: Germination is rapid and reliable.
Tillering: Rapid and reliable with early formation of large stools and good leaf coverage.
Growth Pattern: Early growth is quite vigorous with fairly rapid elongation thereby providing good cover against weeds.
Habit: The variety is generally erect but heavy crop may lodge in the high rainfall area.
Trashing: The trash is self shedding or easily stripped.
Handling: The variety is fairly soft, thick canes are easy to harvest unless heavy tonnages are lodged.
Flowering: Non flowering (Jamaica)
Ratooning: Very reliable except under dry condition.
Quality: The juice quality is good during early part of crop but may deteriorate late in cropping season. The fibre content is moderate.
Adaptability: J9501 is suited to well-drained soils, in the high rainfall and irrigated areas, where establishment can be relied upon and where growth rate can be maintained.
Disease Reactions: The variety is resistant to smut and rust but prone to minor leaf diseases such as ring spot and brown spot.
Recommended: J9501 is recommended for clay loam and well-drained clay soils in the irrigated and high rainfall areas.
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Diesel prices have risen sharply over the past few months. These price increases, amounting to some 50% over the last year, have resulting in higher operating costs for all farm machinery including tractors, combined harvesters, and loaders. Farming must continue, despite this added burden, and so the following tips are provided so that growers may minimize the actual cost of conducting essential farm operations.
**Tractor**
1. Train operators in the proper operation of farm tractors and equipment.
2. To decrease the fuel consumed, first match the tractor to the load or operation. Operating tractor in lower gear at higher engine revolutions (throttle) increases fuel consumption (and greatly increases the wear on the drive train components). Where possible, operate in higher gears and lower throttle setting to conserve fuel.
3. Never use a large, high horsepower tractor to pull small or light loads if a smaller tractor is available. With diesel prices at J$50/litre, fuel cost for a 60-80 Hp tractor doing field work, is estimated at $800 per hour, while fuel for a 80-100 Hp tractor costs $1021 per hour and for a 100-120 Hp tractor the cost is approximately $1227 per hour. In this example, fuel consumption at maximum power was used.
4. Shut off diesel engines rather than allow idling for long periods.
5. Avoid unnecessary trips back to the service area from the field. Train operators to service tractors each day prior to starting work or at the end of work. In transport (as against field work), a 60-80 Hp tractor will consume 20 litres per hour costing $1000 per hour at $50/litre.
6. Fill fuel tanks in the morning. This avoids refuelling trips to the service area or trips from a service truck.
7. Eliminate all non-essential machinery operations.
**Tyres**
1. Keep tyres inflated to recommended pressure.
2. Tractors need to be ballasted appropriately. Check tractor owner’s manual for tyre distribution and inflation pressure. Insufficient ballast can cause excessive wheel slip and increase fuel consumption.
3. Check drive tyres for excessive wear. Worn tyres can cause wheel slip from poor traction and increased fuel consumption.
**Tillage**
1. Tillage uses more fuel per hectare than almost any other operation. Reduced tillage should be considered where conditions are suitable (that is, on light to medium soils).
2. Avoid working in wet fields. This will result in extra tillage, extra power and use of more fuel to break compaction.
3. Reduce the number of passes by combining operations where possible. Equipment can be modified to do inter-row cultivation while fertilizing or combine spring tines or chiseling tools with moulding discs.
4. Check tool setting and tighten bolts on tillage equipment to reduce downtime and unnecessary trips to the service area.
**Maintenance**
1. Proper maintenance must be done to farm tractors, harvesters, loaders, and other farm vehicles. Poor maintenance will result in higher fuel consumption.
2. Use oil of recommended viscosity to maximize engine efficiency. Oils that are too thick decrease power and lubrication and increase fuel consumption.
3. Change oil on the recommended schedule to remove contaminants that can reduce lubrication and increase friction between moving parts.
4. Clean fuel injectors if black smoke is seen from the exhaust. Fuel injector additive can be used in minor cleaning.
5. Replace dirty air cleaners which restrict airflow needed for the combustion process. Reduction in the air required for combustion result in excess fuel usage and less available power.
**Other vehicles**
Use more fuel-efficient vehicles for trips from field to service area. If you are considering buying a farm vehicle consider a diesel pick-up truck. Diesel fuel is cheaper per litre and diesel engines are more fuel efficient than their gasoline counterparts.
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## Variety Recommendations - 2005
by M. Bennett-Easy
| Cane-growing Area | Harvesting Period | Light Soils | Clay Loams | Clays |
|-------------------|------------------|-------------|------------|-------|
| **Westmoreland & Hanover** | Early | BJ7355 | BJ7452 | BJ7465 |
| | | BJ7465 | BJ7015 | BJ7452 |
| | | BJ7015 | BJ7355 | BJ8252 |
| | | BJ7314 | J9501 | BJ7355 |
| | | | | BJ7015 |
| | Middle | BJ7504 | BJ7355 | BJ7504 |
| | | BJ7015 | BJ7627 | BJ7015 |
| | | BJ7355 | BJ7015 | BJ7938 |
| | | BJ8532 | BJ7938 | BJ82119 |
| | | BJ8783 | BJ82119 | BJ7627 |
| | Late | BJ7627 | BJ7627 | BJ82119 |
| | | | | BJ7627 |
| **Irrigated Clarendon & St. Catherine Plain** | Early | BJ7465 | BJ7015 | BJ7465 |
| | | BJ7015 | BJ7355 | BJ8252 |
| | | BJ7355 | BJ7627 | BJ7355 |
| | | BJ7938 | BJ82102 | BJ82119 |
| | | BJ82102 | BJ7465 | BJ82102 |
| | | BJ7627 | BJ8252 | BJ8252 |
| | | BJ7262 | J9501 | UCW5465 |
| | | | | BJ7015 |
| | Middle | BJ82119 | BJ82119 | BJ7504 |
| | | BJ7548 | BJ7548 | BJ7627 |
| | | BJ82102 | BJ82102 | BJ7548 |
| | | BJ7555 | BJ8534 | BJ82102 |
| | | BJ78100 | BJ8783 | BJ7355 |
| | | BJ78110 | BJ8252 | |
| | | | | BJ8252 |
| | | | | J9501 |
| | Late | BJ7627 | BJ7627 | BJ7627 |
| | | | | |
| **Upper St. Catherine & Upper Clarendon** | Early | BJ7555 | BJ7555 | BJ7555 |
| | | BJ7015 | BJ7015 | BJ7465 |
| | | BJ7465 | BJ82156 | BJ7015 |
| | | BJ7314 | BJ7314 | BJ7314 |
| | | BJ82156 | BJ7627 | BJ7627 |
| | | BJ7627 | BJ7504 | BJ7504 |
| | Middle | BJ7555 | BJ7555 | BJ7555 |
| | | BJ7465 | BJ7015 | BJ7462 |
| | | BJ82119 | BJ82119 | BJ82119 |
| | | BJ7262 | BJ7262 | BJ82156 |
| | | BJ82156 | BJ82156 | |
| | | BJ8532 | BJ8783 | |
| | | | BJ8534 | |
| | | | BJ8532 | |
| | | | J9501 | |
| | Late | BJ7627 | BJ7627 | BJ7627 |
| | | | | |
| **St. Thomas** | Early | N/A | BJ7314 | BJ7465 |
| | | BJ7355 | BJ7355 | |
| | | BJ7452 | BJ7452 | |
| | | BJ82156 | BJ7627 | |
| | | BJ7627 | BJ7015 | |
| | Middle | BJ7355 | BJ7627 | BJ7627 |
| | | BJ82119 | BJ7355 | BJ7355 |
| | | BJ8207 | BJ82119 | BJ8207 |
| | | BJ82156 | BJ7627 | BJ7015 |
| | | | | BJ82119 |
| | Late | BJ7627 | BJ7627 | BJ7627 |
| | | BJ82119 | BJ82119 | BJ82119 |
| **Trelawny, St. James & St. Ann** | Early | BJ7465 | BJ82156 | BJ7465 |
| | | BJ82119 | BJ7015 | BJ82156 |
| | | BJ82156 | BJ7504 | BJ7504 |
| | | BJ7504 | BJ7465 | BJ7465 |
| | | BJ7465 | BJ8252 | |
| | | BJ8252 | BJ82102 | |
| | Middle | BJ82119 | BJ7627 | BJ7627 |
| | | BJ7504 | BJ82156 | BJ7504 |
| | | BJ82156 | BJ82119 | BJ82156 |
| | | BJ8532 | J9501 | BJ7015 |
| | | BJ8534 | | |
| | Late | BJ7627 | BJ7627 | BJ7627 |
| | | | | BJ7015 |
| | | | | |
| **St. Elizabeth** | Early | BJ7015 | BJ7015 | BJ7015 |
| | | BJ7314 | BJ82102 | BJ82102 |
| | | BJ82102 | BJ7465 | BJ7465 |
| | | BJ7928 | BJ7938 | BJ7938 |
| | | BJ7355 | | |
| | Middle | BJ7252 | BJ7627 | BJ7627 |
| | | BJ82119 | BJ7465 | BJ7465 |
| | | BJ82102 | BJ8252 | BJ7938 |
| | | BJ7465 | BJ8532 | BJ8252 |
| | | BJ8252 | BJ8534 | |
| | | BJ7627 | BJ8783 | |
| | | BJ82156 | J9501 | |
| | Late | BJ7465 | BJ7627 | BJ7465 |
| | | BJ7627 | BJ7465 | BJ7627 |
| | | BJ7314 | BJ7314 | BJ7314 |
*The Editor*
*SIRI*
*Kendal Road, Mandeville*
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POISON
KEEP OUT OF REACH OF CHILDREN
READ SAFETY DIRECTIONS BEFORE OPENING OR USING
STORAGE AND DISPOSAL
Store in the closed, original container in a locked, well-ventilated area as cool as possible and away from children, animals, food, feedstuffs, seed and fertiliser. DO NOT store for prolonged periods in direct sunlight. Tighten or preferably, pressure-seal 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 bury empty containers in a local authority landfill. If no landfill is available, bury the containers below 500 mm in a disposal pit specifically marked and set up for this purpose clear of waterways, desirable vegetation and tree roots. Empty containers and product should NOT be burnt.
SAFETY DIRECTIONS
Harmful if swallowed. Will damage the eyes. Will irritate the nose, throat and skin. Avoid contact with eyes and skin. DO NOT inhale vapours. When opening the container and preparing spray, wear cotton overalls buttoned to the neck and wrist and a washable hat and elbow-length PVC, nitrile or neoprene gloves, goggles and disposable fume mask. When using the prepared spray, wear cotton overalls buttoned to the neck and wrist and a washable hat and elbow-length PVC, nitrile or neoprene gloves and goggles. If product is in eyes, wash it out immediately with water. If product is on skin, immediately wash area with soap and 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, goggles 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.
MATERIAL SAFETY DATA SHEET
Additional information is listed in the Material Safety Data Sheet (MSDS) which is available from the supplier.
Combustible liquid.
Keep away from flames and hot surfaces. - No smoking. In case of fire, use carbon dioxide, dry chemical, foam. May cause an allergic skin reaction. If skin irritation or rash occurs: Get medical advice.
CONDITIONS OF SALE
eChem (Australia) Pty Ltd. accepts responsibility for the consistent quality of the product however, once the use and application of the product is beyond our control, the company accepts no responsibility whatsoever for any loss, damage or other result following the use of the product whether used in accordance with directions or not; other than those mandatorily imposed by statutes, the liability is limited to the replacement of the goods and is conditional upon a claim made in writing and, where necessary, a sufficient part of the goods being returned for proper examination by the company within thirty days of sale.
APVMA Approval No. 68709/58936
DOM:
BN:
For control of certain fungal diseases of bananas, oats, peanuts, perennial ryegrass, pineapples, stone fruit, sugar cane, wheat and other crops in certain states as specified in the Directions for Use table.
IMPORTANT: READ THE ATTACHED LEAFLET BEFORE OPENING OR USING
GROUP 3 FUNGICIDE
ACTIVE CONSTITUENT: 250 g/L PROPICONAZOLE
SOLVENT: 640 g/L LIQUID HYDROCARBON
20 Litres
eChem (Australia) Pty Ltd
Level 4, Lantos Place
80 Stamford Road
Indooroopilly QLD 4068
Ph: 1300 781 649
Fax: 1300 781 650
[email protected]
www.echem.com.au
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SAFO
Safety Alert for Operators
U.S. Department of Transportation Federal Aviation Administration
SAFO 18015
DATE: 11/13/18
Flight Standards Service Washington, DC
http://www.faa.gov/other_visit/aviation_industry/airline_operators/airline_safety/safo
A SAFO contains important safety information and may include recommended action. SAFO content should be especially valuable to air carriers in meeting their statutory duty to provide service with the highest possible degree of safety in the public interest. Besides the specific action recommended in a SAFO, an alternative action may be as effective in addressing the safety issue named in the SAFO.
Subject: Jet Fuel Contaminated with Diesel Exhaust Fluid (DEF).
Purpose: This SAFO alerts and advises aircraft operators, Fixed Base Operators (FBO), Federal Aviation Administration (FAA)-certificated repair stations, Flight Standard District Offices (FSDO), and foreign civil aviation authorities that certain aircraft refueled with jet fuel contaminated with DEF or used in refueling equipment that was exposed to DEF.
Background: Between August 12 and August 16, 2018, five aircraft were identified as being serviced with jet fuel containing DEF at Miami-Opa Locka Executive Airport (OPF) located in Opa-locka, Florida. Also during the same time period, nine other aircraft were identified as being serviced using refueling equipment that had been exposed to DEF. An investigation revealed that Diesel exhaust fluid was inadvertently used instead of fuel system icing inhibitor (FSII) on a refueling truck at OPF and injected into the fuel with the truck's FSII injection system. This affected both the aircraft receiving the contaminated fuel and the aircraft that were serviced with the refueling equipment that had been exposed to DEF.
While a potential safety concern exists for aircraft serviced with jet fuel contaminated with DEF, at this time the airworthiness concern is not considered an unsafe condition that warrants an airworthiness directive (AD) action under Title 14 of the Code of Federal Aviation Regulations (14 CFR) part 39.
The recent event of DEF being introduced into aircraft fuel systems is not an isolated event. On December 26, 2017, the FAA published a Special Airworthiness Information Bulletin (SAIB): HQ-18-08R1, "Engine Fuel and Control – Operation with Contaminated Jet Fuel." This SAIB contained the same information as this SAFO along with information from a similar situation when, between November 18 and November 21, 2017, seven aircraft were serviced with jet fuel containing DEF at Eppley Air Field Airport (OMA) in Omaha, Nebraska. During the same time period, an additional six aircraft were serviced using refueling equipment that had been exposed to DEF. As in this most recent event, DEF was inadvertently used instead of FSII on two aircraft refueling trucks at OMA and injected into the fuel with each truck's FSII injection system.
To address the most recent event at OPF, the FAA issued SAIB HQ-18-28, dated September 13, 2018. This SAIB, along with others, can be downloaded or viewed online at: https://www.faa.gov/aircraft/safety/alerts/saib/
Discussion: DEF is a urea-based chemical that is not approved for use in jet fuel. When mixed with jet fuel, DEF will react with certain jet fuel chemical components to form crystalline deposits in the fuel system. These deposits will flow through the aircraft fuel system and may accumulate on filters, fuel metering components, other fuel system components, or engine fuel nozzles. The deposits may also settle in the fuel tanks or other areas of the aircraft fuel system where they may potentially become dislodged over time and accumulate downstream in the fuel system as described above.
Aircraft identified as having received the contaminated fuel have experienced clogged fuel filters and fuel nozzle deposits that led to service difficulties and unplanned diversions. Those aircraft serviced with the contaminated refueling equipment also were exposed to trace amounts of DEF from residual fuel in the refueling hoses and equipment. As of this writing, the FAA has not received any service difficulty reports from these aircraft.
The crystalline deposits are not soluble in fuel, so they cannot be removed by flushing the aircraft fuel system with jet fuel. Although the deposits are soluble in methanol and other polar solvents, use of these chemicals may have adverse consequences on aircraft and engine fuel system materials. Consequently, original equipment manufacturers (OEM) should be contacted to develop inspection techniques and corrective maintenance actions appropriate for each specific aircraft model type and its level of exposure.
Jet fuel that has been contaminated with DEF no longer meet the aviation fuel operating limitations of aircraft certificated to operate on Jet A fuel, and, therefore, cannot be used on those aircraft. Contaminated jet fuel that has been removed from affected aircraft should be discarded and not used on aircraft or any other vehicles in the future.
The FAA is monitoring the situation to determine if additional action is required and requests that any service difficulties or maintenance and inspection findings on DEF introduced into aircraft fuel systems be reported to the individuals listed below in support of this effort.
NOTE: According to the Paperwork Reduction Act, a federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information collection is 2120-0731. Public reporting for this collection of information is estimated to be approximately 5 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information. All responses to this collection of information are voluntary. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the FAA at: 800 Independence Ave. SW, Washington, DC 20591, Attn: Information Collection Clearance Officer, ASP-110.
Recommended Action: The FAA recommends that owners or operators of affect aircraft do the following:
1. Contact their aircraft, engine, and APU OEMs to determine the appropriate inspections and maintenance actions to remove urea-based crystalline deposits from the fuel system. This action
may include removing and replacing fuel system parts or components affected by exposure to these deposits.
2. Report to the FAA any service difficulties (including fuel filter bypass and clogging incidents), fuel system repairs, and fuel system inspection results related to the presence of these urea-based crystalline deposits.
3. Discard any jet fuel that has been removed from an affected aircraft because it is suspected of being contaminated with DEF. The contaminated fuel should not be used on aircraft or other vehicles.
4. Discuss with your local fueling providers how best to determine if any of their diesel-powered airport service vehicles require the use of DEF. Also discuss with them what procedures they have put in place to prevent and test for jet fuel contamination.
Contact: Questions or comments regarding this SAFO should be directed to Aircraft Evaluation Group, Eduard Stalzer at (781) 238-7523 or by email at [email protected].
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– Current Affairs – February 2018
=================================================================================
PM Modi conferred with highest Palestinian honour
In a special recognition of the Prime Minister Narendra Modi's contribution to relations between India and Palestine, Palestinian President Mahmoud Abbas conferred the "Grand Collar of the State of Palestine" on him after the conclusion of the bilateral meeting. The Grand Collar is the highest order given to foreign dignitaries- such as Kings, Heads of State/Government and persons of similar rank.
=================================================================================
Which rank has been secured by Mumbai in the list of richest city by wealth, by South Africa-based market research group New World Wealth?
A. 10
B. 12
C. 15
D. 18
Answer and Explanation
Answer: B
India's financial capital Mumbai has been ranked as the 12th richest city globally by South Africabased market research group New World Wealth.
==================================================================================
Bihar Government bans sale of loose cigarettes
Bihar Government has banned sale of loose cigarettes in the state. This decision aims to be deterrent to kids and youngsters who start smoking by buying loose cigarettes. In this regard, state health department has issued notification under Section 20 of Cigarettes and Other Tobacco Products Act (COTPA), 2003. Bihar is the 12th state in the country to bring such a ban into effect after Uttarakhand, Himachal Pradesh, Rajasthan, Punjab, Delhi and others.
==================================================================================
Who is currently operating International Space station on behalf of NASA?
A. SpaceX
B. Orbital TMK
C. Space 90
D. Boeing
Answer and Explanation
Answer: D
The ISS is currently operated by Boeing on behalf of US space agency NASA.
=================================================================================
Andhra's Chandrababu is richest CM in India
Andhra Pradesh's Chandrababu Naidu is the richest Chief Minister in India with declared assets worth over Rs177 crore, the Association for Democratic Reforms (ADR) stated. Naidu is followed by Arunachal Pradesh CM Pema Khandu with assets worth over Rs129 crore and Punjab's Amarinder Singh with Rs48 crore. Tripura's Manik Sarkar with Rs26 lakh is the CM with lowest declared assets.
==================================================================================
Which govt has world's highest spending?.
A. Russia
B. Australia
C. India
D. US
Answer and Explanation
Answer: D
US govt has world's highest spending.
=================================================================================
West Bengal becomes first state to opt out of 'Modicare'
Claiming that the Bengal government had already enrolled 50 lakh people under its own Swasthya Sathi programme, Chief Minister Mamata Banerjee has announced the decision to opt out of Centre's 'Modicare' scheme. This makes West Bengal the first state to withdraw from the ambitious programme. Union Finance Minister Arun Jaitley had announced the NHPS on February 1, making it the biggest global plan to provide quality health cover to a population larger than the combined citizenry of the US, UK, Germany and France.
==================================================================================
What is the annualized rate of expansion of economy of Japan in the fourth quarter of 2017?
A. 0.3%
B. 0.5%
C. 2%
D. 3%
Answer and Explanation
Answer: B
The world's third largest economy expanded at an annualized rate of 0.5% in the fourth quarter of 2017, the eighth straight quarter of expansion.
=================================================================================
Wipro among 135 most ethical companies in world
Tata Steel and Wipro are the two Indian companies that have been named by US-based Ethisphere Institute in the list of World's Most Ethical Companies for 2018. The think tank has honoured 135 companies from 23 countries and 57 industries. Notably, Tata Steel and Wipro are receiving the award for the sixth and seventh time respectively.
==================================================================================
The Govt is considering selling between 51% and 76% stake in which company?
A. New India Assurance
B. Air India
C. BSNL
D.ONGC
Answer and Explanation
Answer: B
The Govt is considering selling between 51% and 76% stake in Air India.
=================================================================================
Punjab Government bans sale of 20 insecticides
Punjab Government's Department of Agriculture has issued directions to discontinue the sale of 20 pesticides (insecticides) including Endosulfan harmful to health of humans and environment with immediate effect. This decision was taken based on the recommendations of Registration Committee, Punjab Agricultural University (PAU) and Punjab State Farmers' Commission (PSFC).
==================================================================================
____ approves ban on local ivory trading by 2021
A. China
B. US
C. Japan
D. Hong Kong
Answer and Explanation
Answer: D
Hong Kong approves ban on local ivory trading by 2021.
=================================================================================
India Joins Ashgabat agreement
India joined Ashgabat Agreement on the establishment of an International Transport and Transit Corridor between the Iran, Oman, Turkmenistan, and Uzbekistan. The agreement was signed in 2011, which envisages facilitation of transit and transportation of goods between Central Asia and the Persian Gulf. According to the External Affairs Ministry, the accession to the Agreement would diversify India's connectivity options with Central Asia and have a positive influence on its trade and commercial ties with the region.
==================================================================================
Which country will include the sales of illegal drugs in its GDP calculations in compliance with EU rules?
A. France
B. Spain
C. Britain
D. Germany
Answer and Explanation
Answer: A
France will include the sales of illegal drugs in its GDP calculations in compliance with EU rules that require all bloc members to account for such revenues.
=================================================================================
Shabnam Asthana wins Times Power Woman 2017 Award
Shabnam Asthana was awarded the 'Times Power Women of the Year 2017′- Pune for Global PR. The Times Group celebrated the invaluable contribution of women by introducing The Times Power Woman 2017 (Pune) awards. These awards focused on the women of Pune and the prestigious list included 34 select women with power, supremacy, command, and control. The award was conferred on her by Dilip Kamble, Minister of State for Social Justice and Special Assistance in the Government of Maharashtra.
==================================================================================
Ashraf Ghani is the President of ___
A. China
B. Afghanistan
C. Japan
D. Hong Kong
Answer and Explanation
Answer: B
Ashraf Ghani is the President of Afghanistan.
=================================================================================
India's 1st defence industrial corridor
The first of the two defense industrial production corridors, as announced in the Union Budget, will link Chennai & Bengaluru and will pass through Coimbatore and several other industrial clusters. The corridor shall provide impetus to the defence production industry in the country and in the region. The announcement on the second corridor would be made soon.
==================================================================================
Who is the Vice Chairman of NITI Aayog?
A. Rajnish Kumar
B. Rajiv Kumar
C. K Venugopal
D. Arun Jaitley
Answer and Explanation
Answer: B
Rajiv Kumar is the Vice Chairman of NITI Aayog.
=================================================================================
Shubhankar Sharma won European Tour title
India's Shubhankar Sharma came back from a four-stroke deficit to claim a two-shot win at the Maybank Championship in Malaysia for his second European Tour title. Sharma had won his maiden title at the Joburg Open in December last year. The Indian holed 10 birdies to claim the title ahead of Spain's 31-year-old Jorge Campillo.
==================================================================================
What is the name of the operation by Nigerian Army in capturing the camps of the Boko Haram militant group?
A. Boko Mission
B. Black Commando
C. Deep Punch II
D. Black Star II
Answer and Explanation
Answer:
Deep Punch II is the name of the operation by Nigerian Army in capturing the camps of the Boko Haram militant group. Boko Haram began insurgency in the northeast Nigeria in 2009 in its attempt to create an Islamic state in the region.
=================================================================================
R.K. Singh Inaugurates 'International R&D Conclave' In New Delhi
Union Minister of State (IC) for Power and New & Renewable Energy, R.K. Singh inaugurated the 'International R&D Conclave' in New Delhi. It is a two-day conference on Emerging Opportunities and Challenges of R&D in Indian Power Sector. It has been organized by Central Electricity Authority (CEA). The conference was stressed upon the need of a dedicated R&D department in CEA to coordinate the research in the power sector.
==================================================================================
Which of the following country is not participating in the Cobra Gold Military Exercise which is to be held in Thailand?
A. Indonesia
B. India
C. Malaysia
D. The US
Answer and Explanation
Answer: B
India is not participating in the Cobra gold military exercise. This year 7 countries are participating in Cobra Gold- the US, Thailand, Indonesia, Japan, Malaysia, South Korea and Singapore.
=================================================================================
Evangelist Billy Graham dies at 99
The Rev. Billy Graham, one of the world's most famous Christian evangelists, has died at the age of 99. The evangelist brought his "Billy Graham Crusades" around the world, preaching to more than 210 million people in 185 countries and territories. His largest such gathering drew 1 million people in Seoul, South Korea, in the 1970s. As Graham prepared at age 86 for what he called his final U.S. crusade, a three-day event in New York City the weekend of June 25, 2005, he pondered his own mortality.
==================================================================================
_____ has suggested arming teachers to prevent school shootings
A. Melanie Trump
B. Donald Trump
C. Ivanka Trump
D. Theresa May
Answer and Explanation
Answer: B
Donald Trump suggests arming teachers to prevent school shootings.
=================================================================================
Parivartan Scheme launched in Haryana
The Haryana government launched Parivartan, a scheme designed to address 10 issues, including cleanliness and pollution, in 46 developmental blocks of the state. The scheme was launched by Chief Minister Manohar Lal Khattar. The 10 issues include facilitation of financing, making agriculture profitable and sustainable, improving health services, implementing Swachh Bharat, decongesting market areas, engaging the youth, checking air pollution, ensuring availability of identity-related services, effective policing, and ensuring road order and conduct.
==================================================================================
Who is the founder of Paytm?
A. Vijay Shekhar Sharma
B. Madhur Deora
C. Shankar Prasad Nath
D. Harshit Goel
Answer and Explanation
Answer: A
Vijay Shekar Sharma is the founder of the Paytm.
=================================================================================
Maldives announces Presidential elections in September this year
Despite facing these worse situations, Maldives started doing preparations for the upcoming Presidential elections to be held this year. The first round of the elections is to be held in early September. It is mentioned that the authorities welcome the election body to start the preparations for the elections. The Government took note of its announcement to hold the first round of Presidential elections during early September and encouraged all relevant stakeholders to offer the Commission their full, unreserved support for the conduct of their work.
==================================================================================
Which country has stopped calling itself 'nation of immigrants'?
A. UK
B. Mexico
C. US
D. Canada
Answer and Explanation
Answer: C
US stops calling itself 'nation of immigrants'.
=================================================================================
Andhra Pradesh gears up for Partnership Summit 2018 to attract investments for innovation
Andhra Pradesh woke up welcoming over more than 2000 delegates in its Partnership Summit 2018. The 3rd edition of Partnership Summit 2018 aims to facilitate investments, foster innovations in creating business models. Chief Minister Chandrababu Naidu expressed his keenness towards Partnership Summit 2018 eager to establish partnerships aimed at collective development and hoping for great engagements with global investors at the Partnership Summit 2018, Vizag. I invite you all to be a part of Andhra Pradesh's incredible growth story.
==================================================================================
Who is world no. 2 bowler in T20I?
A. Jasprit Bumrah
B. B Kumar
C. R Ashwin
D. Ish Sodhi
Answer and Explanation
Answer: D
New Zealand's Ish Sodhi is world no. 2 bowler in T20I. He was born in Punjab, India.
=================================================================================
India's Aadhaar and Umang App win awards at world Government Summit 2018
India's Aadhaar and Umang App have won awards at recently concluded 6th World Government Summit 2018 in Dubai. Umang App won in Best m-Government Service. Umang App won in Best mGovernment Service Award for Accessible Government Category and Aadhaar won in the Best Government Emerging Technologies Award. The award for it recognized India's efforts of invention and innovation in the field of technology and making the country completely digitalized.
==================================================================================
Who is the Communication Director of international Monetary Fund(IMF)?
A. Thomas Fitz
B. William Lagarde
C. Gerry Rice
D. Daniel Coats
Answer and Explanation
Answer: C
Gerry Rice is the Communication Director of international Monetary Fund(IMF). He recently has said that the tax collection assumptions in India's 2018-19 Budget are ambitious.
=================================================================================
Canadian PM arrives for 7-day visit to India
Canadian Prime Minister Justin Trudeau on 17 February 2018 embarked on his first visit to India. The Canadian Prime Minister on his seven-day visit will be focused on job creation and strengthening ties
between the two nations. Canadian Prime Minister will visit the Golden Temple. While in India, Trudeau will engage with youth and visit several landmarks, including the Taj Mahal, the Jama Masjid, and Swaminarayan Akshardham.
==================================================================================
Who is the Indian cricket player with most Man of the Match awards?
A. Virat Kohli
B. Sachin Tendulkar
C. Sourav Ganguly
D. MS Dhoni
Answer and Explanation
Answer: B
Sachin Tendulkar has won 62 Man of the Match awards.
=================================================================================
Ethiopia declares national state of emergency
A state of emergency has been declared in Ethiopia after the resignation of Prime Minister Desalegn. Emergency has been declared as protests have caused massive displacement of citizens, destruction of properties & threats against constitutional order of the country. In August 2017, Ethiopia lifted a 10-month state of emergency imposed after hundreds of people were killed in anti-govt protests.
==================================================================================
How many career titles has Federer won?
A. 96
B. 97
C. 98
D. 100
Answer and Explanation
Answer: B
Federer has won 97 career titles.
=================================================================================
Latest Govt. Jobs 2018 – Today Employment News | Latest Previous Year Question Papers | Latest ResultsIndia 2018 | Current Affairs 2018 latestjobs Provides Latest Govt. Jobs 2018 – Today Employment News | Latest Previous Year Question Papers 2018 | Latest Results India 2018 | Latest Current Affairs Update 2018.
latestjobs Also Provides Latest Govt. State Wise and City Wise Job Update Regularly, also Provides Latest Banking Jobs, Railway Jobs, Teaching Jobs, SSC/PSC Jobs, Police/Defence Jobs, Engineering Jobs Etc.
==================================================================================
Amazon Dethrones Microsoft as Third Most Valuable Company
According to a report in The New York Post, with a market cap of $702.5 billion, Amazon has become the third most valuable company in the world, racing past Microsoft, which has a market cap of $699.2 billion. Apple and Alphabet stand ahead of Amazon as the most valuable companies in the world.
==================================================================================
Who broke the 20-year old record in the 60 meters sprint?
A. Tim Montgomery
B. Harvey Spencer
C. Christian Coleman
D. Maurice Greene
Answer and Explanation
Answer: C
After registering a timing of 6.34 seconds at the US Indoor National Championships in Albuquerque, Christian Coleman broke the 20-year old world record in the 60 metres sprint. Former American sprinter Maurice Greene had held the record of 6.39 seconds.
=================================================================================
Aga Khan's 11-Day Visit To India Begins
Spiritual leader Aga Khan is on the 11-day visit to India. Sunder Nursery, a 90-acre park near Humayun's Tomb in New Delhi, will be inaugurated by Vice President M Venkaiah Naidu in the presence of the Aga Khan. In addition to these engagements, he will be visiting the cities of Ahmadabad, Hyderabad and Mumbai, where Aga Khan Development Network is involved in various development projects. During his previous visit in 2015, the Aga Khan was conferred Padma Vibhushan for his contributions to social development in India.
==================================================================================
The matter involving PNB and which of the following is being described as India's largest banking fraud?
A. Vijay Mallaya
B. Lalit Modi
C. Nirav Modi
D. Harshad Mehta
Answer and Explanation
Answer: C The matter involving PNB and Nirav Modi is being described as India's largest banking fraud.
=================================================================================
Andaman & Nicobar Command To Host Milan 2018
The second week of March will witness Andaman & Nicobar Command hosting a multinational mega event MILAN 2018. MILAN is a congregation of littoral navies conducted biennially by Indian Navy at the Andaman and Nicobar Islands. The theme of this year's MILAN International Maritime Seminar is 'In Pursuit of Maritime Good Order - Need for Comprehensive Information Sharing Apparatus'. With the underlying theme of 'Friendship Across the Seas', MILAN 2018 will witness a diverse mix of professional exercises and seminars, social events and sporting fixtures.
==================================================================================
Who is the beneficiary of the 'Badhai Kit' which were distributed by PM Modi recently in Daman?
A. Pregnant women
B. Lactating mothers
C. Newly-married women below BPL
D. Newly born girl child
Answer and Explanation
Answer: D
'Badhai Kit' were given to the newly born girl children under 'Beti Bachao, Beti Padhao'.
=================================================================================
TV Journalist Rahul Mahajan named Rajya Sabha TV Editor-in-Chief
Television journalist Rahul Mahajan has been appointed as editor-in-chief of the television channel Rajya Sabha TV. Mahajan's name was recommended by a five-member selection committee headed by Prasar Bharti chairman A. Surya Prakash and was approved by the vice-president of India M.Venkaiah Naidu. The committee also included Swapan Dasgupta, Shashi Shekhar Vempati, P.P.K. Ramacharyulu and Rahul Srivastava.
==================================================================================
Which state's cricket team has won the Vijay Hazare Trophy?
A. Saurashtra
B. Karnataka
C. Telangana
D. Maharashtra
Answer and Explanation
Answer: B
Karnataka won the Vijay Hazare Trophy.
=================================================================================
India Clinched 11 medals at Strandja Memorial Boxing Tournament
India have come up with best ever performance at the 69th Strandja Memorial Boxing Tournament in Bulgaria. At Sofia, the country ended with a whopping 11 medals – five from men and six from women boxers. Overall, the contingent clinched two gold, three silver and six bronze medals. Vikas Krishan, who claimed a gold medal in 75 kg category, was also adjudged the best boxer of the event, a first for an Indian. Another Gold medal was clinched by Amit Panghal.
==================================================================================
Who has been awarded the Laureus Sportswoman of the Year award?
A. Maria Sharapova
B. Venus Williams
C. Serena Williams
D. Caroline Wozniacki
Answer and Explanation
Answer: C
23-times Grand Slam champion Serena Williams won the Laureus Sportswoman of the Year award while Roger Federer has been awarded the Laureus Sportsman of the Year award.
=================================================================================
Google launches '#SecurityCheckKiya' campaign
Search engine giant Google has launched '#SecurityCheckKiya' campaign in India to create awareness around Internet safety. It was launched on the occasion of Safer Internet Day (6 February). The campaign aims to protect first-time web users from account hijacking, safeguard Android devices from malicious apps and secure all their personal data if they lose their device.
==================================================================================
Agni-1 has been test fired by ___
A. India
B. Russia
C. China
D. None of the above
Answer and Explanation
Answer: A
Agni-1 is test fired by India.
=================================================================================
India successfully test-fires nuclear capable Agni-1 missile
An indigenously developed short-range nuclear capable ballistic Agni-1 was successfully test-fired from a mobile launcher at Pad 4 of the Integrated Test Range at Odisha's Dr Abdul Kalam Island. It was 18th version of Agni-1, which could achieve all parameters within the stipulated time period. The defence Research and Development Organization (RDO) has successfully tested country's longest indigenously developed nuclear missile Agni-V on 18 January 2018.
==================================================================================
What is the name of rocket that US-based SpaceX recently launched towards Mars?
A. Heavy Falcon
B. Mars Star
C. Twin Mission
D. Mars V
Answer and Explanation
Answer: A
The US-based SpaceX has successfully launched the world's most powerful operational rocket Falcon Heavy towards Mars.
=================================================================================
Rajnath Singh releases book titled "Mere Sapnon ka Bharat"
Union Home Minister Rajnath Singh released a book titled "Mere Sapnon ka Bharat". It is a compilation of interviews of former Prime Minister Atal Bihari Vajpayee by Tarun Vijay, an ex-MP, at a function in New Delhi. The Home Minister described Mr Vajpayee as a distinguished personality who stands alone because of his stature. He is respected by all cutting across the political parties divides.
==================================================================================
PM's Research Fellows Plan will provide ____ per month as fellowship.
A. 30,000
B. 50,000
C. 70,000
D. 90,000
Answer and Explanation
Answer: C
PM's Research Fellows Plan will provide 70,000 per month as fellowship.
=================================================================================
India ranks 44th in Global Intellectual Property Index, US tops
India increased "substantially" its score in the International Intellectual Property (IP) Index, ranking 44th among 50 nations, according to the US Chambers of Commerce report. India's overall score has increased substantially from 25% in the 5th edition of the Index to 30% in the 6th edition, according to the annual report prepared by the Global Innovation Policy Centre (GIPC) of the US Chambers of Commerce. Last year, India ranked 43rd out of 45 countries in the Index.
The top 3 countries in the list are-
The USA.
The United Kingdom.
Sweden.
==================================================================================
Who has been appointed as SBI Card MD and CEO?
A. Hardayal Prasad
B. Vijay Jasuja
C. Amar Jindal
D. Rajkumar Upadhyay
Answer and Explanation
Answer: A
Hardayal Prasad has been appointed as SBI Card MD and CEO. He replaced Vijay Jasuja.
=================================================================================
India retains top spot as source market for Dubai in 2017
Dubai witnessed 15% growth in tourist arrivals from India in 2017, hosting 2.1 million visitors, retaining top spot as the source market. It also became the first country to cross the 2 million mark in a single year, according to the latest data published by Dubai's Department of Tourism and Commerce Marketing (Dubai Tourism). The growth is mainly due to the success of Dubai Tourism's ongoing collaboration with Bollywood superstar Shah Rukh Khan in the 'BeMyGuest' campaign.
==================================================================================
Modi will visit __ in his 3-nation visit
A. Libya
B. Russia
C. China
D. Oman
Answer and Explanation
Answer: D
Modi will visit Oman in his 3-nation visit.
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Shaping the Cultural Landscapes: The role of writers' and composers' museums
Proceedings of the ICLM Annual Conference 2016 in Milan
Edited by the Board of ICLM
ICOM, Paris
Yasnaya Polyana Publishing House
2017
ICLM Annual Conference 2016
3-9 July 2016
Thanks to
The State Museum-Estate of Leo Tolstoy at Yasnaya Polyana ICLM Conference organizers
The Book publication was supported by the State Museum-Estate of Leo Tolstoy at Yasnaya Polyana Further funding for this book comes from ICOM-ICLM
The papers are presented in the authors' original version as submitted.
ICLM Board 2016
President
: Galina Alekseeva (Russia)
Sarolta Schredl (Austria), Maira Valtere (Latvia)
Secretary: Gabriella Gulyás (Hungary)
Other Board Members: Maria Gregorio (Italy),
Galina Belonovich (Russia), Alla Bayramova (Azerbijan),
Editorial Address: [email protected] Editor-in-chief Galina Alekseeva Editorial work Andrew Kotchoubey, Marina Kotchoubey (USA)
© 2016 ICOM-ICLM
ISBN 978-5-93322-119-7
Publishers' Addresses
Maison de l'UNESCO
ICOM
1, rue Miollis
France
75732 Paris Cedex 15
www.icom.museum
Design: Maria Belaya
Yasnaya Polyana Publishing House 14, Oktyabr'skaya St Tula, Russia
Contents
3
Lika Mamatsashvili 60
Aleksandre Roinashvili: Photographer, philanthropist and collector of museum artifacts
Dmitry Bak 66
Literary Museums Today: Definition, Status, Prospects
Galina Alekseeva
ICLM Chair
Introductory Note
The highlight of the year of 2016 was the ICOM Gen eral Conference "Museums and Cultural Landscapes" in Milan, Italy on July 3-9, 2016. The ICLM theme was "Shaping the cultural landscapes: the role of writ ers' and composers' museums". At the ICOM General Con ference plenary session on July 4 th , I was honoured to pronounce an introductory speech before Orhan Pamuk's video interview.
We had a fascinating cultural programme during the General Conference thanks to the tremendous efforts of our Board member Maria Gregorio and her assistants in Milan. At the ICLM general meeting we re-elected the Chair and some Board members, and elected some new Board members. I personally thank everyone for com ing and participating in our Conference sessions and general meeting.
We had three Conference sessions with 23 speakers, and there were numerous participants with different questions and commentaries. All the papers presented at the ICLM conference sessions were very profession al and interesting. In this Book of Proceedings we have published some of the papers which were sent for this Book. We also included some of the papers from the ICLM Conference "Literature, Music, and Cultural Heritage", which took place in Tbilisi in 2015. We continue to publish articles regarding the definition of a literary museum.
As usual we had various cultural and museum events in different countries, we tried to cover some of them on our web site and in our Newsletters, including our discussion of our definition of what constitutes a literary museum. Many thanks to Maria Gregorio and
5
her assistant Catherine for their work on the ICLM web-site.
At the ICLM general meeting in Milan we presented the Book of Proceedings of our ICLM Annual Confer ence-2015, dedicated to "Literature, Music, and Cul tural Heritage", which took place in Tbilisi (Geor gia) on September 25-30 th , 2015.
Our special thanks to our friend and colleague Adriano Rigoli, President of National Historic Homes Associa tion of Tuscany, for bringing and arranging a beauti ful exhibition about Historical and Literary Memorial Houses in the Region Tuscany, and touring us and other guests. That was a great experience!
Maria Gregorio
Milan, Italy
Shaping a literary landscape: A paradigm
Milan is my city - I grew up in this cultural land scape. My welcoming you today has a personal and pas sionate energy that goes beyond the anodyne appeal of these convenient yet impersonal halls too akin to others the world over. Hopefully, you will explore the soul of my city – the museums of course, but also its streets, the elegantly restrained beauty of its palaces, the cozy courtyards and fragrant inner gar dens, the many churches – in short, a many-layered and complex urban landscape that has renewed itself for millennia. I welcome you as my personal guests even as you are ICOM Italy's guests. I want to make you feel at home in my home.
My aim, today, is to sketch for you how a group of professionals working in various cultural institutions conceived and developed the project of giving a voice to the concept of "literary landscape" while paying homage to the Italian writer Goffredo Parise and his beloved landscape in the Veneto region.
At the center of the project are the two houses he lived in – one now a true house-museum and the other open to the public, though remaining in private hands. It is a landscape some of you are already familiar with, for I first presented it in Oslo in 2012, at our annual meeting. Let me pause here briefly to evoke our unforgettable and unforgotten Norwegian colleague and friend Gerd Rosander, to whose memory I dedicate my intervention.
But first, a few words of context. Born in Vicenza, one of the most beautiful cities in Veneto, Parise spent his working life in Milan and in Rome, but also
7
traveled worldwide. Now a well renowned writer, he sought refuge in the rural landscape of the Veneto: he acquired a very modest but enchanting "house of the fairies" next to the Piave river. The dwelling became the locus of his soul. The house and the sur rounding landscape is where he stayed for the remain ing years of his life. He died just thirty years ago in a house nearby, which has become the museum bearing his name.
Drawings 1 & 2
Parise has written at length about the scenery that encloses the house along the river as well as Veneto's landscape - for him a place of countless interconnect ed ties. Numerous literary critics have analyzed this deep and powerful relationship.
Our working group did not want to add to this critical work. Instead, we wanted to find a way to interlace the theme of a cultural landscape – the adjective is cru cial – with a home in which a writer lived and created his or her literary work.
We articulated our working hypothesis as two separate journeys, or I may better use the term: movements.
First: establishing, curating and opening to the pub lic the home of a writer means in effect to elaborate a new interpretation of his life and work. It is just as true that this created space also offers us the op portunity to obtain a new reading of the surrounding landscape in all its aspects, human, cultural, and an thropological.
Second: starting from the landscape surrounding the house, it is maybe possible to make accessible to the visitor new perspectives, also providing different in terpretationsof the author's personality and work.
Here is what Andrea Zanzotto – possibly the greatest Italian poet of the XX th century, who lived close to Parise and was a dear friend of his – wrote: "There is a recursive relation between the landscape and the person: the landscape influences the development of the individual; in turn the person acts on the landscape by looking at it a new through the lens of his emotions and the ideas he expounds The landscape, a physical and spiritual reality, grows and changes as individuals and communities signify it".
Drawing 3
In particular, our group aimed to develop a research paradigm that could be reproduced elsewhere - in oth er houses and landscapes– so as to bring life to new projects and new interpretative models.
Claudio Rosati, a colleague with great experience in eco-museums and ethnoanthropological museums, proposed to use the so-called parish maps. They were born in Great Britain in the eighties thanks to the felicitous intuition of the Common Ground Association. Since then, numerous local groups have created maps of their vil lages, hamlets, or places of residence. Through their drawings, they aimed to recover the emotional meanings and values of the places where they spent their lives. The practice of the parish maps has emerged in many mu seums devoted to the local culture with great effect.
Our second source of inspiration was the Milanese city-planner Nausicaa Pezzoni, whom the American city planner Kevin Lynch had influenced in turn. In the Six ties, he was the first to explore the meaning of places through the lived experience of their residents. Here, a typical drawing of a well-known follower of his, Gurden Cullen. In Milan Pezzoni asked about a hundred residents who had migrated here from countries outside Europe to represent the city as they saw it - with the places they mostly frequented but also the insurmount
9
able limits they perceived. These persons were reti cent at first. The pencil, however, soon proved a potent enabler. The maps shed light on the territory the mi grants had opened up for themselves but also outlined their sense of being lost in the new environment. Col laterally, they represent documents of lived knowledge and expressions of aesthetic sensibility.
Following these models for research, we decided to create a series of maps tracing on paper Parise's foot prints in his landscape. We tasked the hands of those who had witnessed Parise's life in the hamlet of Sal gareda and the municipality of Ponte di Piave, a few minutes away. We asked them to trace, without formal constraints, the author's network of human and terri torial relations – as they remembered them. We aimed at a visual representation of his life intertwined with the life of the community.
Two members of our group who live in Ponte and Salgare da - and one in particular, who was a great friend of the writer - supervised the completion of eight maps.
Drawing 4
Though pointedly different, all outcomes share an extraordinary "eloquence." The writer's neighbors farmers or working people who maintained strong ties to his memory – drew three of them. Two more are local artists and friends ofParise. A woman drew another: when young, she was at his side during the last years of his life. A map as big as a panel is striking: the person who for many years curated the house, now a museum, depicted it (he is part of our group). A last one, drawn by a contemporary artist, evokes all the places round the world Parise set foot on.
Summary autobiographies of the authors come with the maps. They articulate the intrinsic emotions of in timate links that never weakened. The whole effort is
a precious contribution to our knowledge of the writ er. Foremost, however, it is the prized cultural tes timony of the whole community to Parise's work and personality.
Current photographs of the sites depicted on the maps and a series of "postcards" that bear the magic touch of a famous artist, Giosetta Fioroni, who was Parise's life partner, are a complement to the maps. They have been further the point of departure for a young art ist, Vittorio Bustaffa, to revisit the landscape with fascinating, empathetic drawings.
They now make up the core of the book we are about to bring forth.
Let me summarize a comment that Rosati has written for our publication. "We wanted to ascertain the fine grain of Parise's wanderings– the becoming of a walk, the intersections of places, the overlap of glances. While fully cognizant that a space is always tied to a time, we wanted to experience Parise's landscape through the experience of those who were his companions in his ex cursions. We asked for just a drawing – not an impos sible copy of reality. Rather, we aspired to the mem ory's creative deformation as it selects – also based on what it favors".
While others concerned themselves with the maps, I be gan plotting the dense bibliography on the subject of literature and landscape. My attention was drawn par ticularly to what is called "literary geography." From there, I advanced into the territory of humanistic and cultural geography and their cartographic representa tion. These were mere forays, rather than voyages of discovery, for precise specialist competence would be required for such an endeavor. These incursions were illuminating, I felt. I hope that they will open up to our writers' houses and museums new horizons toward which to plot new adventures.
Italy is deservedly proud of its research on liter ary geography. The fountainhead of this research top ic was our great Italianist Carlo Dionisotti, whose best-known work dates to 1949. This piece, however, only yielded important results in the recent nineties. Franco Moretti, one of the scholars most active in the area, writes, and I quote: "Geography […]is a living and concrete force which leaves traces in the texts, in the plots, in the systems of expectations. […] Re lating geography to literature – creating a geographic map of literature – is something that will bring about aspects of the literary field which remained hidden so far. In 1997 he published an Atlas of European Novel, now a classic of this kind, followed a few years later by his Graphs, Maps, Trees. AbstractModels for Liter aryHistory(2005).
Barbara Piatti has followed in this wake. Piatti is a Swiss pioneer in this kind of research. Working at the Swiss Polytechnic in Zurich, she is researching the cartography of the spaces created by the literary invention. Together with colleagues from the Institute of Cartography there, over the years Piatti has been bringing forth the European Literary Atlas. Liter ary sceneries will be presented on computerized maps. Amidst the transformation that poets' fantasy makes of real places, the aim is to locate the traceable con stants. Such research concerns itself with places that writers' fantasies created or transformed.
In an alternative slant, researchers study the specific links between authors, their work and the landscape. They are in the realm of fact, not fantasy. The num ber of texts devoted to the subject is very vast. The researchers follow two axes. One is the overall treat ment, particularly in its historical and theoretical aspects. Another is the analysis of writers who have lived in just one place or just one specific geographic area. So, we may have the study of one single writer in his relation to this or that place. At times, it
even concerns just the house where he or she lived. Not to mention the more or less divulgatory registers of literary places.
As I read texts that geographers, historians, and phi losophers of geography, as well as scholars of the cartographic representation, have devoted to the links between landscape and the human community, a new and extraordinary horizon has opened up for me.
My incursion into the territory of geography has found validation in a personal, strong wish and in an en couragement to all of our museums. We all want literary museums to be a living source and an ever self-renovat ing place of knowledge of literature and writers. We all also believe that the landscape is a fundamental element of the interpretation of their work. If this is so, we have to become pro-active. Each of our museums must host studies of literary geography and cultural landscapes – even better, the museums ought to become an in situ center of such studies.
Admittedly, such endeavors must be carefully coordi nated with universities and other specialized insti tutions. Nonetheless, the close regard inherent in a museum exhibition, the specifically sensorial chal lenge of the exhibits, the intrinsic link with the ma teriality of an interior environment –all this makes museums the ideal place. I would dare to say: they arethe ideal home for such research. They guarantee that such efforts would not remain the preserve of scholars. For such projects to come alive, anyhow, they must involve the community surrounding them. This was the aim we sought when we asked the "witnesses," each of them, to draw his or herown map of Parise's footprints – and we had a felicitous beginning.
Mine is just an example among the many possible ones, possibly quite different in their approach. Anyhow we consider our example to be innovative. The wealth of
visions and outlooks that I have tried to sketch, even in broad strokes, might become thelifeblood for all literary places spread out across the territory – ir respective of whether they are museums, or just a room or an observatory, a look-out, or a scanty signal of memory.
I spoke about Georges Henri Rivière's vision at our meeting in Irkutsk in 2014. The scholar famously speaks of museums as possible "antennae on the territory." Museums become such antennae when they leave their four walls behind and enter the community. Rivière's proposal referred to eco-museums. We propose the same vision for the museums of our writers. If we add – in such houses open to the public – new instruments and new seams for research, and in particular the voice of the surrounding residents, we create extraordinary impulses for a different and renewed vision of liter ature. A literature finally handed back to everyone's experience.
Drawings by Vittorio Bustaffa Map by Giovanna Zanotto
The A.S. Pushkin State Museum
in a Changing City Landscape
The Pushkin State Museum is one of the largest liter ary museums in Russia. It comprises of several museums with the main building being the Pushkin Museum, which is dedicated to the life and work of the great, Rus sian poet Alexander Pushkin. The museum also includes the Pushkin Memorial Apartment on Arbat Street and the Museum Apartment of Andre Bely who was a prominent sym bolist poet, philosopher and writer of the 20 th centu ry. Another part of the museum is the House of Vasily Pushkin, Alexander Pushkin's uncle and a poet of the late 18 th to early 19 th centuries. Lastly, is the Ivan Turgenev Museum, which is dedicated to the Russian writer of the second half of the 19 th century.
All the museums are located in the historical center of Moscow, which is a city with a unique cultural land scape and architecture that is ever changing.
Two of the literary museums, the Alexander Pushkin Me morial Apartment and the Andre Bely Museum, as well as exhibition halls, are located on Arbat Street, which is one of the oldest streets in Moscow. It's history dates back to over 500 years.
In the early 18 th century, it became one the most aris tocratic streets where the gentry built their houses. Among its inhabitants were the Tolstoys, the Rastop chins, the Gagarins, the Dolgorukys, the Sheremetyevs, the Golitsyns and the Trubetskoys. They built small, empire-style mansions and wooden houses surrounded by gardens. There were almost no shops on the street.
After the fire of 1812, during reconstruction, build ings were constructed with a unique look. They were small, one or two story houses with a main floor and a mezzanine. They were built at a distance from one an other and were surrounded by small gardens and court yards.
The Khitrovo mansion was also built after the fire of 1812 and in 1831 Alexander Pushkin stayed there for several months. Later, Peter Tchaikovsky's brother Anatoly lived in the same apartment and the great com poser often came to visit him there. After the October 1917 Revolution, the house was divided into flats. By the early 1970's, thirty-three families comprising of seventy-two people lived in this building. In 1986, the Pushkin Memorial Apartment opened in the old Khi trovo mansion and became one of Russia's most import ant landmarks. Unfortunately, only a small part of the original mansion still remains, which is typical of Moscow's 21st century landscape. It includes the main two-story building and a small garden with a service building.
The late 19 th and the early 20 th centuries brought many changes to Arbat Street. By the end of the 19 th century, intellectuals mostly replaced the gentry. The street started to look more like it does today with many shops, hotels, restaurants, and rental houses.
The rental house on the corner of Arbat Street and Denezhny Lane holds a special place in Moscow's cul tural landscape. Before the 19 th century, there was a two-story mansion in this location. In 1876, it was completely rebuilt and a floor was added. The first floor was intended for commercial purposes and the second and third floors were to be rented. Immediately after construction, Nicholas Rakhmanov, an honorable citizen of Moscow and lecturer at the Moscow State University purchased this house. This most likely inspired more professors and intellectuals to move into the area.
Some notable examples are: the Mathematician and Dean of the University Department of Physics and Mathemat ics, Nicholas Bugaev (Andre Bely's father), the Econ omist Professor Ivan Yanzhul and the Solovyev family.
Andre Bely's parents rented a flat on the 3rd floor where he was born. This is where he discovered the world around him, where he created his first memories and where he spent his school years. It was at this flat that the boy from a professor's family became a leading modernist writer. He lived in the flat for twenty-six years, from his birth until 1906.
In the 1930's, the former Rakhmanov house became a multi-family dwelling. Today, it belongs to the Min istry of Foreign Affairs. In 1987, the Bugaevs' flat, an important cultural site, was given to the Pushkin State Museum. The permanent exhibition opened for vis itors in August of 2000.
Today, Arbat Street is one of the most popular pedestri an streets with a lot of museums, theaters and histor ical landmarks. It is a place that attracts tourists, street artists and musicians. The literary museums of Alexander Pushkin and Andre Bely are also an important part of the historical landscape of this street.
In contrast to Arbat Street, Staraya Basmannaya Street has an entirely different landscape. The House Museum of Vasily Pushkin, Alexander Pushkin's uncle, is lo cated on this street. The great poet often came to this house to visit his uncle. In 2014, it became a museum. The street endured many changes in the 20 th century. It was widened and many old buildings were taken down, including the wooden houses of the first half of the 19 th century. Fortunately, the house where Vasily Pushkin lived beginning in 1824 was spared. This wooden house was built on a stone foundation. It has a typical layout with an entrance from the courtyard and an attic floor at the back of the building. In its day, the house had
a garden and courtyard buildings including servants' quarters, a stable, a coach house and a cellar. Now, only the main house remains. It differs from the other buildings on the street and reminds us of 19 th century Moscow, now gone forever. In this case, the purpose of the museum is to preserve cultural heritage.
The main building of the Pushkin State Museum is lo cated in the Khruschev-Seleznev mansion, a historical complex from the 18 th and 19 th centuries. Originally, this mansion was similar to most 18 th century mansions. At that time, a town mansion was not different from a country mansion, as the main house had many rooms and there were many smaller houses on the grounds, as well as stables, coach houses, greenhouses and other buildings. Numerous town mansions defined Moscow's city landscape at that time.
The war with Napoleon and the fire of 1812 brought many changes to the city's landscape. Moscow became a unique architectural site. The role of the state was import ant, as it dictated not only urban planning standards, but also artistic preferences. New residential archi tecture of that time developed throughout Moscow and resulted in the city's new classical period.
During the reconstruction, Moscow acquired a stylis tic integrity that it had not had before, which lasted for about a half a century. Central squares and main streets became the norm. The Boulevard Ring was re stored and the Garden Ring was created. People adhered to strict requirements of style even on basic archi tectural projects.
Specific architectural features were mansions that be longed to the gentry. The construction of the mansion complex that is now home to our museum dates back to the 1820's. The new house had a stone lower section and a wood upper section with a brick pattern. A small house that was spared in the fire was moved closer to
the main house. Large stables and a coach house were also built. Behind them was a beautiful garden. At the back of the garden was the oldest building dating back to the 17 th century, as well as a pavilion that resem bled an ancient temple with a classical porch. This is how most of the typical mansions in Moscow were built.
The Revolution of 1917 changed both the lifestyle of Moscow's citizens, as well as the city's landscape. Moscow's mansions were rearranged and partly or en tirely demolished allowing for the construction of new buildings, streets and squares. However, history spared the mansion that has been the home of the Pushkin State Museum since 1957. By the end of the 20 th centu ry, it was completely reconstructed and became a large, multi-functional cultural center. It holds a special place in Moscow's cityscape, combining modern archi tecture, as well as features of a 19 th century mansion.
Over the last few years, Moscow's urban policy has been controversial and complicated. The city, including its historical center has changed. Now, the importance of museums, as the keepers of historical and architectur al traditions has increased.
The Ivan Turgenev Museum on Ostozhenka Street has a different history. Ostozhenka is one of the oldest streets in Moscow. It was a land of cattle meadows, with many haystacks that gave the street it's name. In the 19 th century, Ostozhenka was one of the most re mote streets in Moscow with country homes, gardens and vegetable plots. Now, the street and nearby streets have been largely rebuilt and have only a few historic buildings. Houses in Ostozhenka are the most expensive in Moscow.
The house that is now home to the museum is one of the few places in Moscow connected with Turgenev and is de scribed in his writings. It is the main house of a large town manor.
By 2018, which will be Ivan Turgenev's 200 th anniversary of his birth, we will have an opportunity to open more than just a museum dedicated to the writer's life and work with a unique architectural and historical com plex. The museum has been given the land surrounding the house. This will allow us to create a historical and cultural space, as well as the ability to increase visitor capacity. We intend to develop cultural and environmental projects and to provide greater variety of programs for children. The project of the future museum includes the reconstruction of the garden, sev eral garden buildings and flower beds. The exterior and interior of the main house will have the look it had in the 1840's. Additionally, a monument to Ivan Turgenev will be built in the center of the public garden.
Moscow will have a new, large cultural center that will promote Russian, classical literature and pre serve this historical and cultural heritage. So, we can say that our museum is not only a preserver of culture, but also one of the most important buildings shaping and preserving Moscow's historical landscape.
Stefan Bohman, Stockholm, Sweden
Cities and identities! Cultural Identities and Museums.
Museums can be an important part of a city's identity, as we see in Paris, Bilbao and Doha for example. An important type of museum in shaping a city's cultural identity are museums dedicated to important individu als. I will give some examples of how people and their museums can play an important role in the shaping of the identity of a city or a town.
Vienna
I will begin with a story from Vienna:
Two men were quarreling and began to fight in the streets of Vienna. A policeman comes by and stops the two men. The policeman says, "Are you mad! Fighting openly on a street. It´s a shame. What are you fighting about?".
"Well", said one of the men as he pointed to the other man, "this idiot claims that Bruckner's 7 th symphony is in D-major, but it is in F-major!" This greatly up sets the policeman, as he replies, "You are complete fools, both of you. Is this really something to fight about? Everyone knows that Bruckner's 7 th symphony is in E-major."
Although this story is fiction, it reveals an interest ing connection between music and the city of Vienna, which is a city greatly identified by music and compos ers. For example, you will find this book in many of the tourist shops:
Today there are more than 16 museums in Vienna that are dedicated to great composers, some of which include: Beethoven, Haydn, Mozart, Schubert and Brahms. It is most likely the city with the most museums of compos ers in the world. This is not only because many great composers have lived in Vienna. For example, Paris was home to many of the world's finest composers, yet it has very few museums dedicated to them. Vienna has deliberately shaped its cultural identity as a city of music and of great composers.
This cultural shaping began early. In 1863, the city of Vienna decided to copy the skulls of Beethoven, Schubert and Hadyn (see photo below). This is a spec tacular example of the city's canonization of compos ers. This act was a part of the ongoing process of strengthening a specific cultural heritage.
It is essential to know why and how cultural heritage is constructed. Here is a simple model of the construc tion of cultural heritage.
The shaping of a cultural identity is always depen dant on the varying interests and ideologies of the different groups (political, social and economic, for example) in the city or town.
This picture shows the Beethoven House in Heiligen stadt, outside Vienna, a museum marked with official flags. It was here that Beethoven wrote his famous "Heiligenstadt Testament". We know today that Bee thoven never lived in this house. Nevertheless, it is a museum dedicated as Beethoven's House. The fact that Beethoven did not actually live is this house is less
important than the positive contribution the museum makes to cultural identity of the city.
Inside the museum is one of Beethoven's ear trumpets. A very important theme to the "Heiligenstadt Testament" is the progression of Beethoven's deafness. These ear trumpets are also an important symbol for the suffer ing artist and are therefore important museum items to have, as we shall see.
Bonn
Beethoven is the individual to which the most museums are dedicated in Bonn. He is a perfect example not only of a symbol of cultural heritage, but he is also a can on. Bonn considers itself the city of Beethoven. One of the central statues in Bonn is of Beethoven.
The house in Bonn where Beethoven was born is a mu seum. There is a lot to say about this museum, but I will focus on how it has shaped Beethoven as a canon and how he is a central figure of Bonn's identity. So, what is canon?
The multitude of cultural expressions in society (groups and interests) define cultural heritage (see above). Within a cultural heritage some aspects or individuals are deemed to be exceptional and are exam ples to be followed. These are canon.
Let´s go inside the museum. A very important room is where Beethoven was said to be born. This type of room in a museum always has special value in the shaping of a canon.
The photo above is taken in the room where Beethoven was said to be born. It is from the 1930's and you can see a Nazi tribute at the base of the statue. The Nazi's tried to make Beethoven their composer, as the perfect symbol for the great German culture, and as an ally to the Third Reich.
The photo below is taken by me in 2011. It is a photo of the same room, but of another statue. On the base of this statue is a different tribute, as a rose is placed in honor of the composer. A modern tribute to Beethoven. Two tributes to a canon, but made by dif ferent groups with separate interests.
Now Beethoven is very much is a symbol of European cul ture. For example, the melody from his 9 th symphony is the European Union's anthem, at least for now. This room in the museum is a central part in the shaping of Bee thoven as a canon, but with different meanings depend ing on which group's ideologies have defined the canon.
The composer's deafness is also central to his canon ization, as we saw in the display of his ear trumpets in the Heiligenstadt museum outside of Vienna. It is about the suffering artist that in spite of, or because of, his handicap could make such wonderful music. This theme also lives in the Bonn museum, where other ear trumpets are exhibited.
Beethoven lived in the Bonn house until he was 12 years old, with good hearing. His deafness would come later in his life. However, becasue his deafness is so cen tral to his canonization even his childhood museum in Bonn must display his ear trumpets, even though they were most likely never used there.
There is always a connection between cultural iden tity and symbolic value. The factual authenticity of the museum and its exhibits can be less important than the stories connected to the canonized person and his or her role in the shaping of the identity of a city or a town.
Bayreuth
Bayreuth´s identity has for a long time been connected to Richard Wagner. Here is one of the statues of Wagner in Bayreuth today.
However, Wagner and his operas have a complicated his tory with the town of Bayreuth. Hitler used Wagner's operas as a "reward" for the front soldiers to come to Bayreuth to listen to the Wagner operas. "Bayreuth, the city of Wagner".
Hitler loved to visit Bayreuth, and established Wag ner as The German composer. He considered Wagner to be a perfect fit for the Third Reich, especially his na tionalistic opera, "The Meistersinger of Nuremberg".. Wagner himself was also a vocal anti-Semite, which fell in line with Hitler's politics. The heritage of the con nection between Wagner, Bayreuth and the Nazis became a problem after the war. Wagner's daughter-in-law Winifred was also closely connected to Hitler. She was a Nazi and Hitler visited the family regularly before the war.
So, what to do with this cultural heritage after the war? When Beyreuth began putting on Wagner's operas after the war, all political references were gone. Ab stract scenography was used with no German references. The directors concentrated on the other values of the operas. In 1976 the museum in Wagner's former home be gan to erase any mention of his collaboration with the Nazis, Hitler's relation to Winifred or about Wagner's clear anti-semitism.
In 2015-2016 the museum was enlarged and the exhibi tions were rebuilt. This new museum is very different from the original. Now the Wagners' antisemitism has a place in the museum. Wagner's book, "Jewishness in Music" is displayed and discussed. See the photo below taken in the museum in 2016.
The new museum is clear about the connection between Hitler and Winifred Wagner. The museum displays the connection between the Wagner heritage and the Nazis, and also about Wagner's anti-semitism. A very inter esting display (below) is about the connection between the Nazi aesthetics and Wagner operas, for example, Hitler as a hero from a Wagner opera.
When the museum opened again after the war it was used to try and deny the part of Wagner that was con nected to Hitler and his politics, therefore creating a specific and incomplete cultural identity linked only to his work as a composer. Today the museum serves as a display of both Wagner's works, as well as his and Bayreuth´s symbolic role in the Third Reich. A new use for the museum and a new shape of the cultural identity of Bayreuth.
Music as Hostage of Words, or Shift of Musical Landscape
After the End of the Soviet Era
In the State of Musical Culture of Azerbaijan, a large portion of the museum items – music manuscripts and published scores of Azerbaijani composers, concert posters and programmes of musical theatre performanc es, photographs, etc. – witness the oblivion of a large volume of music, when it is not performed even being of a certain artistic value. This forgotten music in cludes the works of the most outstanding of Azerbai jani composers, such as Uzeyir Hajibeyli, Niyazi, Qara Qarayev, etc. The reason of the oblivion is rooted in the words, or verbal component of these pieces. Speaking about this component we mean any verbal in sert - the title, the lyrics of the vocal works, or the libretto of scenic music. The text becoming out of fashion, non-suitable for nowadays becomes the obsta cle for the music to continue to be performed. Shifts of regime, changes of ideology bring reorientation and the change of benchmarks.
As a result, a lot of composers' talent, their creative efforts, and the time of these outstanding musicians were spent in vain, as their music is not played , performed, recorded, or published now, while in the past it was ordered by the authorities to reflect Soviet ideology and the very 'issues of the day'.
Let us think how interrelated music and verbal text are in the works of music? And how can they determine the fortunes of each other?
- Talented and popular music may add popularity and even bring worldwide fame to the work of litera ture. For example, the novella Carmen by Prosper Mérimée and the novel The Lady of the Camellias by Alexandre Dumas, fils, gained world recognition thanks to their opera interpretations – Carmen by Georges Bizet and La Traviata by Giuzeppe Verdi respectively. The opera Eugene Onegin by Pyo tr Tchaikovsky is more famous in the West than its literary origin – Alexander Pushkin's mas terpiece, his novel in verse with the same title. Besides, if music of the song or aria is good, it can 'help' bad lyrics and make them sound better.
- Timely relevant text reflecting most pressing is sues is able to support weak music. But it can last only until the text's social popularity.
- If music is popular, it may be accompanied by a new, or other lyrics, which may be better than the original text. E.g., melodies of some songs on Robert Burns's poems had been known as the tunes of other songs which became more famous when the words were replaced by Burns's poetry. The most worldwide known of them is Auld Lang Syne, which sings about old friendship and is considered as national musical emblem of Scotland or a symbol of Christmas and the New Year celebrations in many English speaking countries.
- If a play in drama theatre is no longer performed then this music is often completely forgotten.
- If the text, becomes outdated in ideological and topical sense, it can be the reason for the cor responding music no longer being performed even if nice. Examples of this are songs which used to be in everyone's ears in the USSR such as The In ternational (lyrics by Eugène Edine Pottier, mu sic by Pierre Chretien De Geyter) , or the songs
of the Russian Civil War (November 1917 – Octo ber 1922) - «Варшавянка», «Там вдали за рекой», «Смело мы в бой пойдём за власть Советов», etc.
Created in 1945 by Uzeir Hacibeyli, the founder of the Azerbaijani composers' music, the Anthem of the Azer baijani Soviet Socialist Republic was no longer played with the collapse of the USSR, while one of his Mili tary Marches composed in 1919, which was not performed after the Sovetization of Azerbaijan in 1920, has be come the hymn of the Republic of Azerbaijan, the modern independent state in 1991. There are a lot of printed items with music of such kind in the State Museum of Musical Culture of Azerbaijan.
The outdated topics of these music works may be dif ferentiated as such:
1). The struggle with Russian tsarism; The Octo ber Revolution in the Russian Empire. Examples are: the symphony poem The Epistle to Siberia by Jovdet Hajiyev (1937) and the oratorio October by Ramiz Mustafayev;
2). The Sovietization, Communism. Examples: songs "We go towards Communism" by Sh. Kerimov (music) and T.Mutallibov (lyrics) and "Roads to Commu nism" by A.Rzayev (music) and G.Kazim (lyrics).
3). The Communist party, Komsomol (The All-Union Leninist Young Communist League), the Pioneeria (The Vladimir Lenin All-Union Pioneer Organi zation - mass youth organization of the Soviet Union for children of age 10–15 that existed between 1922 and 1991, similar to the Scouting organisations of the Western world). Examples: song "My Party" by M.Akhmedov (music) and G.Fiz li (lyrics), The Komsomol March by Qara Qarayev, song "The Glorious Pioneeria" by A.Aliverdibekov (music) and I.Joshgun (lyrics).
4). The Soviet leaders (Lenin, Stalin) and heroes (26 Baku Commissars). Examples, songs "Lenin" by J.Jahangirov & S.Aleskerov (music) and G.Fizli (lyrics), "The Song about Stalin" by S.Rustamov (music) and S.Rustam (lyrics).
5). The peace theme. Examples: songs "I Vote for Peace" by S.Rustamov (music) and H.Huseynzade (lyrics), "The Song of Peace" by A.Rzayeva (mu sic) and M.Dilbazi (lyrics).
6). The International theme, friendship be tween the Soviet republics and working people of the globe. Examples: vocal-symphony poem Glory to the Russian People by V.Adigezalov, songs "To the Brother Hindu" by A.Abbasov (music) and A.Jamil (lyrics), "Friendship" by S.Rustamov and N.Babayev (lyrics).
7). The Soviet holidays and anniversaries (the 1st of May, Anniversary of the October Revolu tion, etc.). Examples: "The October Song" by S.Aleskerov (music) and R.Rza (lyrics).
8). The Red Army and its heroes. Examples: songs "You Are Waited " by U.Hajibeyli, "Our Glorious Army" by A.Rzayev (music) and R.Heydar (lyrics),
9) Heroic labour for the sake of the Socialist aims and labour heroes (first of all, workers and farmers). Examples: songs "I am a Baku Worker" by A.Rzayev (music) and A.Jamil (lyrics).
10). Love to the Socialist Motherland (to the USSR and its capital Moscow). Examples: songs "My Motherland" by I.Mamedov (music) and I.Sa farli (lyrics), "Moscow" by J.Jahangirov (music) and Z.Khalil (lyrics).
So, tens, or even hundreds of works composed by Azer baijani composers in different genres are not per formed nowadays because of their topics.
Among all the arts the most determined by the ideol ogy shift are performing arts connected with word and also literature itself. Visual arts, applied arts, and architecture of the same time and related to the same style – Socialist Realism - are more lucky, as they have survived. Object d'art are collected in private collections and museums; exhibitions of the art of So cialist Realism, internet forums dedicated to the same theme often take place nowadays. The interest to this art is in its peak at such auctions as Christie's, Sotheby's, and MacDougall's. The Internet source So vipedia dedicated to visual art of the Soviet epoch is being created [3]. Price-catalogues are published, e.g. on the Soviet porcelain of 1930-1980s, which in cludes the porcelain busts of Lenin and Stalin (by the way, according to this catalogue the porcelain bust of Stalin is twenty times more expensive than that of Le nin [1]). The art of Socialist realism is supported by some private institutions, the new Socialist Realism Museum has been announced in London.
Sculptures and paintings presented working class peo ple and Kholkhoz (collective farm) heroes of labour, glorify work - one of the main ideals of Socialism and its trend Socialist Realism. Many of these works are featured with high artistic value. For example, sculptor Vera Mukhina's famous statue Worker and Kolk hoz Woman in Moscow, or the works of the recognized Azerbaijani artist Tahir Salakhov depicting oilmen, repairers, and installers.
Many architectural monuments and reliefs on the build ings of the Soviet time are well preserved and within our scope, e.g., the symbol of the union of the work ing class and peasantry – sickle and hammer, by the way, on the Museum Centre building, which is the home
for the State Museum of Musical Culture of Azerbaijan and three other museums, while until 1990s it used to be the Lenin Museum. We can also see the same sym bol – sickle and hammer - in the decoration of some stations of Moscow Underground and so on. The social ist industry and farming theme is presented on the top of the hotel The National on the corner of Tverskaya and Makhovaya streets in the very centre of Moscow, near the Kremlin, or on the building of Azerbaija ni Composers' Union in Baku. Monuments of patriotic character created during the era of Socialist Realism also remain significant as well, e.g. sculptor Yevg eny Vuchetich's huge and magnificent statue-monument The Motherland Calls – the central part of the ensem ble dedicated to the Heroes of the Stalingrad Battle in Volgograd.
Even literary works remain accessible in the libraries and on the internet. But so called programme music or music composed for songs or plays on Soviet ideolog ical topics is not performed. This is determined by the very essence of music. The visual arts and archi tecture of the Soviet period are understood by gen eral opinion as artifacts of the past. Old cinema as well: when you watch it, you keep in mind that it was screened long ago. Music strongly impacts listeners here and now, and, being enforced by its words, sounds as a challenge, a call, and propaganda of the ideas, expressed in its text, here and now. If the text does not respond to the new ideology, music is excluded from cultural practices. In other arts, perhaps, only drama is also distinguished with the same quality. That is why they suffer more than other arts during the changes of ideology.
Its audio recordings become often lost. Paper record ings, scores, sheet music survive in archives, librar ies, or museums, in particular, in the State Museum of Musical Culture of Azerbaijan.
Besides, the work of music can survive in an abridged version, when the parts, or scenes related to the class conflicts - the struggle between the wealthy and the poor - very popular themes encouraged by the Soviet authorities - are excluded. For example, the latest posthumous version of Qara Qarayev's ballet The Seven Beauties, has become shorter than previous versions because 27 fragments of the original music have been abridged by the present directors, and/or their titles changed a well as their places within the ballet.
We think that this injustice towards music and its au thors should be and, in certain cases, can be correct ed. The solution can be found in the possible replace ment of the old text (title, lyrics, libretto) by a new one. The edition of the verbal component could return many pages of beautiful music back to life. Inasmuch, history of music knows such an experience. The land mark of Russian musical history Mikhail Glinka's opera Life for the Tsar in the Soviet time was performed under the title Ivan Susanin (name and surname of the main character). Its libretto was also rewritten by the poet Sergey Gorodetsky, who had to exclude every thing related to monarchy and Christianity from the text [2]. The USSR anthem with lyrics written by Sergey Mikhalkov and Gabriel Registan (lyrics) and Alexander Alexandrov (music) after the collapse of this country and the change of the text made by Mikhalkov in 2000 became the anthem of the Russian Federation (music by A.Alexandrov was preserved the same). Another example of the shift in the lyrics, not because of ideological, but of gender reason, is the anthem of the United King dom, where the words Queen and King may replace each other depending on the gender of the monarch.
In the Museum we also try to revive some pages of Azer baijani music. For example, the song Jan Stalin (Dear est Stalin) of Niyazi (music) and Rasul Rza (lyrics). The latter's son, Anar, is now the head of Azerbaijani Writers Union. We asked him to edit his father's poem
to modernize it, and he responded. As a result the song with the same music, but with the new title and edited renewed lyrics was performed again nowadays - after 60 years of its oblivion - as Stalin died in 1953, since that it was not sang). Its new title has become Long Live Azerbaijan!
Another example of museum activities in restoring for gotten music is related to drama theatre. Gara Gara yev wrote music for more than 20 plays staged by the best drama theatres of Moscow, Leningrad, and Baku. Among them are such plays as The Optimistic Tragedy by playwright Vsevolod Vishnevsky, or The Run by Mikhail Bulgakov – both describing the first and very dramatic years of the establishment of the Soviet power, accom panied with terror and civil war. These plays are not on the stage now. We could find some music manuscripts and audio recordings of G.Garayev's music in theatres of Moscow and Saint-Petersburg, have got its copies and have presented them to museum visitors during the events dedicated to the composer. For example, music accompanying a scene from M.Bulgakov's play The Run. This scene is titled 'Bazar', or The Market, because the scenery takes place at an Oriental market, in Is tanbul where, the characters, escaping from the Rus sian Bolshevik revolution, found themselves.
CONCLUSION
- When music is connected with words it may become hostage to the words.
- Music containing verbal components depends on the ideological shifts, because, if ideology, fash ions, authorities, etc., reflected in its verbal text, change, this and any reorientation harm mu sic in greater degree than other arts.
- The precedents from the history of music show that sometimes the work of musiс can be revived through the change of its verbal text.
- Museums, as the institutions aimed to the pres ervation of memory, should look for the possible ways to return to life forgotten cultural values in order to be able to present in a wider sense the phenomenon of cultural diversity and variety - the very spice of life (William Cowper),- which is one of the most important priorities of the modern civilization.
BIBLIOGRAPHY
1. Белоглазов С. Советский фарфор 1930-1980 гг. Прайскаталог. «Арт СПб», Санкт-Петербург, 2006. -234с.
2. Друскин М. Опера Глинки «Жизнь за царя» («Иван Сусанин»). Retrieved from http://www.belcanto.ru/sus anin.html
3. Социалистический реализм обзаводится инфраструктурами. Retrieved from http://rupo.ru/m/4271/ (дата обращения 30.05.2016).
Antra Medne, Maira Valtera,
Riga, Latvia
Expanding the boundaries of Museums
This can be done virtually or by creating more space taking down the museum walls. We decided to expand the museum by adding to it a part of the city. There are thirty eight active memorial museums in Latvia re ferred to as "small" museums. Duties and responsibil ities of all the Museum staff is the same, but those of small museum have to be twice as creative work and work twice as hard as those in big museums to maintain the quality of their museums. We need to be twice as loud to get our message across. Memorial museums are established in the former living quarters of the art ists they represent and are thus either located in city apartments or in suburban and country houses. To orga nize events, usually limited to 30 to 60 participants the staff of a Memorial museum must have unique ideas, work to fulfill them and attract necessary funding. As space is limited. 5 years ago the staff of Riga memo rial museums carried started to cooperate and created joint tours, so that people would get more information all at once. This campaign started with three writers museums: Aleksandrs Čaks, Jānis Akuraters, Andrejs Up īša. We chose to call this journey by the first letters of each writer's name, we created a name borrowed from the Italian language, which is also used in Latvian - Cau! The first trip took place in 2011. We described the everyday life of the writers and artists, their bohemian way of life, their creative works, their love affairs, and their artistic lifestyle. During these tours we got to know and visited all the important places in Riga, where poets composed their poetry, where they lived, studied, rested and loved. Along the tour, we visited memorial museums to give the partic ipants the opportunity to relax, have meals and hear the presentations. We showed the places which have
not been preserved to date. Many of the war and postwar buildings were damaged or destroyed. For these we described them in our presentations. To make museum visits more enjoyable, we offered local producers, who traded home-made ice cream and candy. During the the cold weather and in winter we also offered hot tea and cognac, when the subject of the tour was associated with a bohemian life style and everyday life. This interest in our activities was so great that in 2012 we attracted a few more memorial museums, not only of writers but also of artists. This gave us the opportu nity to talk about broader themes, including artists' life stories and their artwork and creation process. In the early 20 th century, Riga was a medium sized city. Many of the artists were friends. They created writers / artists associations. It was easier to raise funds for exhibitions and for publishing books. Young art ists had to establish their place in culture, and prove they were better and more interesting than those in older associations.
The artists / writers' association "Green Crow" was founded in 1925. One of the first of its members was Aleksandrs Čaks. The main purpose of the association was "to promote art among the people and to develop a true bohemian lifestyle in the best sense of the word". The "Green Crow" association published maga zines, books, and set up exhibitions throughout Latvia.
At first, we focused on the city center, but later ex panded to the outskirts of Riga. There are two memorial museums in the country far from the city, which are as interesting as the museums in the center. This means that we are able to gather more visitors and develop activities not only in the museum premises, but also in their gardens.
If in the first year we watched our audience and tried to figure out what people were interested in, later, when our tours had conquered a fixed place in Latvian
cultural events we used professional actors to read fragments from literary work. We handed out colorful brochures with travel cards and photographs so that visitors could travel again in their thoughts and mem ories through Riga's most interesting cultural sites.
In 2014, Riga was the European Capital of Culture. Combining eight Riga's memorial museums, we began to share a common name "for everyone his/her own Riga". Once a month we were making a trip by foot or by bus. Each event had its own theme, such as: The bohemian places in Riga, Sweet Riga, Riga on the water, such as a boat along the river Daugava and others. We accom plished a solid following of interested persons. By taking part in the events, everybody, including the staff, received interesting new information and dis coveries.
As Riga became too small for us, in 2015 we included other parts of Latvia, attracting colleagues from oth er Latvian museums.
Narine Khachaturyan, Yerevan, Armenia
When a Museum's Building Tells a Story
The Hovhannes Toumanian museum is situated in a beau tiful building built specially for the museum in 1953. The entrance comprises of 54 stairs, which symbol ize the writer's life, with lawns on either side. The building is situated on a hill in the center of the capital, on an intersection of three streets and is visible from afar. One of the intersecting streets is named after Toumanian and brings us to the square of Independence, the location of Toumanian's monu ment. Taking into consideration the architecture of the building, as well as its nearby territory, we see a cultural landscape connecting separate urban ele ments into a single, logical area of cultural interest.
To the museum! And maybe sometimes from the museum?
What if the museum came out of it's walls and appeared in the streets, among the people? What if it spent some time with them, transforming tourists into potential visitors?
It's a good idea and it works.
Our goal became to engage more visitors with happiness and fun. We needed to find the right occasions, which ended up being easy as we looked at the biography of the author. For example, one potential occasion for visitor engagement was the 100 th anniversary of Touma nian's fairy tale, "The King Chakhchakh" (a similar character to Sharl Perro's Marquis of Carabas in "Puss in Boots").
We decided to celebrate the king's birthday with an outdoor event where he would venture out for walks,
meet people, listen to them and share stories. We then thought to add other famous fairytale heroes to our celebration!
That day, the museum shook-up the everyday life of the calm, peaceful district. The museum burst out from the confines of its building and flowed out into the street. We were able to weave together three wonderful, be loved and independent parts of the city into one story.
It began from the museum, where the creative atmo sphere of the writer still exists. There, the first pub lication and illustrations of the 100 year-old fairytale about are kept. The festive procession passed through the street named after the writer, and reached the square of Independence where the monument of the great author is situated. The entire way from the mu seum to the square was filled with happiness, fun and new friends. The time we spent outdoors resulted in a huge army of new museum visitors. The potential visi tors had in fact become recurring visitors and the city began talking about the museum. We were making news.
Fundraising and the Landscape
On Toumanian Street there are many businesses, cafes, restaurants, boutiques, drug-stores, etc. All of the managers and employees of these locales had grow up on Toumanian's fairy-tales. We decided to ask them if they would donate something towards an event at the museum and they agreed! The cultural landscape nearby became a key investor in the museum as well.
The Father of All Orphans
Avoiding the standard interpretation of historical events and taking into consideration the biography of the writer, last year we organized an installation in front of the museum dedicated to the 100 th anniversary of the Armenian Genocide.
The 54 stairs that bring us to the museum became pages of the writer's notebook telling us about the horrors of the genocide. The little shabby shoes symbolized the forced deportation of children who escaped the genocide and for whom Toumanian became a father figure. He took responsibility for them, organized orphanages and hospitals in St. Etchmiadzin. We hung big banners with 100 year-old photos on the exterior walls of the museum.
The building of the museum narrated in silence. The memories of the writer were transformed into an inner voice of each visitor. As they went up the stairs, they read and sympathized. For children and grand-children of the genocide survivors, it was a very emotional prelude to the museum. The visitors became part of the story. Either the memories came to life again, or the visitors turned into witnesses of the horror. No pass erby could walk by with indifference. Even if one had not planned to visit to the museum, the installation drew them in.
Museums and cultural landscape
As an aesthetic experience of nature, landscape is an achievement of the subject. Its existence is bound to the thinking, acting human being. Cultural landscapes – from rural areas to centres of urban development – were only possible as a result of human intervention over millennia of shaping the natural environment. Where culture and landscape merge in a symbiosis, an thropological sites come into being. They create or ganic, social spaces that have their own history.
Art and culture as an integral part of our society are extremely important in Austria. In addition to the leading international importance of its Federal mu seums in Vienna Austria as a country of culture also boasts other high-calibre museums institutions in the Federal provinces. In their specific cultural context, local, regional and specialised museums, in the sense of literature museums, give insights into the identi ties of the particular region, the cultural and his torical situation tied to the locality. The collecting activity of museums institutions and their scientific research reflect the standards of shared cultural her itage.
Austria is rich in places of memory, places of lit erary and musical output (for example the Literature Museum of the Austrian National Library, Vienna or the Haydn-Museum in Eisenstadt). There are focal points, key places that play an important role in the life and work of an artist. Former homes of writers or composers have a special attraction; it is fascinating to visit places mentioned in stories, novels and poems. Going to such scenes not only gives us a wider appreciation of the cultural landscape but also gives us insights
into how authors live and work and enable us to engage more deeply with the place with the book in our hands. Analysed, documented and reflected on in a differenti ated manner, literary cultural heritage thus becomes fertile ground for a creative approach to the present and the future.
This documentation is an attempt to analyse the cur rent situation: the aim is to present the place seen as the centre of Austrians author Thomas Bernhard´s life and his main place of residence, after all "houses played an important role for Bernhard – all his life. They dominated his thoughts and actions. At this point I would like to mention that Austria and other coun tries have any number of places and landscapes – for example Salzburg, Vienna, St.VeitimPongau, Maria Saal or - abroad - Sintra in Portugal, Mallorca, Lovran in Croatia – that have links to Thomas Bernhard and that he immortalised in his literature. But, it would go beyond the scope of this presentation to go into more detail.
Thomas Bernhard´s standing in literary and public life in Austria is a special one – as a person he was the subject of controversial discussion and his work re mains of continuing interest. He influenced Austrian and German literature like almost no other writer. Hated more than loved (revered) during his lifetime, posthu mously the one-time provocateur Thomas Bernhardis was held in high regard not only in Austria. Bernhard´s criticism of the state´s cultural policy found vehe ment expression in his literary manifestations as an expression of his weariness with state power: - from the dispute with the Salzburg Festival in 1972 when his play "Der Ignorant und der Wahnsinnige" premièred to the theatre scandal sparked by the premiere of "Hel denplatz", (a social critic play) at the Burgtheater in 1988 – nearly one year before his death. The waves of outrage have subsided. What remains is a piece of world literature.
The Bernhard House in Ohlsdorf near Gmunden, Upper Austria – Genius loci – Memorial (Exhibitions, Theatre performances, Readings).
Within the Austrian literary museums landscape the Thomas Bernhard House plays a special role –as a sig nificant interface between the architecture of the house, his work and the public. Cultural events in cluding theatre performances, dramatic readings the Bernhard house acts as living cultural heritage. Dis cussion groups and lectures organised by the Thomas Bernhard-Society serve to put the writer in a contem porary context. Other nearby places of work includeG munden and Salzburg.
The prize-money accompanying the Bremen Literature Prize that he had received for his work of prose Frost enabled Bernhard to to put down a deposit to buy the run-down farm Obernathal2 through the estate agent, travelling salesman and businessman Karl-Ignaz Hen netmair. In EinJahrmit Thomas Bernhard, in "das no tariellversiegelteTagebuch, Hennetmaier" describes in great detail the experiences, discussions and drives that he undertook with the author in the course of a year.
Hennetmaier located other pieces of land, houses and antiques for Bernhard. The author immortalised him in the figure of estate agent Moritz in his autobiographi cal work of prose "YES, 1978". Here the writer sums up his arguments for settling in Ohlsdorf – that he could survive only in the country for reasons of health, suffering as he did from a lung disease and looking for solitude for his work. Rarely has the purchase of a house such far-reaching consequences in literature.
In 1971 he bought a house on the Grasberg near Rein dlmühle, the "Krucka" as it was known, a steep proper ty in the typical style of a farmhouse. Bernhard also helped with the renovation work – occasionally mowing
the lawn. A year later, in 1972 he purchased a house in Ottnang am Hausruck, that would become the poet´s final refuge and workplace.This is where he wrote the aforementioned play "Heldenplatzin autum 1988". Mean while the property, once the poet´s home, has become a museum with a workplace for creativity in the form of a dialogue for scientists and artists in residence. The museum and the Bernhard House are manaed by the Bernhard Nachlassverwaltung G.m.b.H.
The "four-cornered" farmbuilding in the Traunviertel region – "my four-cornered work prison" (Die Presse, Vienna 24/12/1965) - Bernhard´s house, an authentic place to engage with the author, is worthy of pro tection. In terms of architecture, it is a classical, plain functional building from the region of the Al pine foothills. The historical, artistic and cultural significance of the building known as "Der Bauer zuNa thal" is due fact that this place was the centre of the author´s engagement with culture and aesthetics.
Once a ruin, the property with his extensive resto ration and furnishing work put the poet under pressure to write. The crumbly state of building became both a challenge and an obsession. The antiques items of furniture collected by the author become part of an aesthetic system as poetic symbols. As authentic mate rial the house´s furnishings form a counterpart to his literary work.
Knowledge of Bernhard´s world and his locales draws our attention to the real topography of the region. Geographical spaces and special places in Austria and other countries play a key role for the author and his work. The immediate surroundings find expression in the description of his "inner landscapes", the overlap ping aspects of meaning in his literary world: hous es, buildings, landscapes. The presence of tools and utensils in his house such as the cider-press or rooms such as the "pig sty" characterise the atmosphere in
his books. Over the years the house gradually changed with various additions to its rural setting becom ing a place comparable to a nobleman´s country seat. Old deeds in the form of prints and pictures, above all portraits for example of the emperor Joseph II., the picture of the philosopher Arthur Schopenhauer or a portrait of a "pupil" adorn the walls, forging bi ographical links or alluding to Bernhard´s education al outlook. His mindset is also reflected by the style of décor: primarily josephinian-biedermeier, neoclas sical antiques. The artist subjected certain items of furnishing to a strict artistic will, for example the ceiling light, floor and table lamps, wardrobe and even the smallest items of everyday use, even design ing some of them himself ("Every detail was lovingly fashioned – I said – with the greatest sensitivity and artistry; even minor features were executed with the utmost taste, Extinction, p.167).
The biographical background of his prose and plays is characterised by disastrous conditions in the war time and the post-war periods. Born as an illegitimate child of Herta Bernhard (1904-1950) in Heerlen in the Netherlands on 9 February 1931 his development was ac companied by a sense of being unloved. In addition he suffered from a severe lung condition. Striving for authenticity Bernhard formed literary images of his early life in autobiographical books: An Indication of the cause, 1975, The Cellar: An Escape, 1976. Breath: A Decision, 1978, In the cold, 1981 and A Child, 1982.
Bernhard´s image of Austria, the sentiments that he expressed all his life against the state were the re sult of slights and hurts that he had experienced early in life.The landscape of his childhood, Seekirchenam Wallersee in the Flachgau area of Salzburg plays an important role as biographical and literary "Bernhard place". In the autobiographical account A Child Bern hard reconstructs the happiest years of his childhood between 1931 and 1935 in the idyllic rural setting of
the Hippingbauer farm. The author´s grandfather Jo hannes Freumbichler, born in Henndorf in 1881, was a major influence. In Breath Bernhard describes the crucial sense of security that he found in his close relationship with his grandfather - "grandfathers are our teachers our real philosophers" (A Child, p.10). They were- he said – two people of "existential im portance" in his life: his grandfather and his "Leb ensmensch" Hedwig Stavianicek, his companion and con fidante of several decades. It was his grandfather who had given him an appreciation for philosophy – for "the highest, the very highest" – and who was formative for his development as a writer.
After Thomas Bernhard´s death in 1989 his literary estate was collected and safeguarded by his broth er Dr. Peter Fabjan. In summer 1998 when the Thomas Bernhard-Private Foundation was established with an international Board of Trustees representing the work in Austria and abroad. It was created a model for scientifically qualified and coordinated research and for reviewing his literary estate.In the context of the scientific review a digitalisation of his estate is currently carried out by the Academy of Science in Vienna.
Jorasanko Heritage Hub:
Preserving the History of Renaissance Bengal
The Bengalis are a major Indo-Aryan ethnic group who live across two regions: the state of West Bengal in Eastern India and Bangladesh. After the Han Chinese and the Arabs, the Bengalis make up the third largest ethnic group in the world. The region has a recorded history spanning 4,000 years and has been the nucleus of various historical events that have shaped India and South Asia. Over the centuries, the region has experienced Hindu ruled dynasties like the Pala and Sena, as well as the subsequent Muslim rule of the Bengal Sultanate. Finally,the region came under the rule of the British East India Companyin 1690. Cal cutta, as the British called the city, was the capital of British India from 1772 to 1911 untilitmoved to New Delhi. The new capital became the Empire's second largest city after London and was aptly renamed "City of Palaces".
By the 1850's two distinct cultural landscapes charac terized the city: the Black Town in the southern part of the city, which was inhabited by the rich, native, Bengali gentry and the White Town in the southern part of the city, which was primarily inhabited by the Brit ish. It was the northern city that nurtured and devel oped the Bengali cultural identity over time to become a unique cultural landscape, which today is considered a heritage zone. Even a couple of decades ago the city scape displayed the following features:
1. Unique, close-knit neighborhoods called "Paras":These residential areas with old houses on narrow lively streets forged a strong sense of com
munity with clubrooms (club "ghar" or room), club culture andannual festivities like the "pujas".
2. Free, intellectual discourses called "adda": These leisurely, informal chats are usually held in "rowacks" (porches) and at teashops that sell tea in small earthern cups called "bhars". The chat sessions usually took placein the early morning or evening after workinthe narrow streets and added color to the Bengali life. With the rise of swanky apartments and glitzy shopping malls the "para" culture is quickly waning.
During the 19 th and early 20 th centuries, the northern part of the city was also the setting of a socio-cul tural movement popularly called the Bengal Renaissance, which was rooted in the intellectual Bengali class. The movement began with Raja Ram Mohan Roy (1775-1833) and ended with the first non-White Noble poet laure ate, Rabindranath Tagore (1861-1941). It changed the socio-cultural matrix of the region and subsequently spread to other parts of India. The movement gained eminent leaders like spiritual guru Swami Vivekananda, scientist and polymath Jagadis Chandra Bose and edu cator Vidyasagar.By questioning existing orthodoxies, particularly with respect to women, marriage, the dow ry system, the caste system and religion, the Renais sance sparked the country's transformation from the 'medieval' to 'modern' and had immense impact on the independence movement from British rule. Today, a few museums dedicated to these prominent figures continue to preserve the spirit of the Bengal Renaissance. Some of these museums include:
* Ram Mohan Roy Memorial Museum
* Rabindra Bharati Museum
* Swami Vivekananda Ancestral House and Museum
* Bangiya Sahitya Parishad Museum
Ram Mohan Memorial Museum
books, commemorative artifacts, paintings, sketches, antique furniture and dioramas. The death mask of Ram Mohan is also an important exhibit in the museum. The museum also depicts the style of living at that time through the display of period furniture. The era is recreated in exact detail.
The museum is dedicated to the father of the Bengal Renais sance, social reformer Raja Ram Mohan Roy (1772-1833), who was an important person in the history of the nation. The residential house, a three-story building designed in colonial, Grego rian style was later converted into a museum.It is exclusive ly dedicated to the great man. The museum consists of sketches, photographs, paintings and ex cerpts from the writings of Raja Ram Mohan Roy. The exhibits in the museum have six categories:
The museum has paintings of "Sati", a practice of burn ing wives in the funeral pyre of their husbands, which was later banned by the renowned artist B. Solvyns. There are also paintings and sketches of contempo raries of and successors to Ram Mohan in the 19 th cen tury, notably Prince Dwarkanath Tagore and Tarachand Chakraborty.
The museum presents several pictorial depictions and dioramas of Ram Mohan's ideals, his life and works and also some significant historical events of that period. Together the displays not only give us a glimpse into the life of one of India's greatest sons, but also bring to life an important period in the country's history.
Swami Vivekananda's Ancestral House and Cultural Centre
a Grade-I Heritage Building.It has been developed into a Museum named, Vivekananda Museum.
Swami Vivekananda (1863-1902) was a Hindu monk and chief disci ple of the great Bengali mystic Sri Ramakrishna. His main con tribution was the introduction of Vedanta and Yoga to the western world. His teachings moved the world and helped lay the foun dation of a new religious order. Swamiji's speeches and writings nurtured the cultural identi ty of the Bengalis. Built by his great grandfather, his ancestral house is now overshadowed by ur ban growth and has been declared
Through displays of the various events of Swamiji's pre and post-monastic life, the Museum has spread valuable education to people, especially students.Currently, Vivekananda's ancestral home houses a museum, a re search center, a memorial shrine, a library, an En glish center, a computer-training center and a chari table dispensary. Seminars, conventions and discourses on spiritual issues are also regularly organized at the museum.
Rabindra Bharati Museum
His father, Debendranath, was also as a social reform er. Other members of the family were illustrious in both the fields of art and literature.
Dedicated to the poet, philoso pher, visionary and first Asian to win the Nobel Prize for litera ture,Rabindranath Tagore (18611941), the museum continues to have a profound effect on Bengalis throughout the world. For three successive generations the mem bers of the Tagore family occupied leading positions in the country. His grandfather,Dwarkanath, was a contemporary of Ram Mohan Roy and was instrumental in starting the Bengal Renaissance movement.
The Rabindra Bharati Museum, founded in the 217 yearold ancestral home of the Tagores and popularly called the Jorasanko Thakurbari, not only highlights the life and works of Rabindranath Tagore, but ofthe other fam ily members as well. It also focuses on the prominent figures that led the Bengal Renaissance movement like Raja Ram Mohan and Vidyasagar who contributed to the golden period of modern India.
The museum, which was inaugurated in 1961 by India's first Prime Minister Pandit Jawaharlal Nehru, marked the 100-year anniversary of Rabindranath's birth. It consists of the following displays:
* The life and activities of Rabindranath are rep resented by his personal belongings, paintings and a wide variety of documents and publications;
* Contributions by other members of the Tagore family;
* Exhibits on the period in the 20 th century known as the Bengal Renaissance.
The collections of the museum have amassed for over almost half a century and include:
* Archival documents: Including letters and manu scripts of the Tagore family and other contempo rary men of importance, charters and maps;
* Paintings: By various artists of the Tagore family (Rabindranath, Abanindranath, Gaganen dranath), as well as other examples of Bengal and Anglo-Indian schoolings, which flourished during that time.
* Photographs: Primarily of Rabindranath and other members of the Tagore family.
* Discs, Tape Recordings and Spools: Containing voice recordings of Rabindranath and other emi nent people of the time;
* Personal belongings: Of the poet-philosopher and other members of the family;
* Collection of books, manuscripts, furniture, mu sic and other materials associated with the Tago re family, especially Rabindranath.
Bangiya Sahitya Parishad Museum (Bengal Literary Society Museum)
Established in 1893 during the time of British Raj, the goal of the institute was to promote Bengali lit erature, both by translating works in other languages to Bengali and by promoting the production of origi nal Bengali literature. This historic landmark in the northern part of the city was the symbol of the Ben gal Renaissance in the 19 th century. The Bangiya Sah
Bankimchandra andRam Mohan Roy's turban. Vidyasagar's reading table and personal collection of books in more than 26 bookshelves are alsoimportant collections of the museum.Among the other artifacts displayed are the diaries of Sister Nivedita and the letters of Michael Madhusudan Dutta and Swami Vivekananda.
itya Parishad Museum bears relics of the rich cultur al legacy and tradition al heritage of Bengal. It stores rare and unique an tiquities including thou sands of gold, silver and copper coins from Gupta, Sakya and Pala dynasties. Among the prized posses sions is the chair used by
The Shreekrishna Kirtana, the oldest available example of the Bengali scriptand the first illustrated manu script of Annada Mangaform a significant part of the collection. The 114-year old institution also possess es Tibetan scrolls. The museum has about250,000books and thousands of letters and manuscripts. The museum and gallery, which cover an area of 3,000 square feet, showcases ethnic crafts, stone works, wood works and metal crafts ranging from the 1st century to the 17 th century, as well as art displays from the 18 th and 19 th centuries collected from various districts.
The Joransanko Heritage Hub
Literary museums are powerful places and unlike many other kinds of museums are often a combinationof the real and the metaphorical. They offer a unique scope, which leaves an unforgettable mark in the human memory. It is amazing that within walking distance of less than 40 minutes starting from the Jorasanko Thakurbari ex ists a major piece of Indian history. In these museums, which are predominantly literary in nature,Indian his tory is preserved and disseminated through thoughtful displays and exhibits.A casual afternoon walk through this heritage hub will enlighten an enthusiast about the Bengali tradition and abouta golden period of In dia's history. Along with other museums located near by, like the Acharya Bhavan, which is dedicated to the great scientist Jagadis Chandra Bose and Sister Nive dita Museum;this area is truly a heritage zone that sustains the spirit of the Bengal Renaissance.
[email protected]
Lika Mamatsashvili, Tbilisi, Georgia
Aleksandre Roinashvili: Photographer, Philanthropist and Collector of Museum Artifacts
The first Georgian photographer, chronicler of history, founder of the first travelling museum in the Cauca sus, philanthropist and collector of museum artifacts, Aleksandre Roinashvili, was a distinctive person with multiple interests. His rich photographic legacy re mains a desired subject to be studied and researched.
In the nineteenth century, despite the hard political condition in Georgia, any scientific, technical or ar tistic innovations were of great interest to society. Photography in Georgia began by the masters who cap tured images via mechanical. These photographers main ly came from Europe or Russia and most of them were working in Georgia.
It was through photography that the country was able to have such a rich archive of its history. Prominent photographers included: Aleksandre Roinashvili, Dimi tri Ermakov, Vladimer Barkanov, Edward Westle, Dimitri Nikitin, Edward Klar, Nikoloz Sagaradze, Konstantine Lortkipanidze, Ilia Abuladze, Vasil Tskhomelidze, Da vit Abashidze, Arutin Shakhbazian, Vasil Roinashvili, David Guramishvili, Kote Zanisi, Boris Mishchenko, Za karia Labauri, Sergei Margulov and Nino Jorjazde who was the first woman photographer.
The interest in photography was great. The photogra phers who came from abroad chose talented young people from the local communities as apprentices. Beginning in 1866, in the center of Tbilisi on Golovin Avenue in the house of Prince Mukhraneli, the famous artist and photographer, Fiodor Khlamov, conducted photogra phy classes for talented, young students. He taught
the first Georgian photographer Aleksandre Roinashvili (1846–1898), who has greatly contributed to the devel opment of Georgian photography. Aleksandre Roinashvili created the Georgian-Caucasian photographic record, which includes historical monuments, portraits of fa mous and everyday people, and photos depicting their lifestyles. He was a member of every cultural and pub lic organization in Tbilisi. In addition, he supported and helped to develop Georgian theater while capturing everything in photographs.
Aleksandre Roinashvili actively participated in the founding and development of libraries and schools in Georgia. He also collected antiquities such as Geor gian armor, copper and silver containers, artifacts, as well as archaeological and antique objects. Aleksandre Roinashvili fought for the restoration of traditional needlework and employed women artisans. He also pub lished articles about Georgian-Caucasian ethnography, archaeology and The Georgian National Museum.
Aleksandre Roinashvili was the first to give national importance to the art of photography. He was also the first to open a boarding school where the students could live and study photography for free.
From 1880 to 1888, the antiquities collected by Alek sandre Roinashvili became so popular that he was chosen as a member of the St. Petersburg Imperial Archaeolog ical Society. Under their request, he created albums of various sights and portraits. He was granted the highest imperial award as a result of his work. During that period, Roinashvili created a travelling museum with exhibitions and catalogues where the Caucasian antiquities were shown with stereoscopic effect. With the museum, he travelled to Astrakhan, Saratov, Sama ra, St. Petersburg and Moscow. He tried to establish The Georgian National Museum and commissioned the ar chitect Peter Shtern to design the project. He print ed the proposed project on postcards and distributed
them to the people. Unfortunately, this project was unfinished as Aleksandre Roinashvili suddenly died at fifty-two years old. He donated all his property, an tiquities, and negatives to the Society for the Propa gation of Literacy among Georgians. According to doc uments preserved in the State Archive of Georgia (fund #481, case 667, page 60), the photos, negatives and equipment, were given by Ekvtime Takaishvili and Simon Pirtskhalava, the heads of the society, to the photog rapher Dimitri Ermakov. In exchange for the materials, he was obliged to print one copy of each negative and give it to the society.
In addition, there are other documents that show Dim itri Ermakov addressed the Society for the Propaga tion of Literacy among Georgians on November 12, 1912, (Georgian State Archives: fund #481, description 1) to request the inexpensive purchase of Roinashvili's equipment.
The Propagation of Literacy among Georgians became the owner of Aleksandre Roinashvili's legacy after his death. His photography workshop continued, but not for long, as it was quickly rented out to photographers and later to merchants. A list with descriptions of the Roinashvili's property survived and an analysis of this list made at the time of Roinashvili's death and in 1905 as well, revealed that many objects had gone missing.
The Society of Amateur Photographers' first meeting was held under the leadership of Aleksandre Roinashvili in his studio in Tbilisi in February 1895. The goal of the society was to support the teaching of photography and its use in various fields. They also aimed to create a photo laboratory to procure equipment and to collect photographs to exhibit. The Society of Amateur Photog raphers managed to put on a small exhibition in May of 1895. The subject of the exhibit was city views, build ing interiors and snapshots by hand-held camera on
city-life. The exhibition was deemed a success. Lat er, the Society of Amateur Photographers organized an extensive exhibition in the Military Museum on April 23, 1897, where photographic technique and photographs were presented together. The exhibition had many visi tors who wished to purchase photographs, but they were not for sale. The exhibition commission awarded par ticipants 18 medals and 13 certificates for their work. The chairman of the society D. Korganashvili, as well as Aleksandre Roinashvili were also awarded. The gold medal was given to Sergey Margulov, the head of the photo lab; Eduard Klar won the silver medal. This ex position was a summary of the achievements of Georgian photography. Other exhibitions were held at the begin ning of the twentieth century. These also contribute to the development of photography in Georgia.
Pursuits in Georgian photography began with Aleksan dre Roinashvili and had worthy successors in differ ent Georgian cities such as: Kutaisi, Telavi, Gori, Akhaltsikhe and Abastumani. Aleksandre Roinashvili's heritage includes his cultural contribution, as well as large collection of museum artifacts that were all left to his country. He was one of the first to realize the purpose of museums and of education. Thanks to his travelling, Caucasian Museum, he informed different societies about the Caucasian, European and Eastern culture and lifestyle. As a result of Roinashvili's initiative, Arabic, Persian, Jewish, Chinese, Jap anese, Roman and Spanish objects extracted on the territory of Caucasia are protected in his collec tion. Such discoveries resulted in great research. Aleksandre Roinashvili purposefully collected the ob jects and created a photo archive for a visualiza tion of history. A greater part of his collection was researched and written about in published works. In 1895, Aleksandre Roinashvili wrote in the newspaper Iveria (#25), "…A museum is like a special mirror, in which you look to go elsewhere while your image re mains in the mirror. In thousands of years, the gen
erations to come will see their ancestors, how they looked, what they were capable of doing and what they had actually achieved…"
Alexandre Roinashvili was not only an innovator in the museum field. His name is also associated with the creation of the professional school of photography in Georgia. Photography continued to develop thanks to the traditions that he introduced before his death.
Alexandre Roinashvili created the Georgian-Caucasian records and bequeathed these unique materials, as well as the collections mentioned above, to the Georgian nation. For all of his achievements, Alexandre Roi nashvili was buried at the Didube Pantheon of Public Figures thanks to the initiative of Ilia Chavchavadze who is one of the founding fathers of modern Georgia.
Roinashvili often held consultations with profession als who took an interest in his work. Examples in clude, Dimitri Bakradze and Aleksandre Khakhanashvili and Professor Anuchina who highly praised Roinashvi li's work in the newspaper,Russkie Vedomosti. Many professors have expressed interest in buying valuable items from his museum. In addition, Mr. Nikolsky, the secretary of the Archeological Community, studied the Assyrian inscriptions on a little stone of marble be longing to Roinashvili and invited him to the meeting of the Archeological Community in Moscow. He brought many valuable and rare objects to the meeting. These objects show the connection between the Caucasus and India, China, Egypt, Assyria, Greece, Rome and West ern Europe. His collections include coins from the Roman Republic, Greece, Switzerland, Germany, Saxony and Italy. There are also coins from seventh century Persia, as well as Jewish, Armenian, and Russian (from the Romanov period) monetary units. He also collected ancient coins depicting pagan images like the coin of Queen Tamar, which depicts a scale, a globe, a scepter and a crown. There is also a coin from the Tatars with
a Georgian emblem. When you see the collection, one can only appreciate it.
Aleksandre Roinashvili's travelling Caucasian Museum can be considered as one of the first private museums in Caucasia and was an indispensable educational mis sion. His photography, as noted above, has historical significance and artistic value. These materials speak to Georgia's comprehensive, national culture of Geor gia.
Dmitry Bak, Moscow, Russia
Literary Museums Today: Definition, Status, Prospects
In the summer of 2014 the State Literary Museum first introduced its Encyclopedia of Literary Museums of Rus sia. There is a certain logics to the fact that it was the State Literary Museum that started compiling the encyclopedia. The State Literary Museum is the larg est field-oriented museum in the Russian Federation. It celebrated its 80 th anniversary in 2014. More than ten homes of famous Russian authors from Dostoyevsky and Chekhov to Pasternak and Solzhenitsyn are incorporated in the structure of the State Literary Museum. Apart from this, the State Literary Museum's complex in cludes more than ten facilities that store collections of manuscripts, books, pictorial and graphic arts, audio recordings, arts and crafts and other artefacts connected with the lives and work of Russia's literary figures of different epochs.
The first problem we encountered was the absence of a clear, generally accepted list of literary museums. The reasons for this indefiniteness seem quite appar ent, they are diversity of institutions due to varied museum subordination (federal, regional or municipal), significant differences in the positions of state-owned and private museums, absence of distinct difference be tween independent literary museums and museums within the structure of other institutions both museum-ori
ented and others (libraries, institutes, companies).
Thus, at the very start of the execution of the proj ect its authors came across the fact that the idea is not only to publish the encyclopedia or, rather, in a wider sense, the project is not only of informational
nature. It became evident that for thorough compila tion of the encyclopedia of literary museums it is of necessity to come to a certain agreement about termi nology, reach a consensus on defining the very notion of a literary museum. Since the first introduction of the project we have hosted more than ten events i.e. presentations, round-table talks, discussions not only in Moscow and St. Petersburg but in other cities and towns such as Omsk and Ufa. Let me introduce you to some of the thoughts and ideas that emerged during the discussion of our project.
1. Literary Museums and the History of Literature
There is a most important distinction between literary museums and art galleries. Since the beginning of the history of art in its modern perception, that is, for instance, since the release of Giorgio Vasari's Lives of the Most Excellent Painters, Sculptors, and Archi tects (1550) museum collections have not only been places for public contemplation of world art treasures but at the same time a certain means of separating those from a vast majority of works unable to claim so high a status. It was Vasari who started analyzing schools and trends in art instead of giving techni cal descriptions of works of art that were of purely 'productive' character and came from different work shops. For a modern person the high artistic value of Ghirlandaio's and Cranach's workshops is as evident as their commercial status was for the masters' contempo raries: they were successful, they produced 'fashion able' products in high demand and they made profits. I would like to point out once again that the inclusion of works of certain artists in prestigious private or public collections for public contemplation directly signified their artistic value. These considerations might sound trivial as any pupil knows that a painting acquired by the Tretyakov Gallery or by the Museo del Prado immediately receives a special status and high market value. However, if one goes back to the previ
ously mentioned difference between museums of art and literary museums the speculations mentioned above will no longer sound trite.
Both an art gallery and a big museum dedicated to the work of a writer are considered to be museums. However, unlike art galleries, literary museums are by no means tools of making the history of literature. I want to be more straightforward here: as a rule a literary muse um of a writer is founded post factum, after the high status of the writer is established. Although here we cannot elaborate on the ways of 'canonizing' writers' works and reputations as well as on the signifiers of the status of a classic, I would like to remind you that in recent years hundreds of papers by literary historians in Russia and other countries have been dedicated to the patterns of building literary canons. For our purpose, let me just enumerate some of the men tioned signifiers: recognition by literary critics, the number of copies printed and sales results, introduc tion to school curricula and official state ideological doctrines and so on.
Summing up, art galleries make the history of art whereas the history of literature is built aside from compiling museum collections. Why does this happen? The reasons seem quite apparent, although until now they have not been sufficiently reflected in scholarly re search or legislation. The difference may be explained by the fact that the primary intention of a painting as a form of art coincides with the primary intention of exhibiting art works in museum collections. A painting and an engraving are created for people to carefully contemplate them. The process of natural perception of the work of art is of the same nature as contem plating it in a museum. With literature the situation is completely different; its natural perception has nothing to do with exploring collections of liter ary museum: one's impressions from reading The Divine Comedy or Eugene Onegin are hardly comparable to the
impressions of a museum visitor who sees quill feath ers, manuscripts, or pieces of Dante's or Pushkin's attire. There is more to say, if a person has not been impressed by the literary works of a certain writer, for him it is no use visiting the writer's museum.
2. A Contemporary Literary Museum: the Strategic Tra jectory of Development
One of the primary concerns of the contemporary lit erary museum is that of acquiring expert functions, i.e. the status of a 'collective' tool that will have a direct impact on shaping a historical literary per spective. As a result of such a change, first, the cultural functions of the literary museum will become closer to those of the art museum, and second, the gap between the time of creative work of a writer and the moment of his historico-literary canonization will be narrowed. This canonization implies both a possibility and a necessity of museumification of memorial plac es connected with the writer's life and works as well as of his/her personal belongings. The acquisition of the expert functions by museums is a real challenge as cases of establishing museums of contemporary writers (either ones who passed away quite recently or liv ing) are quite rare. Talking about Russian experience, one could probably mention only a few cases that took place quite recently: the establishment of the Joseph Brodsky museum in St. Petersburg, the museum of Vasily Belov in Vologda and the branch of the State Literary Museum – the Aleksander Solzhenitsyn Museum in Kislo vodsk.
Acquiring the expert status by the literary museum will broaden its specialty. The basic lines of work of the literary museum have traditionally been as fol lows: the acquisition of new objects for the museum collection, the maintainance and preservation of ex isting objects (including restoration and storage in the proper conditions), displaying them in permanent
or temporary exhibitions, conducting research on col lection items and, most importantly, hosting cultural and educational events connected with displays of the museum objects. The latter gives the museum new pow ers to become an expert authority to shape the history of literature. This entails not only to consistent ly hosting readings and recitals featuring contempo rary poets and writers but also professional discus sions among specialists of cultural studies, literary scholars and critics who specialize in contemporary literature. This line of work of the State Literary Museum has been developing rather quickly, the museum has launched a lot of projects aimed at confirming its status as an experimental venue where literary repu tations of contemporary writers are being built and revised. 1
The extension of the cultural functions of a literary museum will lead to a significant and controversial re sult. The cohesive and seemingly once and for all built history of literature which has a form of cause-effect successive relations between admittedly established classical writers will become controversial, dynam ical, 'living' and involving parallel languages of description (discourses). This being said, it becomes evident that, on the one hand, not a single reputation created in the past is considered to be solid but, on the other hand, today's literature becomes capa ble of building logical, cause-effect related history. In such case, the very definition of a literary museum is no longer of a steady character.
1 The phrase 'literary reputation' in this case is a term, a tra ditionally excepted historical literary notion which dates back to the works by I.N. Rosanov and means a canonized resulted of three notional vectors: intentional and sensible efforts of the author himself to build a certain reputation, the critics' reasoned opin ions and judgments about the author's works as well as signifiers of canonization established in the history of literature (the number of printed copies and introduction into school curricula)
3. Approaches to Contemporary Definition of a 'Literary Museum'
While making a list of future articles of the Ency clopedia of Literary Museums of Russia we encountered a great diversity of today's museums that consider themselves literary ones. The difficulty of compiling the encyclopedia lies not so much in different museum subordination or the subdivision of museums into pub lic and private ones as it has been stated earlier nor in the fact that not a single public institution or an aggregation portal gives a final, generally accepted list of country's literary museums. This problem calls for a more sophisticated analysis. In the present day it is hardly possible to refer a certain museum to the category of literary museums as the very definition of a literary museum needs to be revised. According to contemporary scholarly standards a museum is a cul tural establishment that holds museum objects or col lections. As for museum objects, those are defined as items, real estate or territory of a certain cultural and memorial value and, most importantly, of mundane, public or cultural use. For example, a memorial quill of a writer becomes a museum object only after it has stopped performing its primary function i.e. from the moment when it receives a memorial status and is no longer used as a quill to write texts. The same happens with a memorial flat of the writer N.N. which receives its museum status on condition that the premise in question is occupied neither by the heirs nor by other individuals. It goes without saying that there are ex ceptions to the rule. For instance, some rare musical instruments (such as violins by Stradivari or Guar neri) may be used according to the intended purpose with the consent of the competent bodies. However, the exception proves the rule. And the rule turns out to be a cultural paradox. On the one hand, an object is valu able to the museum because of the cultural functions it performs (i.e. it was used by a famous writer). On the other hand, having become the property of a museum, the
object no longer performs the intended function; it is forever withdrawn from the natural course of time and is found to be in some sort of cultural vacuum.
Contemporary museum theory developed and became rel evant at the end of the XIX th century when positivism in philosophy and science predominated. At that time scholars systematically renounced 'metaphysical', te leological cultural theory; it was believed that ob jects, events and phenomena could forever be equal to themselves and deprived of a chance to meaningful de velopment be that in scholarly reception or cultural practices.
Shall we say that today a great number of experts, museum societies and establishments agree upon the fact that museology is a fairly conservative branch of science and has not taken into account any partic ular developments which have taken place in different branches of science? Russell's neopositivism, Witt genstein's analytic philosophy, M.Block, Febvre and Braudel's Annales School, Saussure's study of langue and parole, semiotics from Peirce to Lotman, the the ory of structuralism from Lévi-Strauss to Barthes, Benjamin's and Althusser's Neo-Marxism… This list of scholarly traditions of the XX th century whose history should be applied in museology is to be continued. The ideas and approaches of Russian scholars Nikolai Fyo dorov and Nikolai should be mentioned here too.
But let us turn from high and abstract theory to the practice of contemporary literary museums, or rather, to the difficulties we encountered compiling the list of museums for the encyclopedia. There turned out to be two types of establishments that claim themselves to be literary museums: traditional museums once founded by the government to store and exhibit memorial ob jects and premises, on the one hand, and, on the other hand, establishments that do not have items listed as memorial objects or collections but tend to be called
literary museums. Those are diverse institutions that focus not so much on displaying collections and build ing traditional expositions but on events and cultural projects that involve modern media technologies. If we are committed to traditional views and definitions the second type of the establishments in question cannot be included in the Encyclopedia of Literary Museums of Russia. Still, there is no doubt that such establish ments are of great interest to visitors and are always able to set up interesting projects. However, they do not hold authentic memorial objects hence should be referred to as no more than initiatives of commercial nature that stand aside from scholarly principles and are not capable of performing museum functions. The establishments in question are transitory, they focus on iconic literary characters and mainstream ideas about the lives of different writers and, for that matter, not so much on culture but, rather, on dreams about culture. Let us try and set aside all the formal ity of museum positivism. If we have a closer look it will become clear that traditional, conservative lit erary museums work not with objects and facts of solid cultural status in the first place but with 'transito ry' mental structures, a set of canonized ideas about lives of writers.
Take the famous Russian writer Maxim Gorky whose 150 th anniversary is to be celebrated in 2018 for example. Today there exist several versions of his biography and literary reputation. During soviet times when ev erything was named after Gorky – the city, streets, institutions, and organizations – a certain canon of Gorky's biography was formed. Maxim Gorky was a pro letarian writer who came from the underclass of Nizhny Novgorod and described the lives of vagabonds in his earlier works. Yet, at the same time, Gorky was the author of the 'quite timely' (according to Lenin) so cialist novel Mother, the great Ilyich's companion, the pioneer of the first Soviet Writers' Congress, the founder of the USSR Union of Writers, the creator of
socialist realism method in soviet literature. There is hardly any space left here for other facts that might help to build an alternative, hidden biography as opposed to the official one. According to the former Gorky is a Nietzschean, a writer who is well-known in Europe, a political refugee, Lenin's opponent, the ad vocate of the 'old-school' writers who nearly managed to save Gumilev from execution and, the last but not the least, the author of a series of articles Untime ly Thoughts (1918) that were never published during the soviet period and were only available in samizdat versions. The question is how does one approach and recreate the true image of Maxim Gorky on the verge of the author's anniversary and if it is even possible to bring the two alternative biographies together. It be comes obvious that this issue is vital, and yet, impos sible to approach if we only rely on memorial objects and straightforward facts based on positivist ideas.
I would like to make an assumption that a contemporary literary museum should be able to work with dynam ic, constantly changing ideas about writers and their works, which has long been done in practice, instead of a mechanical rendering of ready-made ideas, clichés and interpretations based on memorial objects in a fa miliar setting and admittedly outstanding (important, brilliant) works.
Roughly speaking, the traditional definition of a lit erary museum based on positivist ideas that has long become obsolete is incorrect twice:
First, it stems from an erroneous idea that the high status of a certain writer, his reputation as a classic writer are earned objectively and immediately as a re sult of solely the admitted brilliance of the writer's works. The algorithms and mechanisms of canonization mentioned above – publishing and editing practices, interpretations by critics, being involved in ideolog ical political bodies, inclusion into state curricula,
and, lastly, the establishment of museums – are not taken into consideration here.
Secondly, a canonized idea about a writer that once emerged and is made solid becomes of purely historic interest for researches and if it is withdrawn from up-to-date cultural context or if it is still being modified, the changes are serious but hidden.
Of course it would be not right to consider the two points that show that the traditional definition does not agree with contemporary scholarly beliefs are ut terly wrong. In scientific terms, the two principles mentioned are necessary but insufficient for giving the appropriate definition to a literary museum.
A contemporary literary museum that claims its col lections and expositions to be a relevant part of the cultural whole and to make real contact with people of different social statuses and age groups ought to work not only with static cultural signs and ideas found in museum objects and expositions but with dynamic processes where new senses emerge and the canoniza tion (or decanonization) in the course of the future development takes place. A remarkable example of such a literary museum is the Schiller National Museum in Marbach am Neckar in Baden-Württemberg, Germany. The museum is based in a memorial house where the writer was born. The collection is build in quite a minimal istic manner due to the limited amount of preserved memorial objects. This is basically the kind of museum that appeals not for museum objects but the history of the image of the writer. According to the works of Thomas Schmidt, the curator of the museum and one of the heads of the Archive of German Literature, there may not be a 'ready-made' cultural identity of a writer for the museum to render. According to Thomas Schmidt one can only speak about the so-called 'staged' iden tity while the nature and character of a museum's work depends solely on a certain variant of this identity.
Thus, while working on the Encyclopedia of Literary Museums of Russia we encountered a number of serious issues. The basic one is the fact that the generally accepted definition of a literary museum doesn't agree with the level of development of the present-day Arts. The first discussion about the possibility of work ing out a new definition took place in October 2015 in Tbilisi in the course of the session of International Committee for Literary Museums (ICLM).
Today the discussion is continued and, perhaps, the time has come to address ICOM's official bodies and stress the importance of correcting the key definition considering the theses introduced in this paper.
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Diagram of the "Picture" of the AMP
(This is the mix of benefits from the EIS/ROD referenced in the Guidance Document.)
Pre-EIS Conditions → EIS / ROD → Water Benefits
Other Authorities → Power Benefits
Park Values
The other authorities referenced in the GCPA add to the protection of park values, and address physical activities or management policies.
Key Talking Points for the TWG meeting
1 - Mandate of GCPA is to protect values for which the parks were established (complete EIS, audit impacts of EIS, adopt operating criteria and plans for GCD, exercise other authorities).
2 - NPS interprets park values using authorizations and policies.
3 - These interpretations may strive for retention of natural ecosystems, but must acknowledge that human activities have modified the ecosystem and NPS' ability to preserve the park in a natural condition (existence of the dam and other human uses).
4 - These park values could then form the basis for determining MO target values. These targets should be reasonable, achievable, and work together as a complete ecosystem.
5 - Selection of the MO targets will complete the "picture" of what the canyon should look like.
6 - The revised dam operations (through the EIS/ROD) will contribute toward achieving this "picture", but so will management actions taken under the Secretary's other authorities (non-native fish control, TCD, tamarisk eradication, recreational/visitor use). Use of these other actions contribute to the goals of the ROD, but may also provide additional protection granted the canyon beyond that provided solely through dam operations, and may mitigate for any negative effects of dam operations.
7 - Perhaps the next step for the strategic plan is to define an integrated "picture" of the canyon using the MO targets as the mechanism. We should form a small group using the AMWG strategic plan ad hoc group with additional TWG members to develop a "straw dog" of this picture for the TWG to consider and eventually recommend and forward to the AMWG. We have worked on the vision narrative, and perhaps we can use that as a starting point for discussion. Clearly two of the most important resources (chub and sediment) need immediate, additional attention, even to achieve the changes predicted by the preferred alternative in Table II-7. We should work hard to move forward with the Strategic Plan and get to work on protection of these resources.
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Education for Success $1,000 Scholarship
2013 APPLICATION FORM INSTRUCTIONS Application Deadline is July 31, 2013
Award Announcement is August, 2013
Background
The Sacramento County Juvenile Justice Commission (JJC) has set an annual goal of awarding scholarships in increments of $1000 to youth who:
* Demonstrate a willingness to work towards improving themselves.
* Document in writing a positive educational plan for their future.
* Completion of GED or have a received high school diploma during the 2012-2013 school year
* Have need for some degree of financial assistance.
Initiated in 2006, the Juvenile Justice Commissioners voted to take advantage of a Sacramento County Superior Court policy that pays Commissioners $25 per meeting for their voluntarily participating in JJC monthly meetings. It was agreed that all funds paid to the Commissioners would be donated to JJC to support the Education for Success Scholarship Program. The Juvenile Services Council also has generously donated to this scholarship program.
Scholarship Application Process
Minimum requirements to qualify for the JJC Scholarship are that the youth must:
* Be a current resident of Sacramento County
* Be currently or previously involved in the County's juvenile justice system and/or on probation with the Sacramento County Probation Department
* Be under the age of 22 at the time of application submission.
* Submit copy of paperwork substantiating receipt of GED or high school diploma –required
* Applicants expecting to earn a high school diploma/GED by July 30, 2013 may submit a letter from their school indicating the date they expect to receive their diploma/GED
* Submit paperwork documenting pursuit of further educational opportunities such as career technical education, specialized career training, or college
* Submit a letter of recommendation from a support person such as a teacher, school counselor, probation officer or social worker
* Complete the application (see pages 2 & 3 below) – It must include:
1) The applicant's signature
2) A brief essay stating how the applicant could benefit from the scholarship including how the scholarship funds are to be used
3) Copy of high school diploma/GED
3) A signed Public Use of Name Agreement
Applicant should review and complete all three pages of this application form, & submit the completed form, required letter, & documentation no later than the above noted application date deadline.
Scholarship Award and Follow-up Process
Applications will be reviewed by the JJC's Education Committee. The Education Committee will make recommendations to the full JJC and scholarships will be awarded with the majority approval of the JJC. When the Scholarship Awards are announced, the recipient or the recipient's designated representative must be present for the award announcement presentation. Distribution of funds will be completed upon submission by the youth of proof of acceptance and/or enrollment in college, technical school or specialized career training as outlined in the application for scholarship. In addition, distribution of funds will be made in two installments. One installment will be given at a Sacramento County Board of Supervisor's meeting. After receipt of the award, the youth may be asked to make a brief statement about this experience to the JJC. No more than one scholarship from the JJC Program will be awarded to an individual.
2013 JJC Scholarship Application Form
Please fill out this application completely and carefully. Attach additional sheets, letters of reference, & required proof of high school or GED completion. All information will remain confidential and will not be released without the applicant's permission. Incomplete application packets will not be considered.
NAME: __________________________
_____________________
___________
Last
First
Middle Initial
ADDRESS: _____________________________ ____________________ ____ ________
Home Number & Street Name City
State Zip Code
CONTACT: __________________________ PHONE NUMBER: __________________________
(email address)
Best number for contact
_________________ _____________________________________ ____________________
Date of Birth
School (current/last attended)
Date of Diploma or GED
__________________________________________________
_____________________
Sponsor (Teacher/Probation Officer/Counselor/Social Worker)
Sponsor's Phone Number
__________________________________________________
_____________________
Sponsor's email address
Sponsor's Mobile Phone
__________________________________________________________ __________________
If not living at home, name of Foster Parent/Group Home where currently living Foster Parent's Phone #
Length of time in current placement? _______________________
Years/Months
Phone number we can reach you for notification: ______________________
If emancipated, how long have you been living independently? ______________________
Years / Months
Essay Description -
Please attach a brief essay about yourself. This should include the following areas:
A) Describe your current and past situation related to the Sacramento County Juvenile Justice System.
B) Explain what efforts you have made towards improving your life situation (e.g. personal savings, jobs, academic achievements, vocational training, grades, higher education, etc.).
C) Briefly describe your short and long-term goals and how the requested funding will help you attain those goals.
I certify that the above is true to the best of my knowledge.
____________________________
________________________
Signature
Date
Is the Letter of Recommendation signed by your sponsor and attached to this application form?
YES
NO If No, please explain: __________________________________________________
Is a Letter of Acceptance or Proof of Enrollment in an additional educational program attached?
YES
NO If No, please explain: __________________________________________________
Is the Public Use of Name Agreement Form signed and attached to this application form?
YES
NO If No, please explain: __________________________________________________
County of Sacramento Juvenile Justice Commission Attention: Educational Committee C/o Superior Court of California – Juvenile Division 9605 Kiefer Blvd., Sacramento, CA 95827
PUBLIC USE OF NAME AGREEMENT
In recognition of accepting an Education for Success Scholarship from the Sacramento County Juvenile Justice Commission, I,
______________________________ _______________________________
Print Last Name
Print First Name
agree to permit my name to be used in public recognition of this scholarship award.
do not agree to permit my name to be used in public recognition of this scholarship award.
(Agreeing or declining to agree to this will have no affect on the decision to award the scholarship.)
_________________________________
____________________________
Applicant's Signature
Date
PLEASE NOTE: If applicant is under 18 years of age at time of application, a parent/guardian must also provide a signature below:
In recognition of my child's accepting an Education for Success Scholarship from the Sacramento County Juvenile Justice Commission, I agree to permit my child's name to be used in public recognition of this scholarship award.
_________________________________
____________________________
Signature of Parent/Guardian
Date
Or, I do not agree to permit my child's name to be used in public recognition of this scholarship award.
_________________________________
____________________________
Signature of Parent/Guardian
Date
Thank you for your submission.
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Isolation-only Transactions by Typing and Versioning
Paweł T. Wojciechowski
1015 Lausanne, Switzerland
Ecole Polytechnique F´ed´erale de Lausanne (EPFL)
Pawel.Wojciechowski@epfl.ch
ABSTRACT
In this paper we design a language and runtime support for isolation-only, multithreaded transactions (called tasks). Tasks allow isolation to be declared instead of having to be encoded using the low-level synchronization constructs. The key concept of our design is the use of a type system to support rollback-free and safe runtime execution of tasks.
icity, Consistency, Isolation, and Durability) properties of transactions are actually useful for common concurrent programming? How should the enforcement of these properties be efficiently implemented? What new language features are required, e.g. for performing input/output (I/O). How much information can be verified statically in order to decrease the runtime support necessary for running transactions?
We present a first-order type system which can verify information for the concurrency controller. We use an operational semantics to formalize and prove the type soundness result and an isolation property of tasks. The semantics uses a specialized concurrency control algorithm, that is based on access versioning.
Categories and Subject Descriptors: D.3.3 [Programming Languages]: Language Constructs and Features— Abstract data types, Concurrent programming structures
General Terms: Design, Languages, Reliability, Theory, Verification.
Keywords: programming languages, concurrency, type theory, transactions, isolation, declarative synchronization, abstract types, singleton kinds, lambda calculus.
1. INTRODUCTION
Multithreading has become an essential part of modern software systems. Although threads simplify the program's conceptual design and allow parallelism on multiple processors, they also increase programming complexity. Programmers must ensure that threads accessing shared data interact correctly, which is notoriously a difficult task. It is natural to ask whether transactions [32, 2] could be used; they maintain the illusion of exclusive access to the whole data set while permitting concurrent access at a fine level.
While there have been a variety of implementations of transactions (see [7, 8, 33, 14, 22, 30] among others), comparatively little work has been done on rigorous, languagebased approaches to transactions. There are many open questions and challenges: Which standard ACID (Atom-
Permission to make digital or hard copies of all or part of this work for personal or classroom use is granted without fee provided that copies are not made or distributed for profit or commercial advantage and that copies bear this notice and the full citation on the first page. To copy otherwise, to republish, to post on servers or to redistribute to lists, requires prior specific permission and/or a fee.
PPDP'05,July 11–13, 2005, Lisbon, Portugal.
Copyright 2005 ACM 1-59593-090-6/05/0007 ... $5.00.
We consider the above issues in the context of networked applications, which are inherently concurrent. A distinct feature of these applications is that they perform many I/O operations such as sending and receiving network messages; they also demand a high level of robustness and efficiency, with possible timeliness constraints.
In the past, such systems were confined mostly to domains like telecommunications switches, flight reservations and air traffic control. However, today more and more systems have similar requirements, including consumer electronics, and mobile embedded systems. Transactions may greatly simplify their development. Unfortunately, traditional transaction techniques can seldom be transferred from the database to time-critical domain without change; the performance considerations are too different [29, 13, 3].
This paper describes a language and runtime support for isolation-only, local transactions, called tasks. The isolation property [32] (also known as serializability) ensures that the concurrent execution of tasks is equivalent to an execution in which the tasks are serialized. Tasks allow isolation to be declared instead of having to be encoded using the low-level synchronization means.
Contrary to similar constructs for declaring atomic blocks that we describe in §6, our tasks can perform arbitrary operations, including I/O, with the isolation guarantee. The main idea is to avoid the need for rollback at runtime (due to e.g., conflicts on task operations), by tightly controlling the order of such operations and guaranteeing that once started a task cannot run into conflicts. No explicit rollback by the program is allowed.
The isolation guarantee in our language stems from three sources:
* compile time enforcement that each shared data location (or an I/O operation) is protected by a lock and that threads acquire the corresponding lock before accessing the location (or performing the I/O operation); this is based on previous work of Abadi and Flanagan on types for safe locking [9],
* compile time enforcement that requires that all locks to be acquired during a task are declared at the beginning of the task,
* a runtime locking strategy that assigns versions to threads that allow them to acquire locks so that isolation is preserved.
Our approach allows multiple threads within an isolated task. These threads share memory and are not isolated from each other. We describe an implementation of an example networked application that uses multithreaded tasks in §5.
1.1 Design Choices
We can identify several requirements of time-critical applications that also apply to networked applications (based on survey papers [29, 13, 3]):
1. Recoverable executions are not necessary. For critical applications, failures are not tolerable. For those kinds of systems, fault-tolerant techniques such as using redundant hardware and software replication have been developed to reduce the possibility of failure; they are however beyond scope of this paper.
2. No rollback is allowed. Contrary to databases, task operations may not be recoverable. For instance, let us consider a multi-task middleware. Tasks on each machine are executed locally but they may exchange messages over the network with other tasks; the messages are then delivered to any distributed applications built on top of the middleware. Full-scale recovery of tasks in such cases is usually too expensive (it requires some form of distributed agreement [32, 1] between tasks) and impractical (since it would also require the applications to be able to rollback their state).
3. Serializability is sometimes too conservative. Several authors described the limitations of serializability as a correctness criterion (see articles, e.g. [20, 29], for details).
Based on the above requirements, we now motivate and introduce the main features of our language.
Fine-grain, rollback-free concurrency control In our previous work [34], we have introduced (informally) several novel pessimistic concurrency control algorithms for scheduling critical task operations with the isolation property. The algorithms are rollback-free. In §5 we describe an implementation of our language that uses these algorithms.
Roughly, a greater degree of concurrency leads to higher performance. The degree depends on the amount of information available to the concurrency controller. Knowing more information about intended program behaviour, such as predefined patterns of acquiring locks and semantic information about the meaning of data and operation performed, allows one to select an algorithm that permit more concurrency.
In this paper we give a rigorous design of our language, and describe formally the semantics of its constructs using a Basic Versioning Algorithm (BVA). It permits less concurrency than other, more complex algorithms that we describe in [34], but it is more convenient to illustrate a novel hybrid approach that combines concurrency control with typing.
Typing for safe concurrency control Our language has a construct isolated x e, that spawns an isolated task e, where x are the data declared for the concurrency controller. To make the language safe, we propose in this paper a type system that can verify if x is correct; to our knowledge it is the first presentation of a type system for such application.
The type system builds on Flanagan and Abadi's [9] type system for detection of race conditions. We have used their solution to ensure that all accesses to shared data are protected by locks. This guarantee could be relaxed in the
future by refining the type system, e.g. objects known to be immutable need not be visible to the concurrency controller when accessed, and so they could be left unprotected.
Isolation of arbitrary operations (including I/O) Our language allows arbitrary sets of operations to be isolated, including I/O operations such as message output and input. These operations just need to be protected by versioning locks (or verlocks). Verlocks are similar to locks. They however extend the standard locking principle with a runtime locking strategy for isolation preservation. The programmer can therefore use verlocks to declare operations that must be serialized. Operations that are not protected by verlocks are not serialized; this design choice supports the requirement about relaxing isolation, e.g. message receipts in our example application in §5 are not serialized.
Alternatively, (ver)locking could be left as an implementation issue of the isolated construct by letting the compiler to place verlocks automatically. In this paper, however, we keep verlocks as a language construct, as it allows us to explain the semantics and typing rules at the level of detail that is required for rigorous proofs of isolation.
Multithreaded tasks To support cases when isolation is too restrictive, we allow tasks to be multithreaded. Threads are lightweight processes that can communicate using shared mutable data and synchronize (in scope of a task) by acquiring and releasing verlocks (with caution to avoid deadlock); other synchronization means such as monitors can also be used. Individual threads may fork and e.g. start other tasks.
Figure 1 illustrates two concurrent, multithreaded tasks T1 and T2. Execution of each task is atomic with respect to other tasks (run on the same machine). We do not require however threads within a task to be serializable; thus, they can engage in two-way communication using shared data. (Note that constructs such as nested transactions [32] do not apply here, as they normally do not relax isolation between subtransactions, and they depend on rollback-recovery.)
1.2 Contribution
We make several contributions:
* We present an operational semantics of tasks and verlocks; the semantics has been split into a dynamic semantics of the host language constructs, and of the concurrency controller; we have used the semantics to formalize and prove correct the BVA algorithm.
* We have shown several results and theorems about our type-directed approach to concurrency control of rollback free transactions. The main result is that welltyped programs satisfy the isolation property.
* To our best knowledge we give the first rigorous proof of isolation preservation and progress (up to deadlocks
between threads of the same task) that makes data accesses explicit and deals with multiple threads within an atomic block.
The paper is organized as follows. §2 explains the constructs using an example program. §3 – the heart of our paper – defines syntax, semantics, and typing of the calculus. §4 states the main results, including type soundness and dynamic correctness of the BVA algorithm. §5 sketches an implementation of tasks and an example networked application. §6 discusses related work and §7 concludes.
2. EXAMPLE
We use an example of transactions with irrevocable I/O effects from [29]. Consider a central air route surveillance station that controls air traffic in a large geographic area. It receives aircraft positions from local stations – one per geographic region i – and records them in a corresponding "track table" tabi; in parallel, it outputs control data.
Below are two concurrent tasks T1 and T2, expressed using our language (and objects and some syntactic sugar).
```
newlock x : TabA in newlock y : TabB in isolated x,y (* task T1: hand-over *) ( sync x tabA.withdraw(aircraft); sync y tabB.deposit(aircraft); ) isolated x,y (* task T2: control *) ( view_tabA := sync x tabA.get(); view_tabB := sync y tabB.get(); analyseAndOutput(view_tabA, view_tabB); )
```
Task T1 records aircraft movement based on information from adjacent local stations; the new correlation is stored in track tables of the corresponding regions. It must maintain a consistent view, i.e. a track of an aircraft must not disappear or appear in more than one table. (For simplicity, we only encoded the hand-over from region A to B.)
Suppose some aircraft moved from region A to B while task T1 is updating the track tables. Meanwhile, the task T2 analyses the traffic pattern in the controlled area and produces a warning if two aircraft fail to maintain minimum separation. For this, T2 must obtain a snapshot view of the controlled area by reading the tables.
T2 could obtain an inconsistent view if it first retrieves data in region B before T1 updates it. This may lead to failure to prevent an impending collision if the aircraft moved from A to B is missing. The isolation property of tasks ensures however that any (concurrent) execution of T1 and T2 is equivalent to an execution in which the tasks are serialized. This means that they will never interfere.
Execution of newlock x : t in e creates a new verlock x (or a lock in short) of type t; the lock type identifies data protected by the lock. The expression sync e e ′ is similar to Java's synchronized statement [12], i.e. the expression e is evaluated first, and should yield a lock, which is then acquired when possible; the expression e ′ is then evaluated; and finally the lock is released.
Execution of isolated e e creates a new task for the evaluation of expression e. After the creation, e commences execution, in parallel with the rest of the body of the spawning program (i.e. each task is executed by a new thread).
The declaration e should give verlocks that can be used by the task to control access to shared data. We assume that information on locks is provided explicitly, and leave type inference as an open problem. Tasks can perform I/O and spawn threads, e.g. task T2 may output a warning message, and spawn a new thread for auditing.
Flanagan and Abadi's type system provides guarantees for the concurrency scheduler that all data accesses are made using verlocks. Our extension of their type system also verifies if verlocks that may be acquired by a task are known before the task commences, i.e. they are declared in e. It thus eliminates errors due to omission of such declarations, e.g. the above program does not typecheck if the arguments x or y of isolated are removed. The above two guarantees enable a safe use of our abort-free versioning algorithm.
Execution of tasks T1 and T2 satisfies the isolation property. However, any threads inside tasks are not constrained; a required synchronization policy could be encoded using verlocks (accompanied in the scope of a task with any other synchronization means if needed).
3. LANGUAGE FOR ISOLATED TASKS
3.1 Syntax
We define our language as the call-by-value λ-calculus, extended with reference cells, isolated tasks, and versioning locks. The abstract syntax is in Figure 2. The main syntactic categories are values and expressions. We write x as shorthand for a possibly empty sequence of variables x1, ..., xn (and similarly for t, e, etc.).
Types Types include the base type Unit of unit expressions, which abstracts away from concrete ground types for basic constants (integers, Booleans, etc.), the type t → a , p t of functions, the type Refm t of reference cells containing a value of type t, and finally a singleton lock type m. A singleton lock type is the type of a single lock. The types of references and functions are decorated by correspondingly, m and a, p, where m is a singleton lock type of a verlock used to protect the reference cell against simultaneous accesses by concurrent threads, and a and p describe an allocation and permission. Allocations and permissions are sets of singleton lock types, representing respectively, the set of all verlocks that may be demanded during evaluation of a function, and the set of verlocks that must be held before a function call.
Values and basic expressions A value is either an empty value () of type Unit, or function abstraction λ a,p x : t. e (decorated with allocation a and permission p). Values are first-class programming objects, they can be passed as arguments to functions and returned as results and stored in reference cells. Basic expressions e are mostly standard and include variables, values, function applications, reference creation refm e (decorated with a singleton lock type m), and the usual imperative operations on references, i.e. dereference !e and assignment e := e. We also assume existence of let-binders, and use syntactic sugar e1; e2 (sequential execution) for let x = e1 in e2 (for some x, where x is fresh).
Threads and tasks The language allows multithreaded programs by including the expression fork e, which spawns a new thread for the evaluation of expression e. This evaluation is performed only for its effect; the result of e is never used. Execution of isolated e e creates a new isolated task
```
Variables x, y ∈ Var Type Var-s m, o ∈ TypVar Allocations a, b ∈ 2 TypVar Permissions p ∈ 2 TypVar Types s, t ::= Unit | t → a , p t | Refm t | m Values v, w ∈ Val ::= () | λ a,p x : t. e Expressions e ∈ Exp ::= x | v | e e | refm e | !e | e := e | newlock x:m in e | sync e e | fork e | isolated e e
```
We work up to alpha-conversion of expressions throughout, with x binding in e in expressions λx : t. e.
Figure 2: The iso-calculus: Syntax
thread for the evaluation of expression e. Tasks can use fork to spawn their own threads. The declaration e should give verlocks that can be used by a task to control access to shared data. All program threads will be interleaved while providing the illusion that tasks are executed in isolation.
Verlocks The execution of newlock x : m in e creates a new unique name x of a versioning lock (or verlock). It also introduces the type variable m which denotes the singleton lock type of the newly created verlock. Both x and m may be referred to in the expression e, i.e. x and m are bound in e. The expression sync e e ′ is similar to Java's synchronized statement [12], i.e. the expression e is evaluated first, and should yield a verlock, which is then acquired when possible; the expression e ′ is then evaluated; and finally the verlock is released. Verlocks combine a simple lock (mutex) for protection against simultaneous data accesses by concurrent threads, with an access versioning algorithm that schedules lock acquisitions by (threads of) isolated tasks based on access versions; the details of the algorithm will be given in §3.3.
3.2 Operational Semantics
We specify the operational semantics using the rules defined in Figure 3. A state S consists of three elements: a lock store π and a reference store σ, which are sometimes referred to collectively as a store π, σ, and a collection of expressions T , which are organized as a sequence T0, ..., Tn. Each expression Ti in the sequence represents a thread.
The lock store π is a finite map from lock locations to their states; a lock location has two states, unlocked (0) and locked (1), and is initially unlocked. The reference store σ is a finite map from reference locations to values stored in the references. Lock locations l and reference locations r are simply special kinds of variables that can be bound only by the respective stores.
The expressions f are written in the calculus presented in §3.1, extended with a new construct task pv T . The construct is not part of the language to be used by programmers; it will be used later to explain semantics.
We define a small-step evaluation relation π, σ | e −→ π ′ , σ ′ | e ′ , read "expression e reduces to expression e ′ in one step, with stores π, σ being transformed to π ′ , σ ′ ". We also use −→ ∗ for a sequence of small-step reductions. By concurrent evaluation, or run, we mean a sequence of smallstep reductions in which the reduction steps can be taken by different threads with possible interleaving.
Reductions are defined using evaluation context E for expressions e and f. The evaluation context ensures that the left-outermost reduction is the only applicable reduction for each individual thread in the entire program. Context application is denoted by [], as in E[ e ]. Structural congruence rules allow us to simplify reduction rules by removing the context whenever possible.
The evaluation of a program e starts in an initial state with empty stores (∅, ∅) and with a single thread that evaluates the program's expression e. Evaluation then takes place according to the transition rules in Figure 3. The evaluation terminates once all threads have been reduced to values, in which case the value v0 of the initial, first thread T0 is returned as the program's result (typing will ensure that other values are empty values). Subscripts in values reduced from threads denote the sequence number of the thread, i.e. vi is reduced from i's thread, denoted Ti (i = 0, 1..). The execution of threads can be arbitrarily interleaved. Since different interleavings may produce different results, the evaluator eval(e, v0) is therefore a relation, not a partial function.
Below we describe reduction rules in Figure 3. The rules in the middle are common for all versioning concurrency control algorithms, while the rules in the bottom part of the figure describe our example algorithm.
The first four evaluation rules are the standard rules of a call-by-value λ-calculus [26], extended with references. We write {v/x}e to denote the capture-free substitution of v for x in the expression e. The notation (σ, r → v) means "the store that maps r to v and maps all other locations to the same thing as σ". Rules (R-Ref), (R-Deref), and (RAssign) correspondingly, create a new reference cell with a store location r initially containing v, read the current store value, and assign a new value to the store located by r. For instance, let us look at the rule (R-Assign). We use the notation σ[r → v] to denote update of map σ at r to v. Note that the term resulting from this evaluation step is just (); the interesting result is the updated store.
An expression f accesses a reference location r if there exists some evaluation context E such that f = E[ !r ] or f = E[ r := v ]. (Note that both assign and dereference operations are non-commutative.)
Evaluation of expression fork e in (R-Fork) creates a new thread which evaluates e. The result of evaluating expression e is discarded by rule (R-Thread).
A program completes, or terminates, if all its threads reduce to a value. By (R-Thread), values of more recent threads are ignored, so that eventually only the value of the first thread T0 will be returned by a program.
3.3 Basic Versioning Algorithm
Below we describe the Basic Versioning Algorithm (BVA) for "isolated evaluation" of tasks. For clarity, we have chosen one of the simplest algorithms possible. The semantics can be however easily extended to optimized algorithms of [34] that permit more concurrency.
The algorithm implements a runtime locking strategy that assigns essentially tickets to threads that allow them to acquire verlocks. The tickets are monotonically increasing counters, one per lock. On task entry, a thread obtains incremented ticket values (called versions) for all the verlocks that it wants to acquire during the task. It can then acquire these verlocks only when the corresponding verlocks service count has reached its ticket count. Since tickets for
State Space
Evaluation Contexts
Structural Congruence
Transition Rules
Transition Rules of Basic Versioning Algorithm (BVA)
Figure 3: The iso-calculus: Reduction semantics
all verlocks are obtained atomically, this guarantees that tasks with conflicts (shared verlock) will commit in global order of task starts.
We define the algorithm formally via four operational semantics rules (BVA-0–3) in the lower part of Figure 3. The rules define creation and destruction of tasks, and verlock acquisition and release. Below we explain these rules.
isolated. The map pv associates lock locations with globally unique versions, maintained by global version counters gv. The map pv is created for a given set of (ver)locks dynamically in one atomic step, and remains constant for the task's lifetime. Program evaluation maintains an invariant that a private version of each lock in a private versions map of every task is globally unique.
Task creation and destruction The program state is extended with a map gv of global version counters gv(l) for each lock l in π (initialized to 0). A version is a natural number playing a rˆole of access capability. Each lock l maintains a local version counter lv(l), which is also initialized to 0; a map lv of local counters is part of the state, too. For clarity we usually omit the counters in the rules when possible. The algorithm maintains an invariant (Invar) that a local version of each lock is equal or less than a global version of the lock, and it is equal or greater than zero.
Evaluation of a term isolated l e creates a new thread for evaluation of expression task pv e; see (R-Isol). The term task pv e is a task evaluating expression e, where pv is a private versions map of (ver)locks l declared by term
Tasks are analogous to multithreaded transactions decomposed to ensure an isolation property only. Tasks can spawn their own threads using fork; see (R-Fork'). Tasks are used only for their side-effects, which are in our case modifications to the store. A task task pv e has completed or terminated if expression e yields a value; see (R-Task). Then the task upgrades local counters of its verlocks and reduces to an empty value. (In [34] we describe variants of BVA that permit more concurrency by making the upgrades during task execution.) To ensure that the order of upgrades by all tasks is correct, the task completion is guarded by the condition that pv(l) − 1 must be equal lv(l) for all l in dom(pv).
A state S is task-free if it does not have a context E[ task pv T ]. Any task-free state is called a result state. The result states subsume data stored in all reference cells.
Serialized and isolated evaluation Two tasks are executed serially if one task commences after another one has completed. By serialized evaluation, or serial run, we mean evaluation, in which all tasks are executed serially. (Note that a serial run is also concurrent since serialized tasks may be themselves multithreaded.)
Isolation has been proposed as the correctness condition of concurrency control algorithms [2]. It means, intuitively, that if the effects of one task are visible to some other task executing concurrently, then the opposite is not true, where an effect is usually defined as any change to the content of reference cells; from the perspective of a task, it appears that tasks execute sequentially rather than in parallel.
We extend the above definition of an effect, and assume that both assignment and dereference has an effect, respectively an output and input effect. Our definition of isolation is therefore more conservative; it is captured precisely using the notion of noninterference.
Tasks in a concurrent run do not interfere (or satisfy the noninterference property) if there exists some ideal serial run R s of all the tasks, such that given any reference, the order of accessing the reference by tasks in the concurrent run is the same as in R s .
Definition 1 (Isolation Property) Evaluation of an expression e satisfies an isolation property if all tasks of e do not interfere. A program satisfies the isolation property if all terminating evaluations of the program satisfy this property.
Verlock acquisition and release The expression (RLock) dynamically creates a new verlock's lock location l (with the initial state 0) and replaces occurrences of x in e with l. It also replaces occurrences of m in e with a type variable ol that denotes the corresponding singleton lock type. A lock store π that binds a verlock's lock location l also implicitly binds the corresponding type variable ol with kind Lock; the only value of ol is l. Below we sometimes confuse a verlock and the verlock's lock location, where it is clear from the context what we mean.
A lock location l is free if π(l) = 0, otherwise it is not free. The semantics of sync e e ′ executed by a task is defined by rule (R-Sync). The expression e is evaluated first, and should yield a verlock l, which is then acquired if free and if the task holds a version number pv for l that matches a local version maintained by l (i.e. pv(l) − 1 = lv(l)). The expression e ′ is then evaluated as part of an expression insync l e ′ . The verlock is released by (R-InSync) when the expression e ′ reduces to a value v (then insync l v is replaced by v).
The second premise of rule (R-Sync) (pv(l) − 1 = lv(l)) guarantees that a task can acquire a verlock only at a time when it is safe, i.e. when accessing data protected by the verlock does not invalidate isolation. Otherwise, the verlock's lock is not taken even if it is free, resulting in the task's thread being blocked (any other threads are not blocked).
However, each lock will be eventually acquired (evaluation progress) if only tasks are themselves deadlock-free and terminate. We discuss the deadlock issue in §4.3, after explaining typing.
Correctness assumptions The BVA algorithm guarantees noninterference, provided the following two conditions hold. Firstly, programs do not have race conditions, i.e. no data can be accessed without first acquiring a verlock. Secondly, all verlocks that may (not necessarily have to) be used by a task are known at a time when the task is spawned, so that the ( R-Isol) rule can create the private version for each such verlock type, stored in the task's map pv . To maximize parallelism, we require only such verlocks to be declared. In § 4, we show that both conditions are verified statically by the type system in § 3.4.
3.4 Typing
The type system is formulated as a deductive proof system, defined using conclusions (or judgments) and the static inference rules for reasoning about the judgments in Figure 4. The typing judgment for expressions has the form Γ; a; p ⊢ e : t, read "expression e has type t in environment Γ with allocation a and permission p", where an environment Γ is a finite mapping from free variables to types. An expression e is a well-typed program if it is closed and it has a type t in the empty type environment, written ⊢ e : t.
Our intend is that, if the judgment E; a; p ⊢ e : t holds, then any terminating execution of expression e is race-free, satisfies the isolation property, and yields values of type t, provided:
(i) the current thread holds at least the verlocks described by p (Condition 1),
(ii) if e is part of a task, then the task has declared all verlocks described by a (Condition 2), and
(iii) the free variables of e are given bindings consistent with Γ.
We will show in §4 that the type system is sound. Based on this result, we state dynamic correctness of our example concurrency control algorithm, which together with type soundness gives the expected result of isolation preservation.
Our type system is an extension of Flanagan and Abadi's type system for detecting race conditions [9]. It provides rules for proving that the above two conditions are always true for well-typed programs. Condition 1 is verified using an approach described in [9]. The set of typing rules in Figure 4 has been obtained by extending this approach with allocations needed to verify Condition 2, and adding a new rule for typing the isolated construct. Most of the typing rules are fairly straightforward. For simplicity, we present a first-order type system and omit subtyping of allocations. The subtyping rules would be similar to the subtyping rules with permissions in [9], where also extensions with polymorphism and existential types have been described.
To verify Conditions 1 and 2, a verlock l is represented at the type level with a singleton lock type m that contains l. The singleton type allows typing rules to assert that a thread holds verlock l by referring to that type rather than to the verlock l. During typechecking, each expression is evaluated in the context of allocations a and permissions p. Including a singleton lock type in the allocation a, respectively permission p, amounts to assuming that the corresponding verlock's version, respectively the corresponding verlock, are held during the evaluation of e.
For instance, consider typing dereference and assignment operations on references, as part of typechecking some expression e ′′ . As in [9], the corresponding rules (T-Deref) and (T-Assign) check if a singleton lock type m decorating the reference type is among lock types mentioned in the current permission p. The permission p can be extended with m only while typechecking a synchronization expression sync e e ′′ , where e has type m (see typing of e in (T-Sync)).
Judgments
Γ ⊢⋄ Γ is a well-formed typing environment
Γ ⊢ t t is a well-formed type in Γ
Γ ⊢ a, p a, p is a well-formed resource allocation and permission in Γ
Typing Rules
Figure 4: The first-order type system for the iso-calculus
To verify if a task e0 executing sync e e ′ declared verlock e of some type m, we introduce an allocation a and require that m is mentioned in a. Note that m can be added to allocation a only while typechecking the construct isolated that has spawned task e0. The rule (T-Isol) creates the allocation a from singleton types of all verlocks declared by the task; the allocation is then used for typechecking the body of the task.
An allocation a and permission p decorate a function type and function definition, representing respectively, allocation a – the set of all verlocks that may be requested while evaluating the function and any thread spawned by it, and permission p – the set of verlocks that must be held before a function call. Note that allocations are preserved by thread spawning since we allow tasks to be multithreaded, while permissions are nulled since spawned threads do not inherit locks from their parent thread.
Rules (T-Fork) and (T-Isol) require the type of the whole expression to be Unit; this is correct since threads are evaluated only for their side-effects.
4. TYPE SYSTEM RESULTS
The fundamental property of the type system and abstract machine of our language is that evaluation of well-typed, terminating programs satisfies the isolation property. The first component of the proof of this property is a type preservation result, stating that typing is preserved during evaluation. The second one is a progress result, stating that evaluation of an expression never enters into a state for which there is no evaluation rule defined. To prove both results, we extended typing judgments from expressions Exp to expressions Exp ext , and then to states as shown in Figure 5. The judgment ⊢ S : t says that "S is a well-typed state yielding values of type t". We assume a single, definite type for every location in the store π, σ . These types have been collected as a store typing Σ – a finite function mapping locations to types, and type variables to kinds.
Type preservation and progress yield that our type system is sound. It guarantees that if a program is well-typed then:
(i) each operation on references requires to first obtain a verlock, and
(ii) if obtaining a verlock is part of some task spawned using the isolated construct, then the task has a private version of this verlock (which is possible only if the name of it is the argument of the construct).
The first property is called absence of race conditions and is guaranteed by Abadi and Flanagan's type system for avoiding race conditions that we have extended. The second property is called absence of non-declared verlocks and is guaranteed by our extension of their type system. Based on the two properties of the type system, we prove that evaluation of well-typed, terminating programs satisfies the isolation property; the proof is in the technical report [35].
Below we state formally the absence of race conditions and the absence of non-declared verlocks properties. Finally, we give our main result of isolation preservation in §4.3.
4.1 Flanagan and Abadi's Absence of Races
After removing allocations a and the rule (T-Isol) for typing the construct isolated in Figure 4, and replacing the semantics of verlocks by simple locks, we obtain Flanagan and Abadi's first-order type system [9]. The fundamental property of this type system is that well-typed programs do not have race conditions. Below are Lemmas as found in [9], extended with store typing Σ and allocations.
The semantics can be used to formalize the notion of a race condition, as follows. A state has a race condition if
Γ; a; p ⊢ e : t e is a well-typed expression of type t in Γ with allocation a and permission p
Figure 5: Additional judgments and rules for typing states
its thread sequence contains two expressions that access the same reference location. A program e has a race condition if its evaluation may yield a state with a race condition, i.e. if there exists a state S such that ∅, ∅| e −→ ∗ S and S has a race condition.
and expression e. A task task pv T is in a critical section on a lock location l, if some thread of T is in a critical section on the lock location l.
Independently of the type system, locks provide mutual exclusion, in that two threads can never be in a critical section on the same lock. An expression f is in a critical section on a lock location l if f = E[ insync l f ′ ] for some evaluation context E and expression f ′ . The judgment ⊢cs S says that at most one thread is in a critical section on each lock in S. According to Lemma 1, the property ⊢cs S is maintained during evaluation.
Lemma 2 says that a well-typed thread accesses a reference cell only when it holds the protecting lock.
Lemma 2 (Lock-Based Protection [9])
Suppose that Σ | Γ; a; p ⊢ f : t, and f accesses reference location r. Then Σ | Γ; a; p ⊢ r : Refm t ′ for some lock type m and type t ′ . Furthermore, there exists lock location l such that Σ | Γ; a; p ⊢ l : m and f is in a critical section on l.
The lemma below implies that states that are well-typed and well-formed with respect to critical sections do not have race conditions.
Lemma 3 (Race-Conditions-Free States [9]) Suppose ⊢ S : t and ⊢cs S. Then S does not have a race condition.
Finally, we can conclude that well-typed programs do not have race conditions.
Theorem 1 (Absence of Race Conditions [9])
If ⊢ e : t then e does not have a race condition.
4.2 Absence of Non-declared Verlocks
An expression f is part of a task task pv T if T = E[ f ] for some evaluation context E. A task task pv T has a version of a lock l if pv(l) is defined. An expression f has a version of a lock l if there exists some task which has a version of l, and f is part of this task. An expression f requests a lock location l if f = E[ sync l e ] for some evaluation context E
Now, for the complete language with isolated and task, the judgment ⊢cs S says in addition to mutual exclusion property stated in §4.1, that each task being in a critical section on some lock in state S has a version of this lock (see Figure 6). According to Lemma 4, the property ⊢cs S is maintained during evaluation.
Lemma 4 (Version-Completeness Preservation) If
⊢cs S and S −→ S ′ , then ⊢cs S ′ .
Lemma 5 says that a well-typed thread obtains a verlock only when it holds a version of this verlock.
Lemma 5 (Version-Based Protection)
Suppose that Σ | Γ; a; p ⊢ f : t, and f requests a lock location l. Then Σ | Γ; a; p ⊢ l : m for some lock type m. Furthermore, there exists a task task pv T which f is part of, such that Σ | Γ; a; p ⊢ task pv T : Unit and version pv(l) is defined.
The above property implies that in our language all lock requests are part of some task. This feature has simplified the type system and reasoning about the isolation property. A full-size language could make a difference between accessing a lock as part of some task, or outside tasks.
We conclude that all verlocks used by each task in welltyped programs are known a priori.
Theorem 2 (Verlock-Usage Predictability) All verlocks that may be requested by a task of a well-typed program are known before the task begins.
The above result implies that the BVA algorithm will be able to create upon a task's creation, a private version of each verlock that may be used by the task.
4.3 The Main Result of Isolation Preservation
We have defined the isolated evaluation for complete tasks (see §3.2). This is however not a problem since in practice we are interested only in result states of this evaluation. Below we therefore formulate an isolation preservation result for traces (i.e. sequences of evaluated states) that begin and finish in a task-free state. The judgment for such states has
Judgments
```
M ⊢cs f f has exactly one critical section for each lock in M M ⊢cs task pv T task T has a version pv(l) for each lock l in M ⊢cs S S is well-formed with respect to critical sections and tasks ⊢tf S S is well-formed and task-free
```
Rules for Critical Sections of [9]
Additional Rules for Critical Sections and Tasks
Figure 6: Judgments and rules for reasoning about critical sections and tasks
the form ⊢tf S, read "state S is well-formed and task-free", which means that either no task has been spawned yet, or if there were any, then they have already completed.
Below we state that each trace of a well-typed program has the "isolation up to" property, provided that the corresponding evaluation finishes in a result state.
means however that other tasks that want to acquire these locks will be also blocked. Deadlock can be avoided by imposing a strict partial order on verlocks within each task, and respecting this order when acquiring verlocks; our language and type system can be extended with this principle by embodying the solution described in [9].
Lemma 6 (Isolation Property Up To) Suppose Σ | ∅; ∅; ∅⊢ S : t and ⊢tf S. If S −→ ∗ S ′ and ⊢tf S ′ , then the run S −→ ∗ S ′ satisfies the isolation property up to S ′ .
Based on the above lemma, we can prove that well-typed, terminating programs satisfy the isolation property. A program is terminating if all its runs terminate; a run terminates if it reduces to a value.
Theorem 3 (Isolation Property) If ⊢ e : t, then all terminating runs e −→ ∗ v0, where v0 is some value of type t, satisfy the isolation property.
Proof of Theorem 3 is based on dynamic correctness of the BVA algorithm, formulated using the following theorem.
Theorem 4 (Noninterference) If a program has properties (i) and (ii) (see §4, 2nd paragraph) then any evaluation of the program up to any result state, using the BVA algorithm, satisfies the noninterference property.
Deadlocks We stated our main result for terminating programs. Note however that if a program deadlocks or never terminates, all its runs reaching some result state have the "isolation up to" property (up to this state). Thus, the deadlock issue is orthogonal to the goals of this paper, and can be solved using the existing approaches.
The only deadlocks possible in our language stem from either two threads of the same task that try to acquire two locks l1 and l2 in parallel but in a different order, or when a thread tries to acquire a lock again before releasing it. This
4.4 Proving Type Soundness
Reduction of a program may either continue forever, or may reach a final state, where no further evaluation is possible. Such a final state represents either an answer or a type error. Since programs expressed in our language are not guaranteed to be deadlock-free, we also admit a deadlocked state to be an (acceptable) answer. Thus, proving type soundness means that well-typed programs yield only well-typed answers.
Our proof of type soundness in [35] rests upon the notion of type preservation (also known as subject reduction). The type preservation property states that reductions preserve the type of expressions. Below are excerpts from the proof.
Type safety The statement of the main type preservation lemma must take stores and store typings into account. For this we need to relate stores with assumptions about the types of the values in the stores. Below we define what it means for a store π, σ to be well typed. (For clarity, we omit permissions p from the context.)
Definition 2 A store π, σ is said to be well typed with respect to a store typing Σ and a typing context Γ, written Σ | Γ; a ⊢ π, σ, if dom(π, σ) = dom(Σ) and Σ | Γ; a ⊢ µ(l) : Σ(l) for every store µ ∈{π, σ} and every l ∈ dom(µ).
Intuitively, a store π, σ is consistent with a store typing Σ if every value in the store has the type predicted by the store typing.
Type preservation for our language states that the reductions defined in Figure 3 preserve type:
Theorem 5 (Type Preservation) If Σ | Γ; a ⊢ T : t and Σ | Γ; a ⊢ π, σ and π, σ | T −→ (π, σ) ′ | T ′ , then for some Σ ′ ⊇ Σ, Σ ′ | Γ; a ⊢ T ′ : t and Σ ′ | Γ; a ⊢ (π, σ) ′ .
Evaluation progress Subject reduction ensures that if we start with a typable expression, then we cannot reach an untypable expression through any sequence of reductions. This by itself, however, does not yield type soundness.
We also had to show that evaluation of a typable expression cannot get stuck, i.e. either the expression is a value or there is some reduction defined. However, we do allow reduction to be suspended indefinitely since our language is not deadlock-free. This is acceptable since we define and guarantee isolation, respectively isolation-up-to, only for programs that either terminate, or reach some result state (see Theorem 3 and Lemma 6).
We state progress only for closed expressions, i.e. with no free variables. For open terms, the progress theorem fails. This is however not a problem since complete programs – which are the expressions we actually care about evaluating – are always closed.
Independently of the type system and store typing, we should define which state we regard as well-formed. Intuitively, a state is well-formed if the content of the store is consistent with the expression executed by the thread sequence. In case of store π, if there is some evaluation context E[ insync l e ] in the thread sequence for any lock location l, then π(l) should contain 1, marking that the lock has been acquired. As for the store σ, containing the content of each reference cell, we may only require that it is well typed.
Definition 3 Suppose π, σ is a well-typed store, and f is a well-typed sequence of expressions, where each expression is evaluated by a thread. Then, a state π, σ | f is well-formed, denoted ⊢wf π, σ | f , if for each expression fi (i < |f |) such that fi = E[ insync l e ] for some l, there is π(l) = 1.
Of course, a well-typed, closed expression with empty store is well-formed.
According to Lemma 7, the property ⊢wf π, σ | f is maintained during evaluation.
Lemma 7 (Well-Formedness Preservation) If ⊢wf π, σ | f and π, σ | f −→ (π, σ) ′ | f ′ then ⊢wf (π, σ) ′ | f ′
.
A state π, σ | T is deadlocked if there exist only evaluation contexts E, such that T = E[ sync l e ] for some verlocks l, such that π(l) = 1 for each l (i.e. the verlocks are not free) and there is no other evaluation context possible.
Now, we can state the progress theorem.
Theorem 6 (Progress) Suppose T is a closed, well-typed term (that is, Σ | ∅; ∅; ∅⊢ T : t for some t and Σ). Then either T is a value or else, for any store π, σ such that Σ | ∅; ∅; ∅⊢ π, σ and ⊢wf π, σ | T , there is some term T ′ and store (π, σ) ′ with π, σ | T −→ (π, σ) ′ | T ′ , or else T is deadlocked on some lock(s).
5. IMPLEMENTATION EXPERIENCE
Protocol framework We develop SAMOA [34] – a protocol framework that allows networked applications to be built from components that communicate using the framework's interface; an implementation as a Java [12] package is available [27]. The framework provides event communi- cation, message flow control, and an isolated construct for spawning isolated tasks.
The programmer can choose among several versioning algorithms for rollback-free task execution, including the BVA algorithm, and also its two optimized variants that permit more parallelism by upgrading local version counters as soon as possible [34]. They however demand some additional data. For instance, one algorithm requires the least upper bound on the number of times a critical operation can be performed by a task, another one requires a graph (or pattern) that represents an order of possible critical operations. These data must be declared and passed as the argument of the isolated construct.
Implementing the type system described in §3.4 would make programming safe when choosing the BVA algorithm. In the future, we would like to extend the type system for the other algorithms. However, it may not be possible to verify some class of programs, e.g. supremum required by one algorithm cannot be derived if the program uses recursion.
Example application SAMOA has been used to implement modular group communication protocols [21, 34]. Our protocols execute some actions concurrently, e.g.: (i) for better response time when performing slow I/O operations, (ii) to avoid blocking while processing different types of messages, or (iii) to gain benefit of the multi-CPU architectures. In practice, messages of certain types that are received from the network (or application) spawn a new task. Any concurrent jobs in the context of the same message are performed by multiple threads within the task. Task isolation ensures however that each concurrent message is processed by the protocol using a consistent set of data, which made programming easier and less error-prone.
6. RELATED WORK
There have been recently many proposals of concurrent languages with novel synchronization primitives, e.g. the join-calculus language [11], Concurrent Haskell [24], Concurrent ML [23], Pict [25] and Nomadic Pict [28]. They enable to express complex synchronization code more easily than when using standard constructs, such as monitors and locks. This work is however orthogonal to the goals of our paper. We are primarily focused on high-level language support that provides automatic concurrency control.
The work in this paper builds on research in three areas: atomic transactions, language support for atomic blocks, and concurrency control algorithms. Below we discuss example work in these areas, and also on formalization.
Atomic transactions Atomic transactions that can be decomposed to satisfy only a subset of the Atomicity, Consistency, Isolation, and Durability (ACID) properties appeared in distributed operating systems, such as Camelot [8], in transactional platforms, such as Sun Enterprise JavaBeans (EJB) [30] and Microsoft Transaction Server (MTS) [22], and programming languages, such as Avalon/C++ [7] and Venari/ML [14, 33].
Venari/ML is an extension of the ML programming language with atomic transactions. Concurrency control is factored out into a separate mechanism that the programmer can use to ensure isolation. Higher-order functions in ML allow the programmer to easily express transactions with desirable ACID properties. Transactions can be multithreaded.
However, we intended to address the issue of local concurrency control in network protocols, rather than distributed transactions; the design considerations were therefore different. Contrary to traditional database transactions, our tasks never rollback their execution – we guarantee that I/O operations are performed exactly once, unless the process running all local tasks crashes.
Alternative approaches such as compensations [5], i.e. implicit or programmable procedures that can undo the effects of a transaction that fails to complete, do not apply here. Some I/O operations performed by tasks cannot be easily (or routinely) undone or compensated. For instance, we usually assume that an output of a network message either succeeds, i.e. the message is sent, or not, i.e. the message is not sent due to e.g., a socket error. The protocol designer should not be concerned with another case, when the message has been sent, but the operation needs some compensation due to conflicts on task operations.
Atomic blocks While our construct isolated can allow to declare multithreaded sections of code to be executed in isolation, several researchers have proposed programming language features for isolation of sequential code blocks. Below is the previous work closest to our own.
Flanagan and Qadeer [10] proposed a type system for specifying and verifying the atomicity of methods in multithreaded Java programs, where the notion of "atomicity" is similar to linearizability [17] for concurrent objects, and isolation in this paper. Their approach allows program methods to be annotated with the keyword atomic. If the program type checks, then any interaction between an atomic method executed by a thread and steps of other threads is guaranteed to be benign, in the sense that these interactions do not change the program's overall behaviour. The type system is a synthesis of Lipton's theory of left and right movers (for proving properties of parallel programs) and type systems for race detection.
Our decision to allow tasks to be multithreaded means however, that in our language it may not be possible to verify the isolation property statically (at compile time only), since the language allows threads to be created and terminated dynamically at will. This, together with the requirements of rollback-freedom and language safety, motivates our hybrid, type-directed approach to concurrency control.
Moreover, applications that we consider may demand different levels of performance, isolation and real-time constraints; these varying demands will lead to a multiplicity of runtime concurrency controllers, based on a variety of scheduling algorithms (e.g. real-time algorithms [13]). Our intend is to allow the programmer to choose between different dynamic locking strategies, based on the available static information. Our declarative approach therefore differs from the above type-based approach to verify atomicity.
More recently, Harris and Fraser [15] have been investigating an extension of Java with (again, sequential only) atomic code blocks that implement Hoare's conditional critical regions (CCRs) [18]. The programmer can guard a conditional region by an arbitrary boolean condition, with calling threads blocking until the guard is satisfied. The implementation is based on mapping CCRs onto a software transactional memory (STM) which groups together series of memory accesses and makes them appear atomic.
The main difference between their approach and ours is the lack of a need for rollback. Unlike our pessimistic con- currency control, their implementation of atomicity depends on rollback and recovery. This restricts the availability of I/O operations within an atomic block. For instance, the STM-based implementation of atomic blocks in Haskell [16] forbids all operations that may have irrevocable I/O effects, which limits the scope of possible applications.
A plausible option could be based on buffering input operations (for possible recovery) and flushing all output operations on transaction commit (to prevent their duplication due to rollback). However, it does not seem to support an arbitrary pattern of I/O communication at real time.
Concurrency control Our versioning concurrency control algorithms have some resemblance with two-phase locking [2, 32]. However, instead of acquiring all locks needed (in the 1st phase) and releasing them (in the 2nd phase), tasks take and dynamically upgrade version numbers, which optimizes unnecessary blocking. The conflicting operations are ordered according to versions, which is similar to timestamp algorithms [2, 32]. However, we associate versions with verlocks, not with transactions. Therefore all data accesses protected by verlocks are always made in the right order for the isolation property (the verlock requests with too high versions are simply delayed), unlike common timestamp algorithms for transactions, where if an operation has arrived too late (that is it arrives after the transaction scheduler has already output some conflicting operation), the transaction must abort and be rolled back.
More discussion of other related work on algorithms can be found in [34].
Transaction models Turning to the semantics of transactions, Chrysanthis and Ramamritham [6] have specified the broad spectrum of transactional models.
More recently, Black et al. [4] have defined an equation theory of operators, where an operator corresponds to an individual ACID property. The operators can be composed, giving different semantics to transactions. The above models are however presented abstractly, without being integrated with any language or calculus.
Vitek et al. [31] and Jagannathan and Vitek [19] have recently proposed a calculi-based model of standard ACID transactions. They have formalized the optimistic and twophase locking concurrency control strategies. Their approach to formalization of the isolation property (I) is similar to the one in this paper. However, the soundness result rests upon an abstract notion of permutable actions, while our soundness result and proofs make explicit data accesses and task noninterference.
Berger and Honda [1] have used a variant of π-calculus to formalize the operational semantics of the standard twophase commitment protocol for distributed transactions. This work however does not address local concurrency control (on a machine) and the isolation property.
7. CONCLUSION AND FUTURE WORK
The paper describes a language and runtime support for isolation-only, multithreaded transactions (tasks). The main idea of the paper is to avoid the need for rollback at runtime, which greatly simplifies the runtime system, allows tasks to perform arbitrary I/O operations, and also eliminates the risk of multiple restarts when many tasks compete for the same resource (since no task is aborted).
The runtime system requires however resources to be known a priori. Therefore, to make our language safe, we propose in this paper a type system that can verify resource declarations for the concurrency controller.
For clarity, we have chosen a somewhat idealised concurrency control algorithm. The algorithm is not free from drawbacks. For instance, if a thread is preempted while holding a lock then no other thread can safely access the lock. In the future, we would like to work on more robust approaches to implementing isolated.
The type system could be extended to add distinction between read-only and read-write locking for efficiency. It may be also worthwhile to investigate algorithms for inferring the typing annotations.
Acknowledgments We thank Olivier R¨utti, Peter Sewell, the Crystall project participants and the anonymous referees for helpful comments on drafts of this paper. This work was supported by Swiss NSF contract #21-67715.02 and Hasler Stiftung project DICS-1825.
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APPENDIX
Below are non-standard parts of proofs; they did not appear in the Proceedings of PPDP '05. A complete proof of type soundness appeared in [35].
A. WELL-TYPED PROGRAMS SATISFY ISOLATION
A.1 Absence of Non-declared Verlocks
Lemma 4 (Version-Completeness Preservation) If ⊢cs S and S −→ S ′ , then ⊢cs S ′ .
Proof. State S may consist of several threads that are evaluated concurrently. Suppose S = π, σ | E[ task pv T ] for some well-typed store π, σ, context E and (possibly multithreaded) term T . By rule (R-Task) and evaluation context for task, we know that task task pv T can either reduce to the empty value () if T is a value, or to task pv T ′ otherwise, where T ′ is some expression. The former case is trivial since we have immediately
by (CS-Empty), which is what we needed.
Let us now consider the latter case. Suppose that task task pv T is in a critical section on some lock location l. From premise ⊢cs S, we have
for some M by (CS-State) and the fact that task task pv T is a thread in S (by (R-Isol)). But then by (CS-Task)
and version pv(l) is defined. Now we need to consider two subcases, depending on if the reduction step of T enters a new critical section, or not.
Case a). Reduction to a new critical section.
̸
Let us assume that task pv T ′ does not have a version of lock l ′ , i.e. pv(l ′ ) is not defined. But this is not possible, since by version-based protection Lemma 5 (below), if a task task pv T requests lock location l ′ , then version pv(l ′ ) is defined, which contradicts our assumption (since we also know that the private versions map pv is preserved by the reduction step as it is never modified). Thus, M ′ ⊢cs task pv T ′ and precisely M ′ = M ⊎{l ′ } by (CS-InSync). From the latter, we have l ∈M ′ by (4).
Consider an evaluation step from T to T ′ , such that T has sync l ′ e in its redex position. Thus, by rule ( R-Sync) T ′ = E ′ [ insync l ′ e ] and π ( l ′ ) = 1 for some context E ′ , lock location l ′ , and expression e , where l ′ = l . Hence, T ′ is in a critical section on lock l ′ . Note that by mutual exclusion (Lemma 1) it is not possible to have a reduction step from T to T ′ if l ′ = l since (3) and (4) hold.
Case b). No new critical section.
Consider reduction from T to T ′ such that T has in its redex position an expression other then sync l ′ e. But then from (3) we have M ⊢cs task pv T ′ since T ′ is in the same critical sections as T , and we know that l ∈M and pv(l) is defined.
From (2), a) and b) we obtain the needed result ⊢cs S ′ by type preservation Corollary 1 (in §A.2) and (CS-State) and induction on threads in S.
Lemma 5 (Version-Based Protection) Suppose that Σ | Γ; a; p ⊢ f : t, and f requests a lock location l. Then Σ | Γ; a; p ⊢ l : m for some lock type m. Furthermore, there exists a task task pv T which f is part of, such that Σ | Γ; a; p ⊢ task pv T : Unit and version pv(l) is defined.
Proof. If f requests a lock location l then from the definition of "requesting a lock location" we have f = E[ sync l e ′ ] for some evaluation context E and expression e ′ . Suppose that Σ | Γ; a; p ⊢ sync l e ′ : t ′ for some type t ′ . Then, by (T-Sync) we have
for some lock type m, and m ∈ a. From the latter and premise Σ | Γ; a; p ⊢ f : t, we know that f must be part of some task with allocation a (since a ̸= ∅).
Hence, by (T-Isol) f is reduced from some expression isolated l e0, such that Σ | Γ; a ′ ; p ′ ⊢ isolated l e0 : Unit (for some a ′ and p ′ ), where l is a sequence of lock locations. Moreover, since allocation a is preserved during task evaluation (since only (T-Isol) can modify a) we have Σ | Γ; a; ∅⊢ e0 : t ′′ for some t ′′ , also by (T-Isol).
From the above, we have immediately l ∈ l by (5) and (T-Isol) since m ∈ a. (Note that (T-Isol) is the only rule which could add m to allocation a.)
But then, by (R-Isol) expression e0 can only reduce to task pv e0 for some pv, such that version pv(l) is defined, which is precisely the needed result since pv is constant and so it does not change while expression e0 would reduce to T such that T = E ′ [ f ] for some context E ′ . By (T-Task), term task pv T has type Unit, which completes the proof.
Theorem 2 (Verlock-Usage Predictability) All verlocks that may be requested by a task of a well-typed program are known before the task begins.
Proof. By lock-based protection Lemma 2, it is enough to show that the argument l of the isolated l e construct used to spawn a task, is a sequence of all verlocks that may be requested by the task. The proof is straightforward by the version-based protection Lemma 5, version-completeness preservation Lemma 4, and induction on tasks and lock location requests.
A.2 The Main Result of Isolation Preservation
Lemma 6 (Isolation Property Up To) Suppose Σ | ∅; ∅; ∅⊢ S : t and ⊢tf S. If S −→ ∗ S ′ and ⊢tf S ′ , then the run S −→ ∗ S ′ satisfies the isolation property up to S ′ .
Proof. From premise ⊢tf S, we have ⊢cs S by (TF-State). From the latter and premise Σ | ∅; ∅; ∅⊢ S : t, each task in S (if we would let S not to be task-free) is well-typed by (T-State), and by version-based protection Lemma 5, it has versions of all verlocks it may request. Moreover, by version-completeness preservation Lemma 4, we know that this property is preserved by reduction from S to S ′′ for some state S ′′ . Hence, it is also preserved by any following reductions up to S ′ (by re-applying Lemma 4). Thus, it holds in all states reached by any tasks that could be spawned by these reductions. But this is precisely one of the two requirements for the correctness of the "isolated evaluation" using the BVA algorithm (i.e. Property 2, see B.1).
Moreover, from ⊢cs S, the lock-based protection Lemma 2 and mutual exclusion Lemma 1 give another requirement (i.e. Property 1, see B.1) for the correctness of evaluation using the BVA algorithm.
By premises ⊢tf S and ⊢tf S ′ , we also know that the evaluation has begun and finished with no active tasks. Hence, by noninterference Theorem 4 (that we prove in §B) and the definition of isolation, we obtain the needed result.
Theorem 3 (Isolation Property) If ⊢ e : t, then all terminating runs e −→ ∗ v0, where v0 is some value of type t, satisfy the isolation property.
Proof. From premise ⊢ e : t, e is a closed, well-typed term. Consider any well-typed store π, σ, that is Σ | ∅; ∅; ∅⊢ π, σ for some Σ. Then ⊢ π, σ | e : t by Definition 2 and (TState). Moreover, we have
since program e (before commencing its execution) does not have any task by syntax (see Figure 2). Pick up any terminating trace such that π, σ | e −→ ∗ π ′ , σ ′ | v0 for some store π ′ , σ ′ and value v0. From (6), we have ⊢cs π ′ , σ ′ | v0 by (TFState) and version-completeness preservation (Lemma 4). From the latter, and the fact that v0 ̸= task pv T for any pv and T , we get ⊢tf π ′ , σ ′ | v0, which together with (6) implies that the run satisfies the isolation property up to v0 by Lemma 6. Then the result follows by induction on the length of the terminating reduction sequences from π, σ | e to any value.
A corollary of Type Preservation (Theorem 5) is that reduction steps preserve type.
Corollary 1 (Type Preservation) If Σ | Γ; a ⊢ T : t and Σ | Γ; a ⊢ π, σ and π, σ | T −→ ∗ (π, σ) ′ | T ′ , then for some Σ ′ ⊇ Σ, Σ ′ | Γ; a ⊢ T ′ : t and Σ ′ | Γ; a ⊢ (π, σ) ′ .
The proof can be found in the technical report [35].
B. DYNAMIC CORRECTNESS OF THE BVA ALGORITHM
Independently of the type system, we must prove that our example scheduling algorithm BVA is correct, i.e. it can be actually used to evaluate programs so that all possible executions satisfy the isolation property.
B.1 Assumptions and Definitions
The BVA algorithm is correct only for programs that have the following two properties:
Property 1 All data accesses are protected by verlocks.
Property 2 Each task has a version of each verlock it may use.
But these two properties correspond precisely to the absence of race freedom, and the absence of undeclared verlocks properties. We have shown that they hold for all welltyped programs (see Theorems 1 and 2). Thus, to prove the correctness of the BVA algorithm, it remains to show that all tasks of a well-typed program never interfere (from the definition of isolation).
From the definition of sync l e, we know that a locked expression e can be executed only by a single thread since other threads would be blocked (due to the atomicity property of locks). Moreover, by the absence of race conditions Theorem 1, we know that in order to access a reference, first a verlock must be taken. Therefore, we can formulate the definition of noninterference using verlocks instead of references:
Definition 3 (Noninterference) Tasks in a concurrent run do not interfere (or satisfy the noninterference property) if there exists some ideal serial run R s of all these tasks, such that given any verlock, the order of acquiring the verlock by tasks in the concurrent run is the same as in R s .
Essentially, the BVA algorithm implements ordering of lock acquisitions based on versions. Tasks acquire verlocks in such order as is required to satisfy the noninterference property. We need to show that all possible evaluations of a typable expression cannot lead to a task-free state that is not obtainable by some serialized evaluation of tasks. Note that we do not require a program to terminate. However, we consider its correctness only for a set of tasks that will eventually terminate.
To prove the correctness of the algorithm, we only need to show that all tasks of each well-typed program never interfere (from the definition of isolation).
The proof proceeds by proving lemmas about safety and liveness properties of verlocks, verlock-based mutual exclusion, and finally about ordering properties of verlock-based access to references. We begin from introducing a few definitions.
For a task task pv e where pv(l) is defined, we define access of this task to a verlock l, denoted a, as a pair (pv(l), lvl), where pv(l) and lvl are correspondingly, a private and local versions of verlock l. Access of task pv e to a lock l is defined if pv(l) is defined.
Access ak = (pvk(l), lvl) of a task k is valid if condition (7) is true. A task gets a valid access (pvk(l), lvl) when condition (7) is becoming true.
The proof refers several times to the second condition in the premise of rule (BVA-2) of the BVA algorithm, so we make this condition numbered:
B.2 Verlock Access
Lemma 7 (Verlock Safety) A verlock can be acquired only by a task which has valid access to the verlock.
Proof. Straightforward from the definition of access and the premise of (R-Sync).
Lemma 8 (Access Liveness) Each access of a given task in a concurrent run will be eventually valid, provided that all tasks terminate.
Proof. Let k0 be the first task, with access ak0 to some verlock l defined. By steps (BVA-0) and (BVA-1), ak0 = (pvk0 (l), lvl), where pvk0 (l) = 1 and lvl = 0. Moreover, access ak0 is valid since condition (7) is true. Consider a task k1 created after k0, with access ak1 to l defined, where ak1 = (2, 0). The access ak1 is not valid since (7) is false (2−1 ̸= 0). However, since we assumed that tasks terminate, then by step (BVA-3), the local version of verlock l will be eventually upgraded by 1 as soon as k 0 terminate. But then a k 1 is valid. Hence, by induction on tasks, we will get the needed result.
Lemma 9 (Verlock Liveness) Each non-free verlock re- quested by a task will be eventually acquired, provided that it will be released.
Proof. Straightforward from access liveness Lemma 8 and the premise of (R-Sync).
Lemma 10 (Private-Version Uniqueness) Each task has a unique private version of each verlock during task lifetime.
Proof. Immediate from step ( BVA-1) , where for each verlock l , pv ( l ) is given a value equal gv l increased by one, and the fact that step ( BVA-1) is atomic and pv ( l ) is con- stant.
Lemma 11 (Access Uniqueness) For each verlock and any task which has access to this verlock defined, the access is globally unique.
Proof. Immediate from the definition of access and the private version uniqueness Lemma 10.
Lemma 12 (Valid-Access Mutual Exclusion) At any time, there is only one access to a given verlock which is valid.
Proof. Consider a verlock l. Since local version lvl of this verlock is the same for all tasks at any time, from private-version uniqueness Lemma 10, we have that at any given time, there is only one task which can have access for which validity condition (7) is true. Hence, we obtain the needed result.
Lemma 13 (Access Privacy) A valid access ak of a task k can be invalidated only by task k.
Proof. Consider a valid access a k = ( pv k ( l ) , lv l ) of some task k to a verlock l . By access uniqueness Lemma 11, there is no other task k ′ with access ( pv k ′ ( l ) , lv l ) such that pv k ′ ( l ) = pv k ( l ). On the other hand, from valid-access mu- tual exclusion Lemma 12, we know that it is not possible that some other task could have (different) access to verlock l that is also valid. Thus, we know that only k has a valid access to l . Moreover, by step ( BVA-3) we know that task k can only upgrade lv l if (7) is true. It means that lv l can only be upgraded if k has a valid access a k to l . But this is precisely the needed result, since by modifying lv l access a k to l is no longer valid.
Lemma 14 (Valid-Access Preservation) If a task has got valid access to a verlock, then it will have valid access to it at any time (until it would invalidate it).
Proof. Straightforward from valid-access mutual exclu- sion Lemma 12 and access privacy Lemma 13.
Lemma 15 (Verlock-Set Mutual Exclusion) As long as a task is allowed to acquire a verlock l, no other task can acquire verlock l.
Proof. Straightforward from valid-access-preservation Lemma 14 and verlock safety Lemma 7.
By verlock-set mutual exclusion Lemma 15, and the fact that we are not interested in the relative order of lock acquisitions made by the same task (since any such order would satisfy Definition 3 of noninterference), we can represent all acquisitions of a given verlock made by a given task by any single such acquisition. Thus, in the rest of the proof, we can consider a system in which each verlock is acquired by a task at most once. By Lemma 15, the proven result will be valid for any system.
B.3 Access Ordering
Lemma 16 (Access Ordering) The order of acquiring a verlock by tasks corresponds to the order in which tasks got valid access to it.
Proof. Immediate by verlock safety Lemma 7 and verlock-set mutual exclusion Lemma 15.
Lemma 17 (Valid-Access Ordering) The relative order of getting valid access to a verlock by tasks corresponds to the order of creating the tasks.
Proof. Consider a task k, which gets valid access to some lock l. Access becomes valid when condition (7) becomes true. By step (BVA-3), this occurs when some other task k ′ upgrades a local version lvl by 1. By access privacy and valid-access mutual exclusion, the task k ′ has valid access to l and is the only one which has it. The valid access of k ′ becomes invalidated after upgrading lvl by 1, and then given to k. From the latter and (7), we can derive that
Moreover, from step (BVA-1), we know that the order of private versions corresponds to the order of creating tasks, i.e. if ki has been created before kj, then pvk i (l) < pvk j (l) for each lock l such that both tasks have defined access to it. Hence, from (8), we know that k ′ has been created before k. Finally, by induction on tasks we obtain the needed result.
Lemma 18 (Total Ordering) The relative order of acquiring a verlock by tasks is the same for every verlock.
Proof. Immediate from verlock safety Lemma 7, verlock-set mutual exclusion Lemma 15, and access ordering Lemma 16, valid-access ordering Lemma 17, and the fact that the order of creating tasks is total (by step (BVA1)).
Lemma 19 (Natural Ordering) The order of acquiring verlocks by tasks in a concurrent run is the same as in some serial run.
Proof. By the definition of a serial run of tasks, we have immediately that all verlocks are acquired by the tasks in the order in which the tasks have been created (let's call this property a "natural order").
From verlock safety Lemma 7, valid-access ordering Lemma 17, verlock-set mutual exclusion Lemma 15, and total ordering Lemma 18, it is straightforward that any concurrent run has the "natural order" property. Moreover, since we only consider isolation for expressions that reached a task-free state (see Lemma 6), hence we are allowed to consider only concurrent runs in which all tasks terminate. This means that each verlock acquired must be eventually released (note that all verlocks are initially free by ( R-Lock) ). Thus, by verlock liveness Lemma 9, all verlocks requested will be eventually acquired. From the latter, we conclude that there can be a plausible serial run considered, and obtain the needed result.
B.4
Isolated Execution
We conclude that the BVA algorithm can be used to implement the isolated execution of tasks.
Theorem 4 (Noninterference) If a program has Properties 1 and 2, then any evaluation of the program up to any result state, using the BVA algorithm, satisfies the noninterference property.
Proof. By natural ordering Lemma 19, the noninterference property is satisfied in any concurrent run in which verlocks are acquired when permitted by the algorithm, which completes the proof.
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External Guideline Rating Equivalencies
The Academy of Nutrition and Dietetics (A.N.D.) Oncology Expert Work Group concurs with the following external guidelines and has approved their respective A.N.D. Evidence Analysis Library (EAL) rating equivalency scales:
American Society of Parenteral and Enteral Nutrition (A.S.P.E.N.) Clinical Guidelines: Nutrition Support Therapy During Adult Anticancer Treatment and in Hematopoietic Cell Transplantation, 2009.
A: Supported by at least two level I investigations (EAL Rating Equivalent: Strong)
B: Supported by one level I investigation (EAL Rating Equivalent: Fair)
C: Supported by level II investigations only (EAL Rating Equivalent: Fair)
D: Supported by at least two level III investigations (EAL Rating Equivalent: Weak)
E: Supported by level IV or level V evidence (EAL Rating Equivalent: Consensus).
Clinical Oncological Society of Australia (COSA) Evidence-Based Practice Guidelines for the Nutritional Management of Adult Patients with Head and Neck Cancer, 2011.
A: Body of evidence can be trusted to guide practice (EAL Rating Equivalent: Strong
)
B: Body of evidence can be trusted to guide practice in most situations (EAL Rating Equivalent: Fair
)
C: Body of evidence provides some support for recommendation(s) but care should be taken in its application (EAL Rating Equivalent: Fair)
D: Body of evidence is weak and recommendation(s) must be applied with caution (EAL Rating Equivalent: Weak)
Oncology Nursing Society (ONS) Putting Evidence into Practice (PEP), 2009
Recommended for practice - Effectiveness is demonstrated by strong evidence from rigorously designed studies, meta-analyses, or systematic reviews. Expected benefit exceeds expected harms. (EAL Rating Equivalent: Strong)
Likely to be effective - Evidence is less well established than for those listed under recommended for practice [EAL Rating Equivalent: Fair, or Consensus (if only based on consensus documents)]
Benefits balanced with harms - Clinicians and patients should weigh the beneficial and harmful effects according to individual circumstances and priorities (EAL Rating Equivalent: Weak)
Effectiveness not established - Data currently are insufficient or are of inadequate quality (EAL Rating Equivalent: Weak)
Effectiveness unlikely - Lack of effectiveness is less well established than those listed under not recommended for practice (EAL Rating Equivalent: Weak)
Not recommended for practice - Ineffectiveness or harm clearly is demonstrated, or cost or burden exceeds potential benefit (EAL Rating Equivalent: Strong, Fair or Weak).
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Auxiliary
Venue: Pre-Function Area, 3rd Floor
8/10/2005
Page 1 of 1
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Venue: Pre-Function Area, 3rd Floor
8/10/2005
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Flag
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8/10/2005
Page 1 of 1
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Venue: Pre-Function Area, 3rd Floor
8/10/2005
Page 1 of 1
Snare
Venue: Rotunda Room
8/10/2005
Page 1 of 1
Multi Tenor
Venue: Ballroom D
8/10/2005
Page 1 of 1
Keyboard
Venue: Ballroom D
8/10/2005
Page 1 of 1
Timpani
Venue: Rotunda Room
8/10/2005
Page 1 of 1
Percussion Ensemble
8/10/2005
Page 1 of 1
Venue: Ballroom A
Bass Drum Ensemble
8/10/2005
Page 1 of 1
Venue: Ballroom A
Cymbal Ensemble
8/10/2005
Page 1 of 1
Venue: Ballroom A
Mixed Ensemble
8/10/2005
Page 1 of 1
Venue: Ballroom A
Trumpet (Soprano)
8/10/2005
Page 1 of 1
Venue: 552B
Mellophone
8/10/2005
Page 1 of 1
Venue: 553B
Fr. Horn
8/10/2005
Page 1 of 1
Venue: 550B
Baritone
8/10/2005
Page 1 of 1
Venue: 550B
Tuba (Contra)
8/10/2005
Page 1 of 1
Venue: 553B
Brass Ensemble
8/10/2005
Page 1 of 1
Venue: 557
Saxophone
8/10/2005
Page 1 of 1
Venue: 555B
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HALF RACK
HEIGHT
2556 mm
1842 mm
ARTICLE CODE
80A00001
ADD-ON
INCLUDES
* Sandwich Style J-Hook (pair)
* Half Safety Spotter Bar (pair)
* Projected Straight Pull Up Bar
* Integrated storage
* Barbell Holder
* 8 stainless steel weight plate holders (50 mm)
* Integrated bolt down holes for anchoring the rack to the ground
FEATURES
* 4-way Hole Design
* Numbered Holes
* 80x80 mm squared steel frame; 4 mm thickness
* 25.5 mm hardware
* 45 mm distance between holes
1400 mm
Resistance bands pins (80A00115)
WEIGHT
254 kg
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10 Tips for Youth with AD/HD
1) If you miss what was said, ask the teacher to repeat instructions, rather than guess.
2) Break large assignments into small, simple tasks. Set a deadline for each task, and reward yourself when the task is finished.
3) Each day, make a list of what you need to do. Plan the best order for doing each task. Make a schedule for doing them. Use a calendar or daily planner to keep on track.
4) Work in a quiet area. Do one thing at a time. Take short breaks.
5) Write things down in a planner divided into sections (i.e., assignments, appointments, phone numbers, etc.). Keep it with you at all times.
6) Post notes to yourself as a reminder of things you need to do. Put the notes wherever you are likely to need the reminder.
7) Store similar things together.
8) Create a routine for yourself.
9) Exercise, eat a balanced diet, and get enough sleep.
10) Expect to make mistakes. When you do, be nice to yourself. If someone was hurt, annoyed, or upset, then try to apologize and smooth things over. Adapted from C. Weinstein (Cognitive Remediation Strategies)
Ph.: 403.286.5411 FAX: 403.3678009
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SHORT VACANCY NOTICE
Project Assistant (WASH) X2
Position:
Organizational Unit: Water, Sanitation & Hygiene
Duty Station : Maiduguri, Nigeria
IOM Classification: G5
Type of Appointment :
Special Short Term (SST) 6 Months with possibility of extension
SVN No. : SVN2020.81
Estimated Start Date : As soon as possible
Closing Date : 30 th November, 2020
Established in 1951, IOM is the leading inter-governmental organization in the field of migration and works closely with governmental, intergovernmental and non-governmental partners. IOM is dedicated to promoting humane and orderly migration for the benefit of all. It does so by providing services and advice to governments and migrants.
IOM is committed to a diverse and inclusive environment. Internal candidates are eligible to apply to this vacancy. For the purpose of the vacancy, internal candidates are considered as first-tier candidates.
Context:
Working under the overall supervision of the Chief of Mission, Head of Office/Emergency coordinator, and Program manager Water, Sanitation & Hygiene (WASH); and direct supervision of Project Officer (WASH) the incumbent will be responsible for carrying out WASH project functions in accordance with IOM's regulations, rules and procedures. In particular, s/he will:
Core Functions / Responsibilities:
1. Assist in implementation WASH projects according to the agreed response strategy and plan.
2. Liaise closely with the WASH Project Manager and other WASH Project assistants throughout the planning, implementation and monitoring stages of WASH projects
3. Participate in the assessments, definition of technical documents and contracts for the construction, rehabilitation and upgrading of WASH facilities.
4. Participate in assessments of water and sanitation needs.
5. Continuously assist to monitor and the WASH activities using both quantitative and qualitative data.
6. Regularly support the WASH technical supervisors, Hygiene promoters and WASH daily works working at the field
7. Monitor and verify WASH projects are implemented in line with the requirements and in accordance with IOM, donor, Sector, country and international standards i.e. Sphere and HAP standards.
8. Assist in the preparation of technical site layout, and bill of quantities for all planned works. Provide technical inputs to logistics/ procurement in calling for bids, technical evaluation, assist in preparing the contractual agreements and monitoring the work of successful contractors.
9. Support in preparing the requests of the materials, and verifying the technical specifications and quality delivered by suppliers and contractors.
10. Support site planning in terms of locating WASH facilities as required in new site developments and extensions. Conduct topographical survey and setting out of drainage lines.
11. Continually support to assess emergency needs, as requested, especially taking in the broader perspective of emergency WASH and public health.
12. Submit daily, weekly and monthly reports on time using standard format.
13. Effectively work together with other WASH Sector partners in executing WASH emergency response activities. Ensure that effective communication and networking is developed and maintained through partnership and collaboration.
14. Coordinate closely with local government and sectoral stakeholders/counterparts to exchange information on the implementation of WASH projects.
15. Assess areas for improvement and record lessons learnt for future activities.
16. Any other task not listed above when requested by the supervisors
Required Qualifications and Experience
* University degree or master's in civil engineering, water resources engineering, environmental engineering, architecture, public health, or a related field from an accredited academic institution with 3 years of relevant experience or High School Diploma in the above fields with five years of relevant working experience
* Proficiency in computer applications (MS Word, Excel, Outlook etc).
* Experience in humanitarian field is mandatory. WASH in emergencies is an asset.
* Versatile in use of design related software (e.g. AutoCAD) and ability to prepare schedules/bills of quantities and cost estimates
* Demonstrated ability to maintain integrity in performing responsibility assigned
* Proactive; independent worker; A great team player; Fast Learner; IT Literate: Interpersonal skill; Communication and negotiation skills; Administrative & Time Management skills; Proficiency in Microsoft applications; Must have strong analytical, planning and people management skills; Ability to prepare clear and concise report
Languages
Fluency in English and working knowledge the local language.
Required Competencies
The incumbent is expected to demonstrate the following values and competencies:
Values
* Inclusion and respect for diversity respects and promotes individual and cultural differences; encourages diversity and inclusion wherever possible.
* Integrity and transparency: maintain high ethical standards and acts in a manner consistent with organizational principles/rules and standards of conduct.
Core Competencies – behavioural indicators level 1
* Teamwork: develops and promotes effective collaboration within and across units to achieve shared goals and optimize results.
* Delivering results produces and delivers quality results in a service-oriented and timely manner; is action oriented and committed to achieving agreed outcomes.
* Managing and sharing knowledge continuously seeks to learn, share knowledge, and innovate.
* Accountability: takes ownership for achieving the Organization's priorities and assumes responsibility for own action and delegated work.
* Communication: encourages and contributes to clear and open communication; explains complex matters in an informative, inspiring, and motivational way.
Other
Any offer made to the candidate in relation to this vacancy notice is subject to funding confirmation.
This is a national position and only candidates residing in the country of the duty station within commuting distance will be considered.
Appointment will be subject to certification that the candidate is medically fit for appointment.
How to apply:
Interested candidates are invited to submit their applications via email to
[email protected] indicating position
number on subject line by30
th
November 2020.
In order for the applications to be considered valid, IOM only accepts applications with a cover letter not more than one page specifying the motivation for application, addressed to
Human Resources, International Organization for
Migration (IOM) and with a subject lineSVN2020.81 Maiduguri. Project Assistant (WASH) G5.
All applications should include a functional email address, mobile numbers, and detailed curriculum vitae (CV).
Note: Only shortlisted candidates will be contacted.
Posting period:
From 17.11.2020 to 30.11.2020
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DEATH BENEFIT CLAIM FORM
3
ABOUT ANY CHILDREN
For reference purposes:
Name and Surname of the Deceased (as per the ID book)
ID Number or Passport Number of the Deceased
This Claim Form 3 provides us with information about any children of the Deceased, and any other children who depended financially on the Deceased. It should be completed by a Parent or Guardian. If the child is older than 18, they can complete the form themselves.
A separate Claim Form 3 must be completed for EACH child.
If you need help filling in this form, please call 011 706 6123.
Please return these forms to:
SACCAWU National Provident Fund
PO Box 1850
Johannesburg
2000
Email: [email protected]
A
193 Bryanston Drive The Braes (1st Floor) Moraine House Bryanston 2021
Fax: 011 706 6243
Please attach certified copies of the following to this form:
* Three (3) months Bank statement or letter from bank with banking details of each dependant who is older than 18. If three (3) months bank statement is not available, proof of when the bank account was opened is to be provided.
* A copy of the child's ID and Birth Certificate.
* If applicable: Proof of schooling/student status.
* If available: Proof of any income or financial support of child
* If applicable: Proof of any disability likely to affect the child's ability to work (Medical certificate or letter).
85 Eloff Street Royal Place (Room 608) Johannesburg 2000
Fax2email: 086 661 0002
DETAILS ABOUT THE CHILD
Title
Surname
Full name(s)
Maiden/previous surname(s)
SA ID number
Date of birth D D M M Y Y Y Y
Passport number (if no id number)
Passport: country of issue
Residential address
Postal address
Telephone (H)
Telephone (W)
Cellphone
Email address
Old Mutual Life Assurance Company (South Africa) Limited. Reg No: 1999/004643/06
1
Death Benefit Claim Form 3 omms 05.2016 L9219
Who is currently looking after the child? Full Names, Surname and ID of the biological / adoptive parents of the child
Mother's Name and Surname
Mother's ID Number
Father's Name and Surname
Father's ID Number
Mother's ID Number
Father's Name and Surname
Father's ID Number
Biological child of the Deceased
Y/N
Adopted(provide proof of adoption)
Y/N
Foster child
Y/N
Stepchild
Y/N
Outside of marriage
Y/N
Other(please describe)
Y/N
RELATIONSHIP TO THE DECEASED
B
Are the biological parents alive?
Can the biological parents support the child? Please provide details.
If the Deceased was not the biological or adoptive parent (e.g. a foster child, stepchild, nephew or niece, etc.):
Please click the applicable box(es) about the child:
Employed Learner (at school)
Pre-school Unemployed Student (at university, college, FET or similar) Disabled
FINANCIAL SUPPORT FROM THE DECEASED
C
What financial support did the Deceased provide to the child? (Please tick all the options that applied).
Housing? Food and clothing? A regular amount of money? Education? Other? If money: How much p/month?
BANKING DETAILS
Name of account holder
Name of bank
Account number
Type of account
Branch name
Branch code
Account holder relationship: (Is the account your own, a joint account, or is it a third party’s bank account?)
D
If the child is 18 or older, please provide the child's banking details:
THIRD PARTY
JOINT
OWN
If the Child is employed:
What is the child's Occupation?
What is the highest grade passed?
Details about the child's education and qualifications
If disabled: Please provide proof of disability(e.g. a letter from a doctor, or similar).
YES
NO
Do you think the child will be able to work (due to the disability)?
Is the disabled child receiving a social grant?
What is the child's total monthly income?
What are the child's total monthly expenses?
Old Mutual Life Assurance Company (South Africa) Limited. Reg No: 1999/004643/06
2
Death Benefit Claim Form 3 omms 05.2016 L9219
SWORN STATEMENT BY THE PERSON WHO FILLED IN THIS FORM
This section must be signed in front of a Commissioner of Oaths.
I, (full names and surname) declare under oath that the information in this form, and in the supporting documents that I signed, is true and correct.
I indemnify the SACCAWU National Provident Fund and Old Mutual against any claim that may arise from any incorrect or false information provided in this form.
I hereby acknowledge and take note that providing false information on this form is a criminal offense and that criminal charges can be laid against me.
Signed at (place)
Date signed
Telephone
Cell phone
Signature
Relationship to the Deceased
SIGN
F
STATEMENT BY A COMMISSIONER OF OATHS
The person mentioned above has signed this Form in front of me. They have stated that they know and understand the contents of this affidavit. They have con firmed that they have no objections to this oath, and that the oath is binding on their conscience.
Commissioner of Oaths:
Full Name & Surname
Surname
Telephone
Designation
Signature of Commissioner of Oaths
Official Stamp
SIGN
| Commissioner of Oaths: Full Name & Surname | |
|---|---|
| Telephone | Designation |
Old Mutual Life Assurance Company (South Africa) Limited. Reg No: 1999/004643/06
3
Death Benefit Claim Form 3 omms 05.2016 L9219
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PROFESSIONAL SERVICES AGREEMENT
THIS AGREEMENT by and between the Borough of Alpha (hereinafter referred to as “Borough”), a Municipal Corporation of the State of New Jersey and CGP&H LLC, 1249 South River Road, Suite 301, Cranbury, NJ 08512 (hereinafter referred to as “CGP&H”); and
WHEREAS, both the Borough and CGP&H desire to set forth the various duties, terms and responsibilities of the parties hereto;
WHEREAS, the Borough Council hereby desires to approve of this Contract that was presented for the provision of said services.
WITNESSETH, that the parties hereto, for and in consideration of the mutual agreements herein contained, promise and agree as follows:
1. The term of the Agreement shall become effective as of the 1st day of December, 2021 for a period of twelve (12) months terminating at the close of business on the 31st day of December, 2022. The Agreement may be terminated by either party, by giving one (1) month advanced written notice to the other.
2. CGP&H shall furnish all equipment and materials and shall perform the services set forth in Schedule A, Scope of Services and Compensation. Compensation will be provided as in this Agreement and as awarded in accordance with Compensation Schedule in strict accordance with the contract as the word “contract” is hereinafter defined and in accordance with all other terms and provisions.
3. The “contract” shall consist of the following:
a. This Agreement and all Schedules annexed thereto.
b. Resolution of appointment made by the Mayor and Borough Council.
c. All other terms required by law to be inserted in this contract, whether actually inserted or not.
d. The Affirmative Action Requirements annexed hereto, applicable to this contract, as Schedule B.
4. CGP&H hereby represents to the Borough that CGP&H is qualified to fulfill the position set forth herein with applicable requirements. CGP&H further represents that CGP&H is familiar with all applicable statutes, laws, regulations, procedures and requirements in connection with this appointment.
5. CGP&H hereby agrees to perform the services set forth under the Scope of Services and Compensation, Schedule A, for the Borough of Alpha during the period set forth herein above.
6. CGP&H shall not assign this contract or any of its rights or monies due hereunder without the previous written consent of the Borough of Alpha as evidenced by a duly adopted Resolution.
7. CGP&H represents that they currently have professional liability insurance in a minimum amount of $1,000,000 per occurrence and $2,000,000 aggregate, and that they shall supply a certificate to the Borough showing said coverage. CGP&H further covenants and agrees to protect, keep and hold the Borough of Alpha harmless against any and all actions, claims or demands for damages, which may be caused by the negligent error, act or omission of CGP&H or by the improper performance of the contract.
8. Payment to CGP&H shall be made in strict accordance with the terms of this contract. It is understood and agreed that in the event CGP&H is required to perform services that are not contemplated and are not within the subject matter of this contract and are extraordinary and are of a kind which would not ordinarily be performed in the normal course of providing services, that CGP&H shall be paid additional sums of money based upon change orders duly approved by Resolution of the Borough of Alpha Council.
AND IT IS FURTHER UNDERSTOOD AND AGREED that the covenants, conditions and agreements herein contained are binding of the parties hereto, their successors, assigns and legal representatives.
IN WITNESS WHEREOF, the parties hereto have caused their presents to be signed by the respective authorized officers and the proper corporate and/or municipal seals affixed hereto, the date and year first written above.
WITNESS: BOROUGH OF ALPHA
BY: _____________________________
BY: _____________________________
NAME: Donna L. Messina NAME: Craig S. Dunwell
TITLE: Municipal Clerk TITLE: Mayor
DATE: 12/9/21
WITNESS: CGP&H, LLC
BY: _____________________________
BY: _____________________________
NAME: Mateusz Pitrus NAME: Randall Gottesman, PP
TITLE: Business Operations Associate TITLE: President
DATE: 11/30/2021
SCHEDULE A: SCOPE OF SERVICES AND COMPENSATION: Phase I
CGP&H will provide the Borough of Alpha with professional services for affordable housing administrative agent services. CGP&H will only bill for services performed and the actual amount billed may be considerably less than the budgets presented below depending on the breadth of services requested by Alpha.
Administrative Agent Advisory Services Paid by the Borough:
This includes but is not limited to working with the Borough’s appointed and elected officials, its planners, and attorneys to develop a new Spending Plan for existing and anticipated funds, and then creating all required manuals for each of the selected affordable housing programs to be implemented using those funds, and providing advisory services on additional affordable housing related matters as they arise.
For these services, CGP&H will bill hourly at $135 per hour, with an estimated not-to-exceed budget of $17,500. CGP&H will only bill for hours worked, so the actual cost to the Borough is anticipated to be well within this estimate. If it is determined that requested advisory services may exceed the $17,500 estimate, CGP&H will not proceed with any additional work without additional written approval from the Borough.
Phase I work does not include administering the programs expected to be created as an outcome of this Agreement. It is anticipated that a separate, competitive RFP to administer these programs (Phase II) will ensue following court approval of the above referenced Spending Plan.
During the performance of this contract, the contractor agrees as follows:
a. The contractor or subcontractor, where applicable, will not discriminate against any employee or applicant for employment because of age, race, creed, color, national origin, ancestry, marital status, affectional or sexual orientation or sex. Except with respect to affectional or sexual orientation, the contractor will take affirmative action to ensure that such applicants are recruited and employed, and that employees are treated during employment, without regard to their age, race, creed, color, national origin, ancestry, marital status, affectional or sexual orientation or sex. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or transfer, recruitment or recruitment advertising, layoff or termination, rates of pay or other forms of compensation and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the Public Agency Compliance Officer setting forth provisions of this nondiscrimination clause.
b. The contractor or subcontractor, where applicable will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to age, race, creed, color, national origin, ancestry, marital status, affectional or sexual orientation or sex.
c. The contractor or subcontractor, where applicable, will send to each labor union or representative or workers with which it has a collective bargaining agreement or other contract or understanding, a notice, to be provided by the agency contracting officer advising the labor union or workers’ representative of the contractor’s commitments under this act and shall post copies of the notice in conspicuous places available to employees and applicants for employment.
d. The contractor or subcontractor, where applicable, agrees to comply with the regulations promulgated by the Treasurer pursuant to N.J.S.A. 10:5-31 et seq. as amended and supplemented from time to time and the American with Disabilities Act.
e. The contractor or subcontractor agrees to make good faith efforts to employ minority and women workers consistent with the applicable county employment goals established in accordance with N.J.A.C 17:-5.2. or a binding determination of the applicable county employment goals determined by the Division pursuant to N.J.A.C.17:27-5.2.
f. The contractor or subcontractor agrees to inform in writing appropriate recruitment agencies including, but not limited to, employment agencies, placement bureaus, colleges, universities, labor unions, that it does not discriminate on the basis of age, creed, color, national origin, ancestry, marital status, affectional or sexual orientation or sex, and that it will discontinue the use of any recruitment agency which engages in direct or indirect discriminatory practices.
g. The contractor or subcontractor agrees to revise any of its testing procedures, if necessary, to assure that all personnel testing conforms with the principles of job-related testing, as established by the statutes and court decisions of the State of New Jersey and as established by applicable Federal Law and applicable Federal Court decisions.
h. In conforming with the applicable employment goals, the contractor or subcontractor agrees to review all procedures to transfer, upgrading, downgrading and layoff to ensure that all such actions are taken without regard to age, creed, color, national origin, ancestry, marital status, affectional or sexual orientation or sex, consistent with the statutes and court decisions of the State of New Jersey, and applicable Federal law and applicable Federal court decisions.
i. The contractor shall submit to the public agency, after notification of award but prior to execution of a goods and services contract, one of the following three documents:
Letter of Federal Affirmative Action Plan Approval
Certificate of Employee Information Report
Employee Information Report Form AA302
j. The contractor and its subcontractor shall furnish such reports or other documents to the Division of Contract Compliance and EEO as may be requested by the Division from time to time in order to carry out the purposes of these regulations, and public agencies shall furnish such information as may be requested by the Division of Contract Compliance and EEO for conducting a compliance investigation pursuant to Subchapter 10 of the Administrative Code at N.J.A.C.17:27.
COMPANY CGP&H, LLC
SIGNATURE
TITLE PRESIDENT
DATE 11/30/21
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National Prosecution Standards
Fourth Edition with Revised Commentary
January 2023
# Table of Contents
**INTRODUCTION** ........................................................................................................ 1
**DEFINITIONS** ........................................................................................................... 2
**PART I. GENERAL STANDARDS** ............................................................................. 3
1. **The Prosecutor’s Responsibilities** ....................................................................... 3
- 1-1.1 Primary Responsibility .................................................................................. 3
- 1-1.2 Societal and Individual Rights and Interests ............................................... 3
- 1-1.3 Nondiscriminatory Decisions ......................................................................... 3
- 1-1.4 Full-Time/Part-Time .................................................................................... 3
- 1-1.5 Rules of Conduct ........................................................................................... 4
- 1-1.6 Inconsistency in Rules of Conduct .............................................................. 4
- 1-1.7 Duty to Respond to Misconduct .................................................................... 4
2. **Professionalism** .................................................................................................... 6
- 1-2.1 Standard of Conduct ..................................................................................... 6
3. **Conflicts of Interest** ............................................................................................. 7
- 1-3.1 Conflict Avoidance ....................................................................................... 7
- 1-3.2 Conflicts with Private Practice ...................................................................... 7
- 1-3.3 Specific Conflicts .......................................................................................... 8
- 1-3.4 Officer Involved Shootings .......................................................................... 8
- 1-3.5 Conflict Handling .......................................................................................... 9
- 1-3.6 Special Prosecutors ..................................................................................... 9
4. **Selection, Compensation, and Removal** ............................................................ 10
- 1-4.1 Qualifications ............................................................................................... 10
- 1-4.2 Compensation; Responsibilities of the Chief Prosecutor .......................... 10
- 1-4.3 Compensation of Assistant and Deputy Prosecutors .................................. 10
- 1-4.4 Benefits ...................................................................................................... 11
- 1-4.5 Workload ..................................................................................................... 11
- 1-4.6 Removal ...................................................................................................... 11
- 1-4.7 Discharge of Assistant and Deputy Prosecutors ........................................ 11
5. **Staffing and Training** ........................................................................................... 13
- 1-5.1 Transitional Cooperation ............................................................................. 13
- 1-5.2 Assistant and Deputy Prosecutors .............................................................. 13
- 1-5.3 Orientation and Continuing Legal Education .............................................. 14
- 1-5.4 Office Policies and Procedures .................................................................... 14
6. Prosecutorial Immunity ................................................................. 16
1-6.1 Scope of Immunity ............................................................... 16
PART II. RELATIONSHIPS .......................................................... 18
1. Local Organizations ................................................................... 18
2-1.1 Chief Prosecutor’s Involvement ............................................ 18
2-1.2 Information Input ................................................................. 18
2-1.3 Organization Establishment ................................................ 19
2-1.4 Community Prosecution ..................................................... 19
2-1.5 Enhancing Prosecution ...................................................... 19
2. State Criminal Justice Organizations ........................................... 19
2-2.1 Need for State Association .................................................. 19
2-2.2 Enhancing Prosecution ...................................................... 20
3. National Criminal Justice Organizations .................................... 20
2-3.1 Enhancing Prosecution ...................................................... 20
2-3.2 Prosecutorial Input ............................................................. 20
4. Other Prosecutorial Entities ....................................................... 21
2-4.1 Prosecutorial Cooperation .................................................. 21
2-4.2 Coordinated Prosecutions .................................................. 22
2-4.3 Resource Sharing ............................................................... 22
2-4.4 Duty to Report Misconduct ................................................ 22
2-4.5 Furtherance of Justice ....................................................... 22
2-4.6 Attorney General Assistance ............................................. 22
5. Law Enforcement ....................................................................... 23
2-5.1 Communications ............................................................... 23
2-5.2 Case Status Advisements .................................................. 23
2-5.3 Law Enforcement Training ................................................ 23
2-5.4 Prosecution Assistance in Training ..................................... 23
2-5.5 Liaison Officer ................................................................. 23
2-5.6 Legal Advice ................................................................. 24
6. The Court ............................................................................... 25
2-6.1 Judicial Respect ............................................................... 25
2-6.2 Respect in the Courtroom .................................................. 25
2-6.3 Improper Influence ............................................................ 25
2-6.4 Suspicion of Criminal Misconduct ..................................... 25
2-6.5 Responsibility to Report Misconduct .................................. 26
2-6.6 Application for Recusal ..................................................... 26
7. Suspects and Defendants .......................................................... 27
2-7.1 Communications with Represented Persons ....................... 27
2-7.2 Communication with Unrepresented Defendants ............... 27
2-7.3 Unsolicited Communications ............................................. 27
2-7.4 Plea Negotiations ............................................................. 28
2-7.5 Right to Counsel .............................................................. 28
2-7.6 Communications with Represented Persons During Investigations ........................................ 28
8. Defense Counsel ................................................................. 30
2-8.1 Standards of Professionalism ........................................... 30
2-8.2 Propriety of Relationships .................................................. 30
2-8.3 Cooperation to Assure Justice .......................................... 30
2-8.4 Disclosure of Exculpatory Evidence .................................... 30
2-8.5 Suspicion of Criminal Conduct .......................................... 30
2-8.6 Responsibility to Report Ethical Misconduct ......................... 30
2-8.7 Avoiding Prejudice to Client ............................................... 31
9. Victims .............................................................................. 32
2-9.1 Information Conveyed to Victims ........................................ 32
2-9.2 Victim Orientation ............................................................. 32
2-9.3 Victim Assistance ............................................................. 32
2-9.4 Cooperative Assistance ...................................................... 32
2-9.5 Facilities ........................................................................... 33
2-9.6 Victim Compensation Program ........................................... 33
2-9.7 Victim Assistance Program ................................................ 33
2-9.8 Victim Protection ............................................................... 33
10. Witnesses ........................................................................ 33
2-10.1 Information Conveyed to Witnesses .................................. 33
2-10.2 Contacts by Defense with Witnesses ............................... 33
2-10.3 Represented Witnesses .................................................... 33
2-10.4 Jailhouse Informant ......................................................... 34
2-10.5 Witness Interviewing and Preparation ............................. 34
2-10.6 Expert Witnesses ............................................................. 34
2-10.7 Witness Assistance .......................................................... 34
2-10.8 Witness Protection ........................................................... 34
2-10.9 Facilities ......................................................................... 34
2-10.10 Enforcement of Crimes Against Witnesses ....................... 35
2-10.11 Witness Assistance Program .......................................... 35
11. Community-Based Probation Programs ................................ 36
2-11.1 Knowledge of Programs .................................................... 36
2-11.2 Need for Programs ........................................................... 36
2-11.3 Notice .............................................................................. 36
12. Prisons ............................................................................. 36
2-12.1 Knowledge of Facilities .................................................... 36
2-12.2 Improvement at Correctional Institutions .......................... 36
2-12.3 Prosecutor as Resource ................................................... 37
2-12.4 Notice .............................................................................. 37
2-12.5 Corrections Advisory Committee ....................................... 37
13. Parole and Early Release .................................................... 37
2-13.1 Prosecution as Resource ................................................... 37
2-13.2 Information System ........................................................... 37
2-13.3 Parole Board and Release Discretion .................................. 37
2-13.4 Right to Appear ................................................................. 37
2-13.5 Early Release ................................................................. 37
2-13.6 Notice of Release ............................................................. 38
2-13.7 Sexually Dangerous Persons ............................................. 38
14. The Media ................................................................. 40
2-14.1 Media Relationships ........................................... 40
2-14.2 Balancing Interests ............................................. 40
2-14.3 Information Appropriate for Media Dissemination by Prosecutors 40
2-14.4 Restraints on Information .................................... 41
2-14.5 Public Responses .............................................. 41
2-14.6 Law Enforcement Policy on Information ............... 41
2-14.7 Judicial Decisions ............................................. 41
2-14.8 Verdicts ......................................................... 41
15. Funding Entity .......................................................... 42
2-15.1 Assessment of Need ........................................... 42
2-15.2 Independent Revenue ........................................ 42
16. The Public ................................................................. 43
2-16.1 Community Organizations ................................... 43
2-16.2 Staff Liaison ..................................................... 43
2-16.3 Public Education ............................................... 43
2-16.4 Advisory Role ................................................... 43
17. Non-Governmental Entities ........................................ 44
2-17.1 Generally ......................................................... 44
2-17.2 Financial and Resource Assistance ....................... 44
PART III. INVESTIGATIONS ............................................. 45
1. Investigations Generally ............................................. 45
3-1.1 Authority to Investigate ....................................... 45
3-1.2 Fairness in Investigations ..................................... 45
3-1.3 Prosecutor’s Responsibility for Evidence ............... 45
3-1.4 Illegally Obtained Evidence .................................. 45
3-1.5 Undercover Investigations .................................... 46
3-1.6 Prosecutorial Investigators ................................... 46
2. Warrant Review .......................................................... 47
3-2.1 Search and Arrest Warrant Review ......................... 47
3-2.2 Electronic Surveillance Review ............................. 47
3-2.3 Law Enforcement Training .................................... 47
3. Grand Jury Investigations ............................................ 47
3-3.1 Scope of Grand Jury Investigations ......................... 47
3-3.2 Counsel for Witnesses ......................................... 48
3-3.3 Subpoenaing the Target of an Investigation ............ 48
3-3.4 Grand Jury Warnings .......................................... 48
3-3.5 Evidence Before the Grand Jury ............................ 48
3-3.6 Request by a Target to Testify .............................. 49
3-3.7 Grand Jury Subpoenas ........................................ 49
3-3.8 Termination of Target Status ................................. 49
4. Grants of Immunity ..................................................... 50
3-4.1 Immunity Generally ............................................. 50
3-4.2 Granting or Requesting Immunity—The Public Interest 50
3-4.3 Prosecution After Grants of Immunity ..................... 51
3-4.4 Grants of Immunity to Compel Testimony on Behalf of a Defendant 51
# PART IV. PRE-TRIAL CONSIDERATIONS
1. Screening ........................................................................................................ 52
- 4-1.1 Prosecutorial Responsibility ................................................................. 52
- 4-1.2 Prosecutorial Discretion ........................................................................... 52
- 4-1.3 Factors to Consider .................................................................................. 52
- 4-1.4 Factors Not to Consider .......................................................................... 53
- 4-1.5 Information Sharing ................................................................................ 54
- 4-1.6 Continuing Duty to Evaluate .................................................................... 54
- 4-1.7 Record of Declinations ............................................................................. 54
- 4-1.8 Explanation of Declinations ...................................................................... 54
2. Charging ........................................................................................................... 54
- 4-2.1 Prosecutorial Responsibility ...................................................................... 54
- 4-2.2 Propriety of Charges ................................................................................ 54
- 4-2.3 Improper Leveraging ................................................................................ 54
- 4-2.4 Factors to Consider .................................................................................. 55
3. Diversion ......................................................................................................... 56
- 4-3.1 Prosecutorial Responsibility ...................................................................... 56
- 4-3.2 Diversion Alternatives ............................................................................. 56
- 4-3.3 Need for Programs .................................................................................... 57
- 4-3.4 Information Gathering ............................................................................. 57
- 4-3.5 Factors to Consider .................................................................................. 57
- 4-3.6 Diversion Procedures ............................................................................... 57
- 4-3.7 Record of Diversion .................................................................................. 58
- 4-3.8 Explanation of Diversion Decision .......................................................... 58
4. Pretrial Release ............................................................................................... 59
- 4-4.1 Prosecutorial Responsibility ...................................................................... 59
- 4-4.2 Alternatives to Pretrial Incarceration ...................................................... 59
- 4-4.3 Bail Amount Request ............................................................................... 59
- 4-4.4 Continuing Obligation ............................................................................... 60
- 4-4.5 Periodic Reports ....................................................................................... 60
5. First Appearance ............................................................................................ 60
- 4-5.1 Prosecutorial Responsibility ...................................................................... 60
- 4-5.2 Prosecutor’s Role ..................................................................................... 61
6. Preliminary Hearing ....................................................................................... 61
- 4-6.1 Prosecutor’s Role ..................................................................................... 61
- 4-6.2 Waiver ..................................................................................................... 61
7. Forfeiture ....................................................................................................... 61
- 4-7.1 Forfeiture Laws ........................................................................................ 61
- 4-7.2 Due Process .............................................................................................. 62
- 4-7.3 Impact on Private Counsel ........................................................................ 62
- 4-7.4 Factors in Mitigation ................................................................................ 62
- 4-7.5 Impermissible Considerations ................................................................... 62
8. The Grand Jury Charging Function ................................................................. 63
4-8.1 Prosecutorial Responsibility .................................................................. 63
4-8.2 Evidence Before the Grand Jury ......................................................... 64
4-8.3 Impermissible Conduct ........................................................................... 64
4-8.4 Hearsay Evidence .................................................................................... 64
4-8.5 Statements of Record .............................................................................. 64
9. Discovery ............................................................................................................. 65
4-9.1 Prosecutorial Responsibility .................................................................. 65
4-9.2 Duty to Disclose Exculpatory and Impeachment Evidence .................. 65
4-9.3 Continuing Duty ....................................................................................... 65
4-9.4 Access to Evidence Not to Be Impeded ............................................... 65
4-9.5 Redacting Evidence ................................................................................ 66
4-9.6 Reciprocal Discovery .............................................................................. 66
4-9.7 Protection of Personal Identifying Information ..................................... 66
4-9.8 Protective Order ...................................................................................... 66
4-9.9 Work Product .......................................................................................... 66
10. Case Scheduling and Priority ........................................................................ 67
4-10.1 Prosecutorial Responsibility ............................................................... 67
4-10.2 Factors to Consider in Setting Priorities ............................................ 67
4-10.3 Trial Scheduling ................................................................................... 68
PART V. JUVENILE JUSTICE ............................................................................. 69
1. Juvenile Justice ................................................................................................. 69
5-1.1 Personnel and Resources ...................................................................... 69
5-1.2 Qualification and Training of Prosecutors in Juvenile Court ............... 70
5-1.3 Screening Juvenile Cases ....................................................................... 70
5-1.4 Diversion ................................................................................................. 70
5-1.5 Charging and Diversion Criteria ............................................................ 70
5-1.6 Transfer to Criminal Court ..................................................................... 71
5-1.7 Plea Agreements ..................................................................................... 71
5-1.8 Prosecutor’s Role in Adjudication (Trial) ............................................ 71
5-1.9 Dispositions ............................................................................................ 71
5-1.10 Victim Impact ....................................................................................... 71
5-1.11 Evaluation of Programs ....................................................................... 72
5-1.12 Duty to Report ....................................................................................... 72
PART VI. PROPRIETY OF PLEA NEGOTIATION AND PLEA AGREEMENTS .... 75
1. General ............................................................................................................. 75
6-1.1 Propriety ................................................................................................. 75
6-1.2 Types of Plea Negotiations ................................................................... 75
6-1.3 Conditional Offer ................................................................................... 76
6-1.4 Uniform Plea Opportunities ................................................................... 76
2. Availability for Plea Negotiation ................................................................. 76
6-2.1 Willingness to Negotiate ................................................................. 76
6-2.2 Presence of Defense Counsel ....................................................... 76
3. Factors for Determining Availability and Acceptance of Guilty Plea ........... 76
6-3.1 Factors to Consider ........................................................................ 76
6-3.2 Innocent Defendants ...................................................................... 78
6-3.3 Candor .......................................................................................... 78
4. Fulfillment of Plea Agreements ................................................................. 78
6-4.1 Limits of Authority ........................................................................ 78
6-4.2 Implication of Authority ................................................................ 78
6-4.3 Inability to Fulfill Agreement ......................................................... 78
6-4.4 Rights of Others to Address the Court .......................................... 79
6-4.5 Notification of Media ..................................................................... 79
5. Record of Plea Agreement ....................................................................... 79
6-5.1 Record of Agreement ..................................................................... 79
6-5.2 Reasons for Nolle Prosequi ............................................................ 79
PART VII. TRIAL .......................................................................................... 80
1. Candor with The Court ........................................................................... 80
7-1.1 Veracity .......................................................................................... 80
7-1.2 Legal Authority ............................................................................. 80
7-1.3 Evidence ....................................................................................... 80
7-1.4 Ex Parte Proceeding ....................................................................... 80
2. Selection of Jurors .................................................................................. 81
7-2.1 Investigation ................................................................................... 81
7-2.2 Voir dire Examination ................................................................... 81
7-2.3 Peremptory Challenges .................................................................. 81
7-2.4 Duration ....................................................................................... 81
7-2.5 Identity of Jurors .......................................................................... 81
3. Relationships with Jury .......................................................................... 82
7-3.1 Direct Communication ................................................................... 82
7-3.2 After Discharge ............................................................................. 82
4. Opening Statements ............................................................................... 82
7-4.1 Purpose ......................................................................................... 82
7-4.2 Limits ............................................................................................ 82
5. Presentation of Evidence ......................................................................... 83
7-5.1 Admissibility .................................................................................. 83
7-5.2 Questionable Admissibility ............................................................ 83
6. Examination of Witnesses ....................................................................... 83
7-6.1 Fair Examination ........................................................................... 83
7-6.2 Improper Questioning .................................................................... 83
7-6.3 Purpose of Cross-Examination ..................................................... 83
7-6.4 Impeachment and Credibility ....................................................... 83
7. Objections and Motions .................................................. 84
7-7.1 Procedure ........................................................................... 84
7-7.2 Motions in Limine ................................................................. 84
8. Arguments to the Jury ....................................................... 85
7-8.1 Characterizations ................................................................ 85
7-8.2 Personal Opinion ................................................................. 85
PART VIII. SENTENCING ..................................................... 86
1. Sentencing ............................................................................ 86
8-1.1 Fair Sentencing ................................................................. 86
8-1.2 Sentencing Input ................................................................. 86
8-1.3 Mitigating Evidence ............................................................ 86
8-1.4 Pre-Sentencing Reports ...................................................... 86
2. Probation .............................................................................. 87
8-2.1 Role in Pre-Sentence Report ............................................... 87
8-2.2 Prosecutor as a Resource .................................................... 87
8-2.3 Notice .................................................................................. 87
3. Community-Based Programs ............................................. 88
8-3.1 Knowledge of Programs ..................................................... 88
PART IX. POST-SENTENCING ............................................. 89
1. Post-Sentencing .................................................................. 89
9-1.1 Prosecution Appeals ............................................................ 89
9-1.2 Cooperation of Trial and Appellate Counsel ....................... 89
9-1.3 Duty of Prosecutor to Defend Conviction .......................... 89
9-1.4 Argument on Appeal .......................................................... 89
9-1.5 Appeal Bonds ..................................................................... 89
9-1.7 Duty to Cooperate in Post-Conviction Discovery Proceedings .. 90
9-1.8 Duty of Prosecutor Regarding Claims of Actual Innocence .... 90
Introduction
These standards are intended to be an aspirational guide to professional conduct in the performance of the prosecutorial function. Unless otherwise indicated, they are intended to apply to the chief prosecutor (by whatever title) in any office, as well as to deputy and assistant prosecutors.
These standards are intended to supplement rather than replace the existing rules of ethical conduct that apply in a jurisdiction. Generally, these standards should be construed in such a way that they are consistent with existing law and applicable rules of ethical conduct. These standards are intended to be guides for prosecutors in the day-to-day performance of the prosecution function, but the problems of professionalism and ethics are too varied to be subject to unvarying rules. Thus, the decision whether or not to follow one or more of these standards may or may not constitute an unacceptable lack of professionalism, depending on the attendant circumstances. These standards are not intended to: (a) be used by the judiciary in determining whether a prosecutor committed error or engaged in improper conduct; (b) be used by disciplinary agencies when passing upon allegations of violations of rules of ethical conduct; (c) create any right of action in any person; or (d) alter existing law in any respect.
The accompanying commentary is intended to help prosecutors understand and interpret these standards but is not an official part of the standards. If the commentary appears inconsistent with the text of the standard, the text should guide the prosecutor’s actions.
“Jurisdiction”
Means the political area over which the prosecutor’s authority extends. However, in the context of applicable laws and rules of ethical conduct, “jurisdiction” includes a state as well.
“Knows,” “Has Knowledge,” or “Within the Knowledge of”
Means actual knowledge. “Misconduct”—Conduct defined as misconduct by the relevant Rules of Ethical Conduct.
“Prosecutor”
Unless otherwise specifically indicated, means any person performing the prosecution function.
“Rules of Ethical Conduct”
Refers to rules of professional conduct, rules of attorney conduct, rules of professional responsibility, or codes of attorney conduct as adopted by the various states or jurisdictions to regulate attorney conduct. The term does not refer to the ABA Model Rules of Professional Conduct.
“Special Prosecutor”
Means any person who performs the prosecution function in a jurisdiction who is not the chief prosecutor elected or appointed in the jurisdiction, or an assistant or deputy prosecutor in the jurisdiction.
1. The Prosecutor’s Responsibilities
1-1.1 Primary Responsibility
The prosecutor is an independent administrator of justice. The primary responsibility of a prosecutor is to seek justice, which can only be achieved by the representation and presentation of the truth. This responsibility includes, but is not limited to, ensuring that the guilty are held accountable, that the innocent are protected from unwarranted harm, and that the rights of all participants, particularly victims of crime, are respected.
1-1.2 Societal and Individual Rights and Interests
A prosecutor should zealously protect the rights of individuals, but without representing any individual as a client. A prosecutor should put the rights and interests of society in a paramount position in exercising prosecutorial discretion in individual cases. A prosecutor should seek to reform criminal laws whenever it is appropriate and necessary to do so. Societal interests rather than individual or group interests should also be paramount in a prosecutor’s efforts to seek reform of criminal laws.
1-1.3 Nondiscriminatory Decisions
The decision to charge or not to charge an individual, as well as other decisions made throughout the case, shall not be influenced by the race, gender, religion, national origin, sexual orientation, or other such trait of the individual, unless relevant to an element of the offense.
1-1.4 Full-Time/Part-Time
The chief prosecutor in a jurisdiction should be a full-time position. A full-time prosecutor, whether the chief prosecutor or otherwise, should neither maintain nor profit from a private legal practice. A chief prosecutor may serve part-time in those jurisdictions that are unable
or unwilling to fund a full-time prosecutor, but while serving as a part-time prosecutor may not engage in professional conduct that is inconsistent with the need for prosecutorial independence.
1-1.5 Rules of Conduct
A prosecutor shall abide by all applicable provisions of the rules of ethical conduct in his or her jurisdiction.
1-1.6 Inconsistency in Rules of Conduct
To the extent prosecutors are bound by his or her jurisdiction’s rules of ethical conduct that are inconsistent with these standards, they shall comply with the rules but endeavor to seek modification of those rules to make them consistent with these standards.
1-1.7 Duty to Respond to Misconduct
A prosecutor is obligated to respond to professional misconduct that has, will, or has the potential to interfere with the proper administration of justice:
a. Where the prosecutor knows that another person associated with the prosecutor’s office has engaged or intends to engage in professional misconduct that could interfere with the proper administration of justice, the prosecutor should address the matter in accordance with internal office procedures.
b. If the office lacks adequate internal procedures to address allegations of professional misconduct, a prosecutor who learns of the misconduct may, in the first instance, request that the person desist from engaging in the misconduct. If such a request is, or is likely to be, futile or if the misconduct is of a sufficiently serious nature, a prosecutor should report the misconduct to a higher authority within the prosecutor’s office.
c. If, despite a prosecutor’s best efforts, no action is taken in accordance with the prior procedures to remedy the misconduct, a prosecutor should report the misconduct to appropriate officials outside the prosecutor’s office (to the extent permitted by the law and rules of ethical conduct of the state).
d. A prosecutor’s failure to report known misconduct may itself constitute a violation of the prosecutor’s professional duties.
Commentary
A prosecutor is responsible for the presentation of the truth. Justice is not complete without the truth always being the primary goal in all criminal proceedings. A prosecutor is not a mere advocate and unlike other lawyers, a prosecutor does not represent individuals or entities, but society as a whole. In that capacity, a prosecutor must exercise independent judgment in reaching decisions while taking into account the interest of victims, witnesses, law enforcement officers, suspects, defendants and those members of society who have no direct interest in a particular case, but who are nonetheless affected by its outcome.
A prosecutor acts zealously when they pursue justice with great energy or enthusiasm. As a representative of society as a whole, a prosecutor should take an active role in the legislative process when proposals dealing with the criminal justice system are being considered. In that role, the prosecutor once again should exercise his or her independent judgment in supporting legislation in the best interest of society.
Inherent in the prosecutors' duty is to ensure that decisions made during a case, including whether or not to charge a person, are nondiscriminatory. Prosecutors should not react and make decisions based upon political or public pressure. It is the prosecutor's obligation to maintain a higher duty to ensure that the law is enforced appropriately, fairly and in an unbiased manner.
A full-time chief prosecutor confers many advantages on his or her jurisdiction. Among other advantages, the prosecutor is not distracted by a private law practice; is readily available for consultation with law enforcement officers; is more accountable to society for his or her decisions and performance; and, is not vulnerable to the various potential conflicts of interest that can plague a part-time prosecutor.
Despite those advantages, there are many part-time prosecutors in the United States. This situation is generally created by the societal preference for local accountability and control in locations where the sparse population, geographic size of the jurisdiction, budget and caseload do not warrant that the position be approached as a full-time one. The position of the standard is that the office be approached on a full-time basis insofar as that is possible in any given jurisdiction.
Whether full-time or part-time, the position should be approached as a career and not as a steppingstone or sideline. This means that the prosecutor is prepared to bring to his public duties an orientation of primacy. No matter what other activities the prosecutor is involved in, his public duties come first. A part-time prosecutor should not represent persons in criminal matters when it interferes with his duties and responsibilities as a prosecutor.
It is important for prosecutors to become involved in the rule making process and to be involved in local jurisdiction processes in adopting the rules.
Using appropriate procedures and in appropriate fora, a prosecutor may challenge such code provisions believed in good faith to be unjust or inapplicable. The existence of a code or rule does not eliminate the duty of the prosecutor to seek justice and serve the public interest. In this sense, the role of the prosecutor is not always the same as other members of the bar. If a prosecutor chooses to disregard a code or rule because of a belief that his or her duty to seek justice requires the same, it should be done with the awareness that the licensing authority in the jurisdiction may well disagree with that determination.
Because the responsibility to seek justice is one borne by each individual prosecutor, one cannot turn a blind eye or a deaf ear to misconduct by another prosecutor that will or has the potential to interfere with that responsibility. To prepare for such a situation, a chief prosecutor should establish an internal office procedure to be used when necessary. In the absence of such a procedure, a prosecutor should report the misconduct to a higher authority inside the prosecutor’s office.
If, despite a prosecutor’s best efforts, no action is taken in accordance with the prior procedures to address the misconduct, a prosecutor should report the misconduct to appropriate officials outside the prosecutor’s office to the extent permitted by the law and rules of ethical conduct of the state. In the event that the prosecutor believes that action taken by a higher authority in the office is inadequate, the prosecutor should consider discussing the matter with a designated ethical advisor or a statewide ethical adviser before deciding what other action should be taken.
2. Professionalism
1-2.1 Standard of Conduct
A prosecutor should conduct himself or herself with a high level of dignity and integrity in all professional relationships, both in and out of court. Appropriate behavior includes, but is not limited to, the following:
a. A prosecutor should act with candor, good faith, and courtesy in all professional relationships.
b. A prosecutor should act with integrity in all communications, interactions, and agreements with opposing counsel. A prosecutor should not express personal animosity toward opposing counsel, regardless of personal opinion.
c. A prosecutor should at all times display proper respect and consideration for the judiciary, without foregoing the right to justifiably criticize individual members of the judiciary at appropriate times and in appropriate circumstances.
d. A prosecutor should be punctual for all court appearances. When absence or tardiness is unavoidable, prompt notice should be given to the court and opposing counsel.
e. A prosecutor should conduct himself or herself with proper restraint and dignity throughout the course of proceedings.
f. A prosecutor should treat witnesses fairly and professionally and with due consideration. In questioning the testimony of a witness, a prosecutor should not engage in a line of questioning intended solely to abuse, insult or degrade the witness. Examination of a witness’s credibility should be limited to legally permitted impeachment techniques.
g. A prosecutor should avoid obstructive and improper tactics. Examples of such tactics include, but are not limited to, knowingly:
a. Making frivolous objections, or making objections for the sole purpose of disrupting opposing counsel;
b. Attempting to proceed in a manner that is obviously inconsistent with a prior ruling by the court;
c. Attempting to ask clearly improper questions or to introduce clearly inadmissible evidence; or
d. Engaging in dilatory actions or tactics.
Commentary
A prosecutor’s obligation to comply with the rules of ethical conduct of his or her jurisdiction is a fundamental and minimal requirement. When a prosecutor falls below that standard, he or she may expect sanctions impacting on a particular case or on the individual prosecutor.
The dignity and honor of the profession call for compliance with a higher standard of conduct—one of professionalism. This standard requires the prosecutor to bring integrity, fairness, and courtesy into all interactions, whether they are with victims, witnesses, law enforcement officers, opposing counsel, the court, jurors, or defendants.
This standard follows the lead of many state and local bar associations that have created codes of professionalism. It should be used to inspire and invigorate all prosecutors, from the recently admitted to the very experienced, as all can be affected by the stress of the situations encountered by prosecutors. This especially applies in litigation, where emotions run highest, and the adversary setting generates a competitive orientation.
While professionalism is a word of elusive definition, the standard lists a number of types of conduct that must be considered. It is strongly recommended that wherever prosecution adopts and abides by a code of professionalism, the defense bar should reciprocate.
3. Conflicts of Interest
1-3.1 Conflict Avoidance
A prosecutor should not hold an interest or engage in activities, financial or otherwise, that conflict, have a significant potential to conflict, or are likely to create a reasonable appearance of conflict with the duties and responsibilities of the prosecutor’s office.
1-3.2 Conflicts with Private Practice
In jurisdictions that do not prohibit private practice by a prosecutor:
a. The prosecutor in his private practice should not represent clients in any criminal or quasi-criminal related matters, regardless of the jurisdiction where the case is pending;
b. The prosecutor should avoid representing to private clients or prospective clients that the status of a prosecutor could be an advantage in the private representation;
c. The prosecutor should not indicate his or her status as a prosecutor on any letterhead, announcement, advertising, or other communication involved in the private practice, and should not in any manner use the resources of the prosecutor’s office for the purpose of such non-prosecutorial activities;
d. The prosecutor should excuse himself or herself from the investigation and prosecution of any current client of the prosecutor and should withdraw from any further representation of that client.
1-3.3 Specific Conflicts
In all jurisdictions, including those prohibiting private practice by prosecutors:
a. The prosecutor should excuse himself or herself from the investigation and prosecution of any former client involving or substantially related to the subject matter of the former representation, unless, after full disclosure, the former client gives informed written consent permitting the prosecutor’s involvement in the investigation or prosecution.
b. The prosecutor should excuse himself or herself from the investigation and prosecution of any matter where information known to the prosecutor by virtue of a prior representation and subject to the attorney-client privilege would be pertinent to the criminal matter, unless, after full disclosure, the former client gives informed written consent permitting the prosecutor’s involvement in the investigation or prosecution.
c. The prosecutor should excuse himself or herself from the investigation and prosecution of any person who is represented by a lawyer related to the prosecutor as a parent, child, sibling, spouse, or domestic partner, or who has a significant financial relationship with the prosecutor.
d. The prosecutor should excuse himself or herself from any investigation, prosecution, or other matter where personal interests of the prosecutor would cause a fair-minded, objective observer to conclude that the prosecutor’s neutrality, judgment, or ability to administer the law in an objective manner may be compromised.
e. If an assistant or deputy prosecutor learns of the potential of a specific conflict, he or she should immediately report the matter to the chief prosecutor or a designee thereof.
1-3.4 Officer Involved Shootings
The local or state prosecutor with primary jurisdiction should retain the authority to prosecute cases involving “Officer Involved Shootings,” however:
a. If the prosecutor believes that his/her relationship with the involved local law enforcement agency would impact the prosecutor objectively handling the case, then recusal should be considered;
b. If the prosecutor believes that public perception of the integrity of his/her office and public confidence in the handling of the case would negatively be impacted, the prosecutor should consider seeking assistance from other prosecutorial sources such as State or Local prosecutors from other jurisdictions, the State Attorney General, federal prosecutors, or a special prosecutor, who is not paid by the hour or where compensation does not depend on charging decisions;
c. If the prosecutor involves the use of a Grand Jury to make the charging decision, in order to ensure fairness and a complete review, he/she should make certain that all available evidence, including testimony from law enforcement officers, alleged victims, experts, including use of force experts, lay witnesses and family members is presented;
d. The prosecutor should always insist on as much transparency as possible without compromising the evidence in the case and should be mindful of the interest of the law enforcement officers, victims, victim’s family members and the public at large.
1-3.5 Conflict Handling
Each prosecutor’s office should establish procedures for handling actual or potential conflicts of interest. These procedures should include, but are not limited to:
a. The creation of firewalls and taint or filter teams to ensure that prosecutors with a conflict are not improperly exposed to information or improperly disclose information; and
b. Methods to accurately document the manner in which conflicts were handled to ensure public trust and confidence in the prosecutor’s office.
1-3.6 Special Prosecutors
Where an actual or potential conflict of interest exists that would prevent the prosecutor’s office from investigating or prosecuting a criminal matter, the prosecutor’s office should appoint, or seek the appointment of a “special prosecutor,” or refer the matter to the appropriate governmental authority as required by law. Under those circumstances where a special prosecutor is appointed:
a. The special prosecutor should be a member of the state bar in good standing, with appropriate experience in the subject matter of the appointment, and should be perceived as having sufficient detachment from the prosecutor’s office so as not to be influenced by any actual or potential conflict;
b. The special prosecutor should have the authority only over the case or cases for which he or she is appointed; and
c. Subject to the need to avoid the appearance of a conflict, a chief prosecutor and his or her assistants and staff should give all appropriate assistance, cooperation, and support to a special prosecutor.
Commentary
There are few topics of ethical orientation more pervasive than conflicts of interest. Conflicts may arise not only from relationships with current or former clients, but also with a prosecutor’s other activities—financial or otherwise.
Conflicts of interest problems are founded on the premise of the inability to serve two masters with foreseeable different interests that compete or contend.
Conflicts present themselves differently to the prosecutor, compared to the private practitioner, because the prosecutor does not initially select those subject to prosecution. Nor is there usually a choice of which prosecution office should proceed.
The standards recognize potential conflicts in all jurisdictions involving former clients or information obtained by virtue of former representation and allow the prosecutor to proceed on the case only if the individual makes a counseled waiver permitting the prosecutor’s involvement.
Prosecutors recognize the importance of avoiding conflicts of interest to ensure that an investigation into the potential criminal misconduct of a law enforcement officer is conducted with integrity and independence. Thus, prosecutors should take reasonable steps to avoid conflicts when investigating those law enforcement agencies in their jurisdictions that
they interact with on a daily basis. Prosecutors should be supportive of enacting systems and providing resources to allow a state or local prosecutor to transfer jurisdiction when appropriate. The elected prosecutor of the jurisdiction involved is in the best position to seek justice for the members of that community; indeed, that prosecutor has been elected by the constituents to do precisely that. Prosecutions involving the criminal misconduct of police officers are some of the most difficult cases to try. When prosecutors are called upon to review use of force incidents, they can only file charges if the amount of force used was illegal; prosecutors cannot charge an officer who may have used force that was just ill-advised. There is no pool of more capable, experienced, dedicated trial lawyers than state and local prosecutors. By ensuring that an impartial state or local prosecutor is provided the resources and support to review police misconduct, prosecutors can be confident they can hold bad actors within the law enforcement community accountable.
The extent to which firewalls and filters may be used depend upon the size of the office and jurisdiction, the media coverage of the matter, the type of matter concerned, and the position of the conflicted prosecutor in the office. If such methods are or are likely to be ineffective, the chief prosecutor should seek a qualified special prosecutor and offer appropriate assistance.
4. Selection, Compensation, and Removal
1-4.1 Qualifications
At the time of filing for election, appointment, or hiring, and for the duration of the term of office or employment, a prosecutor shall be a member in good standing of the state’s bar, except as otherwise provided by law. Chief prosecutors should be residents of the jurisdiction that they serve.
1-4.2 Compensation; Responsibilities of the Chief Prosecutor
Chief prosecutors should be compensated commensurate with their responsibilities. The salary of the full-time chief prosecutor should be at least that of the salary of the chief judge of general trial jurisdiction in the chief prosecutor’s district and should not be lowered during a term of office. Factors that should be considered in determining compensation include, but are not limited to:
a. The benefits to the jurisdiction of encouraging highly competent people to seek a position of prosecutor with a career orientation; and
b. The level of compensation of people with analogous responsibilities in the private practice of law, in private industry, and in public service.
1-4.3 Compensation of Assistant and Deputy Prosecutors
The compensation of the chief prosecutor should not serve as a basis for the highest compensation of assistant prosecutors. Factors that should be considered in determining the compensation for an assistant prosecutor include, but are not limited to:
a. The benefits to the jurisdiction of encouraging highly competent people to seek a position of assistant prosecutor with a career orientation; and
b. The level of compensation of people with analogous responsibilities in the private practice of law, in private industry, and in public service.
Factors that may not be considered in setting the compensation for an assistant prosecutor include, but are not limited to:
a. Characteristics of the assistant prosecutor that are irrelevant to his or her ability to perform the job and historically have been the basis of invidious discrimination, including race, gender, religion, national origin, and sexual orientation;
b. Partisan political affiliation or activity; and
c. Revenues generated by that particular assistant prosecutor’s performance such as asset forfeitures or collection of fees.
1-4.4 Benefits
A chief prosecutor should seek to ensure that all assistant attorneys have access to a benefits program commensurate with their responsibilities. These benefits should include indemnification or insurance to pay all costs of defense against, and judgments rendered in, civil lawsuits arising from the prosecutor’s performance of his or her official duties.
1-4.5 Workload
Except in extraordinary circumstances, a prosecutor should not maintain, and should not be asked to maintain, a workload that is inconsistent with the prosecutor’s duty to ensure that justice is done in each case.
1-4.6 Removal
A chief prosecutor shall hold office during his or her term of office and shall only be removed by procedures consistent with due process and governing law. Factors that may not be taken into account in the removal of a prosecutor include, but are not limited to, the following:
a. Characteristics of the prosecutor that are irrelevant to his or her ability to perform the job and historically have been the basis of invidious discrimination, including race, gender, religion, national origin, and sexual orientation.
b. Partisan activities that are legal and ethical unless those activities interfere with the efficient administration of the office.
c. The refusal to participate in partisan activities.
1-4.7 Discharge of Assistant and Deputy Prosecutors
Assistant and deputy prosecutors are subject to removal according to the laws of their jurisdictions and the procedures in their offices. Factors that may not be taken into account in the removal of a prosecutor include, but are not limited to, the following:
a. Characteristics of the prosecutor that are irrelevant to his or her ability to perform the job and historically have been the basis of invidious discrimination, including race, gender, religion, national origin, and sexual orientation.
b. Partisan activities that are legal and ethical unless those activities interfere with the efficient administration of the office.
c. The refusal to participate in partisan activities.
Commentary
Given the preference for involvement with the represented community, the need to be available for consultation with law enforcement personnel, and the need to be available in the event of an emergency or unusual situation, the chief prosecutor should be a resident of his or her jurisdiction. Even though, in some jurisdictions, disbarment of the prosecutor would not disqualify him or her from holding the office, the public interest would dictate resignation in that situation.
Provision of an adequate salary is an absolute necessity if the office of prosecutor is to function at maximum efficiency. An adequate salary is essential for attracting capable candidates to the position of prosecutor. Without such compensation, capable persons who might otherwise be attracted to the prosecutor’s office are diverted to private practice of law or other endeavors.
The salary provided the prosecutor should be at least that of the salary of the judge of general trial jurisdiction in the district of the prosecutor. As noted by the National Advisory Commission on Criminal Justice Standards and Goals, Courts 230 (1973):
For purposes of salary, the prosecutor should be considered to be on the same level as the chief judge of the highest trial court of the local criminal justice system. Both positions require the exercise of broad professional discretion in the discharge of the duties of the offices. It is therefore reasonable that the compensation for the holders of these offices has the same base.
Provision for an adequate salary level is also essential to reduce the rapid turnover of local prosecutors. The skills and judgment required by a prosecutor are developed with time and experience. To retain the best representatives of the people, the salary and benefits exchanged for services must be commensurate with the salary and benefits available in other areas for the expertise developed. Without the ability to earn a salary sufficient to justify remaining in the prosecutor’s office, the office becomes a training ground for private practitioners and the people are denied the best representation.
A prosecutor has the responsibility to seek justice in every case. Ensuring that a matter has been properly investigated and evaluating how it should be handled are time consuming. In those cases that go to trial, the preparation required to proceed effectively is filled, in many instances, with education regarding experts in various fields and creation of technological presentations and exhibits which are increasingly necessary to effectively explain the prosecution’s theory of the case.
Because of the need to thoroughly investigate, evaluate, prepare and try a variety of cases, prosecutors should not be overwhelmed by large numbers of cases needing disposition. If they are, the quality of representation afforded the people suffers and the difficulty in retaining good, experienced prosecutors increases.
Without addressing specific reasons for the removal from office of the chief prosecutor or assistant prosecutors, the standard requires that such actions be subject to procedural due process. Equally important is the necessity that such removals are not undertaken because of prejudice against the prosecutor’s race, gender, religion, national origin or sexual orientation.
Engaging in partisan political activities, or the refusal to engage in the same should not be a basis for removal unless the activity interferes with the efficient operation of the office.
Prosecutors should be mindful of their responsibility to seek justice. Should a prosecutor find himself or herself in a situation in which the public trust in the office has diminished to the extent that he or she can no longer fulfill that primary responsibility, resignation should be considered.
Given the litigious nature of some persons involved in the criminal justice system, a program providing indemnification or insurance to pay all costs incurred by the prosecutor in defending against civil lawsuits and in paying judgments arising from the performance of his or her official duties is essential. That benefit will enable a prosecutor to seek justice despite the threats of civil litigation that, even if totally unfounded, can consume time and resources to defend.
5. Staffing and Training
1-5.1 Transitional Cooperation
When an individual has been elected or appointed prosecutor, the incumbent prosecutor should, when practicable, fully cooperate in an in-house orientation of the incoming prosecutor to allow for an effective transition consistent with the principles of professional courtesy. This cooperation may include, when possible, designating the incoming prosecutor a special assistant prior to the time the incoming prosecutor assumes office, so that the incoming prosecutor may be briefed on significant ongoing proceedings and deliberations within the office, including grand jury or other investigations.
1-5.2 Assistant and Deputy Prosecutors
a. Assistant and deputy prosecutors, by whatever title, should be selected by the chief prosecutor and should serve at the chief prosecutor’s discretion, unless otherwise provided by law or contract.
b. Assistant and deputy prosecutors should be active members of the state bar in good standing, except as otherwise provided by law.
c. Assistant and deputy prosecutors should be selected on the basis of their achievements, experience, and personal qualifications related to their ability to successfully perform the work of the prosecutor’s office. Personal or political considerations that have no legitimate bearing on the ability to perform the required work should not play a role in the hiring, retention, or promotion of assistant and deputy prosecutors. Recruitment efforts should also be made in order to hire a diverse staff that reflects the composition of the community.
d. Absent unusual circumstances, a chief prosecutor should seek a commitment for a minimum number of years of employment at the time of hiring or promoting assistant or deputy prosecutors, conditioned upon continuing good performance.
e. When a new chief prosecutor takes office, professional discretion should be exercised in favor of retaining those with seniority and experience alongside suitable work performance history prior to the consideration of any dismissals simply because of working under a prior administration.
1-5.3 Orientation and Continuing Legal Education
At the time they commence their duties and at regular intervals thereafter, prosecutors should participate in formal training and education programs. Prosecutors should seek out continuing legal education opportunities that focus specifically on the prosecution function and:
a. Chief prosecutors should ensure that all prosecutors under his or her direction participate in appropriate training and education programs. Chief prosecutors should also be knowledgeable of and make use of appropriate national training programs for both orientation and continuing legal education for both himself or herself and the prosecutors in his or her office.
b. Chief prosecutors should support all prosecutors under his or her direction in training programs sponsored by a state or national association or organization.
c. Prosecutors with supervisory responsibilities should include in their continuing training the study of management issues, such as staff relationships and budget preparation.
d. The chief prosecutor should ensure that each new prosecutor becomes familiar with these standards, as well as rules of ethical conduct and professionalism that have been adopted in the jurisdiction.
e. Chief prosecutors should identify one or more sources, both within and outside the office, to which the prosecutors can turn for guidance on questions related to ethical conduct and professionalism.
f. Prosecutors should be diligent in meeting or exceeding requirements for continuing legal education in those jurisdictions where the requirements are mandatory.
g. Adequate funds should be allocated in the prosecutor’s budget to allow for both internal training programs and attendance at external training events.
1-5.4 Office Policies and Procedures
Each prosecutor’s office should develop written and/or electronically retrievable statements of policies and procedures that assist in the performance of those who work in the prosecutor’s office.
Commentary
1-5.1: Criminal investigations, trial preparation, trials, and the day-to-day operation of the prosecutor’s office do not coincide with election cycles. Therefore, it is important for the efficient representation of the people that the transition from one prosecutor’s term to another be as seamless as possible. Because of the confidential character of much of the activity in a prosecutor’s office, it may be that the most appropriate manner in which to orient an incoming chief prosecutor is through his or her appointment as a special prosecutor, so that briefings on confidential matters can be accomplished. It is important for both the outgoing and incoming prosecutors to remember that his or her responsibility to seek justice for the people of the community may require the setting aside of campaign differences in a professional manner.
1-5.2: In addition to confirming that prospective assistants are members in good standing of the bar of the jurisdiction, the chief prosecutor should carefully examine the assets they would bring to the office. An assessment of their educational background, work experience, judgment, written and oral communication skills, trial advocacy skills and other personal qualifications without regard to who they know should form the basis for hiring, promotion and retention decisions.
The recruitment of qualified minorities is an essential aspect of this goal and should be incorporated into the hiring practices and procedures of all prosecution offices. While it is not the responsibility of the prosecutor to meet predetermined quotas, the office benefits by having a diverse staff that reflects the community that is served.
It is also desirable for the chief prosecutor to request that all prospective assistant or deputy prosecutors agree to serve for a minimum time period if hired; such a time commitment is preferable given the extensive training and acquired experience any new hire needs before they can deliver their best work for an office.
While recognizing the authority of a newly elected chief prosecutor to hire and fire assistant prosecutors, the practice of dismissing assistant prosecutors solely because they worked for a prior administration is not favored. The automatic dismissal of assistant prosecutors who have dedicated their talent and career to serving the community as a prosecutor can have a significant negative effect on the community and can discourage attorneys from dedicating their career to the profession. Newly elected chief prosecutors are encouraged to give strong consideration to retaining senior assistant prosecutors who bring a breadth of experience, expertise, institutional knowledge and specific casework that cannot be replaced.
1-5.3: Conceptually, staff training can be divided into two broad categories. The first, which might be termed “orientation,” would seek to provide new assistants or deputies, as well as chief prosecutors, with an understanding of their responsibilities in the criminal justice system, and with the technical skills they will be required to utilize. Orientation for the chief prosecutor should center on office management skills, especially for larger jurisdictions. A basic orientation package for assistants could include familiarization with office structure, procedures, and polices; the local court system; the operation of local police agencies; and training in ethics, professional conduct, courtroom decorum, and relationships with the court and the defense bar.
A second aspect of training which should be included in each prosecutor’s training program is continuing education. First and foremost, the prosecutor must abide by any continuing legal education requirements of his or her jurisdiction. The content of the training should be relevant to the duties of the prosecutor. For the chief prosecutor and other prosecutors in management positions, training on personnel, management and budget issues would be appropriate. For other prosecutors, concentration on substantive law, rules of evidence, forensic evidence, trial advocacy, and other matters relevant to their duties should be sought. While some of the largest offices have training divisions which can provide much of the training needed, the chief prosecutor should be cognizant that it is important to have exposure to what is going on throughout the national criminal justice community. Prosecutors benefit from this exposure because it allows them to stay current regarding new defenses, jointly address concerns confronting prosecutors, and learn techniques that can improve their ability to seek justice for their communities.
In addition to providing opportunities for prosecutors to learn the information and skills required to perform their duties, the chief prosecutor must be diligent in requiring his or her prosecutors to be thoroughly familiar with his or her rules of ethical conduct and professional responsibilities. At an absolute minimum, the chief prosecutor must ensure that all prosecutors in his or her office have a working knowledge of the ethical rules and professional codes applicable to the jurisdiction as well as these standards. In addition, the chief prosecutor should work to create an atmosphere in which the discussion of ethical and professional considerations is encouraged. The chief prosecutor should also make known persons and procedures that can be utilized if more private consultation is desired.
By calling for the allocation of funds in the prosecutor’s budget, this standard may help to emphasize the essential role of training in assuring efficient and effective performance of prosecutorial duties while disabusing the notion that training is a frill or an extra to be cut at the first sign of any pressure on the budget.
1-5.4: A prosecutor’s office should have written policies and procedures to aid in the effective orientation and training of new staff, as well as providing a reference guide or handbook for employees on how the office functions. These would consist of non-substantive law matters, such as an equal opportunity statement, sexual harassment policy and workplace violence policy. Other such policies would include conditions of employment, hours of work, available leaves, and employment actions such as discipline.
Prosecutors without statements of policies and procedures should consult with their local, state, and national associations and other prosecution offices to lessen the burden of the initial development.
6. Prosecutorial Immunity
1-6.1 Scope of Immunity
When acting within the scope of his or her prosecutorial duties, a prosecutor should enjoy the fullest extent of immunity from civil liability. The chief prosecutor should take steps to see that all costs, including attorneys’ fees and judgments, associated with suits claiming civil liability against any prosecutor within the office arising from the performance of their duties should be borne by the prosecutor’s funding entity.
Commentary
In *Imbler v. Pachtman*, 424 U.S. 409 (1976), the U.S. Supreme Court ruled that prosecutors enjoy absolute immunity from Civil Rights Actions brought under Section 1983, 42 U.S.C., when acting within the scope of their duties in initiating and pursuing a criminal prosecution and in presenting the state’s case. The Court noted that although such immunity leaves the genuinely wronged criminal defendant without civil redress against a prosecutor whose malicious or dishonest action deprives him of liberty, the alternative of qualifying a prosecutor’s immunity would outweigh the broader public interest in that it would prevent the vigorous and fearless performance of the prosecutor’s duty that is essential to the proper functioning of the criminal justice system.
The Court did not extend such absolute immunity to actions taken by a prosecutor outside of the scope of his or her duties as aforesaid. Thus, *Imbler* did not change pre-existing law with respect to the performance of duties that traditionally are viewed as investigative duties falling primarily within the police function.
Although there has been a multitude of case law subsequent to *Imbler* discussing the prosecutor’s immunity for “administrative” and “investigative” duties, no bright line rule has been established.
In order to ensure that prosecutors are free to vigorously and fearlessly perform their essential duties, the prosecutor’s funding source should provide the costs, including attorney fees and judgments associated with civil suits against the prosecutor and his or her staff. No prosecutor should be expected to function without full coverage for actions arising out of the performance of his or her duties.
Part II. Relationships
1. Local Organizations
2. State Criminal Justice Organizations
3. National Criminal Justice Organizations
4. Other Prosecutorial Entities
5. Law Enforcement
6. The Court
7. Suspects and Defendants
8. Defense Counsel
9. Victims
10. Witnesses
11. Community-Based Programs
12. Prisons
13. Parole and Early Release
14. The Media
15. Funding Entity
16. The Public
17. Non-Governmental Entities
1. Local Organizations
2-1.1 Chief Prosecutor’s Involvement
The chief prosecutor should be involved in local entities established and maintained in his or her jurisdiction for the purpose of enhancing the effectiveness, efficiency, and fairness of the administration of criminal justice, to the extent practicable and to the extent the prosecutor reasonably believes such entities are legitimately committed to protecting public safety. The obligations a prosecutor undertakes on behalf of community organizations should extend only to those that he or she can fulfill in a diligent and competent manner.
2-1.2 Information Input
To the extent permitted by law, the chief prosecutor should provide such criminal justice entities with information, advice, and data pertinent to the solution of problems identified in
the jurisdiction and should consider the implementation of appropriate proposals designed to address and resolve such problems.
2-1.3 Organization Establishment
In those jurisdictions where there are no local inter-agency entities established for the enhancement of the effective, efficient, and fair administration of criminal justice, the chief prosecutor should determine the potential benefits of such organizations and, if deemed beneficial, provide leadership in their establishment.
2-1.4 Community Prosecution
The chief prosecutor should be mindful of opportunities to engage school officials, community youth organizations, social service agencies, neighborhood crime watch groups, and other such organizations with law enforcement agencies, including the prosecutor’s office, in efforts to prevent and detect crime.
2-1.5 Enhancing Prosecution
The chief prosecutor should participate in state and local bar associations for the purpose of enhancing and advancing the goals of the prosecution function in the legal community.
2. State Criminal Justice Organizations
2-2.1 Need for State Association
Each state should have a professional association of prosecuting attorneys for the purpose of serving and responding to the needs of its membership and enhancing the prosecution function. The chief prosecutor should be an active member of his or her state association and should allow his or her assistants and deputies to be members of and participate in the state association. Each state association should provide services that are most conducive to development at the statewide level, including, but not limited to, the following:
a. Continuing legal education;
b. Training of newly elected prosecutors and their staffs;
c. Management training;
d. Support for in-house training programs;
e. Information dissemination (newsletters, bulletins, etc.);
f. Sharing transcripts of testimony of defense experts for purposes of cross-examination;
g. Technical assistance in planning, management, litigation, and appeals, including the maintenance of data and brief banks;
h. Promulgating model office policies and procedures;
i. Coordinating resources not otherwise available or frequently used;
j. Monitoring legislative developments and drafting model legislation;
k. Maintaining liaisons between the offices of various prosecutors;
l. Developing innovative programs; and
m. Developing and monitoring computer systems.
2-2.2 Enhancing Prosecution
The chief prosecutor should participate, to the extent possible, in statewide committees, task forces and other entities for the purpose of enhancing and advancing the goals of the prosecution function. The obligations a prosecutor undertakes in statewide entities should extend only to those that he or she believes can be fulfilled in a diligent and competent manner.
3. National Criminal Justice Organizations
2-3.1 Enhancing Prosecution
The chief prosecutor should take an active role, to the extent possible, in national criminal justice organizations that exist for the purpose of enhancing and advancing the goals of the prosecution function. The obligations a prosecutor undertakes in national organizations should extend only to those that he or she believes can be fulfilled in a diligent and competent manner.
2-3.2 Prosecutorial Input
The chief prosecutor should seek to ensure that national criminal justice organizations undertake all reasonable measures to include the substantial involvement and views of incumbent state and local prosecutors in the research and studies and promulgation of standards, rules, and protocols that impact on the prosecutor and the prosecution function.
Commentary
The prosecutor should participate in local, state, and national affairs for the improvement of the criminal justice system. Activities that the prosecutor might undertake include provisions of information and advice to governmental bodies and citizens’ groups, review and consideration of pending state and national legislation, and participation in criminal justice-related programs or projects. A good prosecutor is a good attorney and would be expected to be active in his local and state bar associations.
The standards recognize the rapid growth in community organizations in the last 20 years devoted to specific interests, such as DUI enforcement, rape prevention/counseling programs, spousal and child abuse prevention, drug education programs, and neighborhood watch programs, to name just a few. An interested and informed citizenry can be a valuable partner in law enforcement. The standards encourage prosecutors in communities lacking such grassroots organizations to consider appropriate ways and means whereby citizen interest in their formation can be stimulated.
Because the office of the prosecutor is a local one, the responsibilities placed on this office are probably more diverse than those at any other level of government which may have the capacities for specialization. For example, citizen complaints may range from how to cope with a neighbor’s children to how to collect on a bad check. Expectations from law
enforcement agencies and the courts are equally diverse and more demanding. In many jurisdictions, the prosecutor is also the attorney for his county. This responsibility may demand an expertise in taxation, school law, zoning, property law, employee disciplinary law, health law, environmental law, and labor relationships.
If every prosecutor’s office were designed on a level of specialization necessary to address each area it is responsible for, it would not only be a tremendous (and no doubt prohibitive) financial burden, but also an enormous duplication of effort on a county-by-county or district-by-district basis. On the other hand, local initiative, flexibility, and accountability are essential factors that must be maintained in prosecution. Thus, one method of alleviating this problem is through a statewide association of prosecuting attorneys, a concept that NDAA has long fostered.
Such an association should be made up of all local prosecutors in a state and should have a full-time staff. This organization must be responsive to the needs of its members. As a result, the various functions will differ. However, those areas of concentration may include those items set forth in the standard.
Because the purpose of such an association is to serve prosecutors, it is imperative that they be involved and support the operation of the association. Membership should be the responsibility of all prosecuting attorneys, and dues should be paid through the prosecutor’s budget. Membership should not be limited to chief prosecutors but should be open to assistants as well.
In addition, prosecutors who recognize the value of the functions of their state bar associations and prosecutors’ associations should be willing to commit time in volunteer support, such as serving on committees.
Likewise, the locally elected prosecutor and his staff should participate in and support their national organization for the advancement of the interests of effective law enforcement. The organization provides a forum for the local prosecutor that no other organization can and an effective voice in national legislative and policy-making activities. The programs of training, publications, technical assistance, and focused activities (such as drug enforcement, child abuse enforcement, environmental law enforcement, etc.), provide the local prosecutor with a perspective that reaches beyond the state level. The failure of local prosecution to be active in local, state, and national associations will result in the advancement of competing entities. At the same time, it is important that prosecutors not volunteer their time unrealistically and are able to meet the demands of their undertakings.
4. Other Prosecutorial Entities
2-4.1 Prosecutorial Cooperation
In recognition of their mutual goal of serving the interests of justice, the prosecutor should cooperate with other federal, state, military, tribal and local prosecutorial entities in the investigation, charging, dismissal, or prosecution of cases that may be of common concern to their respective offices.
2-4.2 Coordinated Prosecutions
The prosecutor should establish procedures for ascertaining, to the extent possible, the likelihood that the defendant will be investigated and/or prosecuted by other jurisdictions for similar conduct, and coordinate prosecutions with the relevant prosecutorial agencies, in order to avoid unnecessarily duplicative investigations and/or prosecutions and to avoid impediments to prosecution such as defense claims of double jeopardy or grants of immunity.
2-4.3 Resource Sharing
The prosecutor should share resources and investigative information with other prosecutorial entities, when permitted by law and to the extent necessary, to ensure the fullest attainment of the interests of justice, without regard to political affiliation or partisan interest.
2-4.4 Duty to Report Misconduct
When a prosecutor has knowledge of misconduct or incompetence by another prosecutor, he or she should report that information in accordance with Standard 1-1.6. When the misconduct or incompetence involves the conduct of a prosecutor from another prosecutorial entity and it has the potential to interfere with the proper administration of justice, the chief prosecutor should report such conduct to the supervisor of the other prosecutorial entity. When the chief prosecutor has direct knowledge of a violation of the rules of ethical conduct by a prosecutor in another office, he or she shall also report such ethical misconduct to the appropriate bar disciplinary authority in the relevant jurisdiction, provided such misconduct raises a substantial question as to the prosecutor’s fitness to practice law.
2-4.5 Furtherance of Justice
The office of the prosecutor and the office of the state attorney general, where separate and distinct entities, should cooperate whenever practicable in the furtherance of justice.
2-4.6 Attorney General Assistance
In those states where the attorney general has criminal law responsibilities, the state attorney general may assist in local prosecutions at the request of the local prosecutor or otherwise as authorized by law. The state attorney general may also, when requested, play a role in mediating between local prosecutors when the possibility arises of prosecution in multiple jurisdictions, if such mediation is necessary to avoid injustice or the inefficient use of law enforcement resources.
Commentary
Every prosecutor, regardless of jurisdiction, has the responsibility to seek justice. Given our highly mobile society and the increasing methods by which crimes are committed, the quest for justice must sometimes cross jurisdictional lines. For that reason and to fully comply with their primary responsibility, prosecutors at all levels should cooperate to the fullest extent possible. Such cooperation can result in more efficient and effective investigations, the avoidance of double jeopardy claims, and a fuller awareness of the consequences of grants of immunity.
With increased cooperation, there is the increased possibility of a prosecutor gaining knowledge of another prosecutor’s misconduct or incompetency. Just as one cannot turn a blind eye or deaf ear to such conduct in one’s own jurisdiction, a prosecutor cannot ignore misconduct in another. The standard outlines the required course of action.
Intervention by the attorney general that is not requested is not likely to foster necessary, positive working relationships. The standard recommends that intervention by the state attorney general be only at the request of the local prosecutor. The major burden of law enforcement in America falls upon local law enforcement, and it is to the local chief prosecutor that such agencies turn for the prosecution of their cases and the initiation of investigations.
5. Law Enforcement
2-5.1 Communications
The chief prosecutor should actively seek to improve communications between his or her office and other law enforcement agencies. The prosecutor should prepare and encourage the use of uniform information sharing systems by all criminal investigative agencies within his or her jurisdiction.
2-5.2 Case Status Advisements
When it is practical to do so, the chief prosecutor should keep local law enforcement agencies informed of cases in which they were involved and provide information on those cases in order to aid law enforcement officers in the performance of their duties.
2-5.3 Law Enforcement Training
The chief prosecutor should encourage, cooperate with and, where possible, assist in law enforcement training. The prosecutor should also urge local law enforcement officers to participate in national, state, and regional training courses available to them.
2-5.4 Prosecution Assistance in Training
The chief prosecutor should assist in the on-going training of law enforcement officers by conducting periodic classes, discussions, or seminars to acquaint law enforcement agencies within their jurisdiction with recent court decisions, legislation, and changes in the rules of criminal procedure.
2-5.5 Liaison Officer
The chief prosecutor should request that each major law enforcement agency within his or her jurisdiction assign at least one officer specifically to the prosecutor’s office. That officer should serve as a liaison between offices and should be available to perform the duty of informing concerned officers within the officer’s agency of the progress and disposition of criminal cases.
2-5.6 Legal Advice
Although law enforcement agencies or individual law enforcement officers are not clients in criminal cases or employees of the prosecutor’s office, the prosecutor may provide independent legal advice to local law enforcement agencies concerning specific prosecutions. This advice may include the proper interpretation of the criminal laws, the sufficiency of evidence to commence criminal charges or arrest, the requirements for obtaining search warrants for physical evidence and electronic surveillance, and similar matters relating to the investigation of criminal cases. The prosecutor should serve in such an advisory capacity to promote lawful investigatory methods that will withstand later judicial inquiry. The prosecutor should encourage law enforcement officers to seek legal advice as early as possible in the investigation of a criminal case. Where possible, the prosecutor should identify a primary point of contact within the prosecutor’s office to receive and refer legal inquiries from particular law enforcement agencies. However, the prosecutor should be aware that activities of this nature that go beyond the traditional prosecution function could result in the loss of her/his immunity afforded by the courts from civil liability suits.
Commentary
The maintenance of good relationships between the prosecuting attorney and the law enforcement agencies within the community is essential for the smooth functioning of the criminal justice system. Both parties have the burden of fostering, maintaining, and improving their working relationship and developing an atmosphere conducive to a positive exchange of ideas and information.
The criminal justice system, of which the police are only one element, is a structure of law. Many times, this structure suffers from seemingly contradictory court decisions, public pressure, and the problems that arise in trying to balance effective law enforcement and the protection of the rights of individuals. The police face many of these problems. To alleviate these problems, the prosecutor could educate the police in the area of pre-trial criminal procedure, including search and seizure law, the arrest process, the use of force, and interrogation. In particular, with respect to the various exclusionary rules pertaining to the admissibility of evidence, the prosecutor has a responsibility to educate the police on the effect of court decisions in general and their application in specific cases where evidence was suppressed by a trial court. In performing such a function, the prosecutor must be aware of and follow the constraints imposed by duties of candor and restrictions on communication with represented persons or parties that may be included in ethical and professional codes to which they are subject.
The prosecutor has a large stake in the training and professionalization of local law enforcement. Its handling of a case is often crucial to the prosecutor’s success. Therefore, the prosecutor should encourage the local police to participate to the fullest extent possible in training programs operated on state, regional, and national levels. If such a program does not exist or is not available to police in the jurisdiction, it is in the prosecutor’s best interest to promote the development of such a program. Such training should result in more successful prosecutions. Besides the face value effectiveness of police training, it is an excellent opportunity to establish personal rapport and communications with individual police officers.
The prosecutor should advise the police on the legal aspects of criminal investigations. This advisory function pertains only to criminal matters and should not be confused with the function of police in-house counsel. Assuming the role of an advisor to any member of the police department on civil or personal matters is beyond the scope of the duties of the office of prosecuting attorney. In many cases, such a role would place the prosecutor in a position of possible conflict of interest with other duties prosecution is obliged to perform.
Furthermore, the prosecuting attorney may be restricted from any active participation in the police function by the threatened loss of immunity to civil damages in instances where participation is beyond the scope of advisor and, therefore, not an integral part of the judicial process. The prosecutor must always be cognizant that his quasi-judicial immunity afforded by the courts in civil liability suits is limited to actions taken in advancement of the traditional prosecution function.
The responsibility for sound communications between the prosecutor and law enforcement agencies is mutual. It is a goal of the prosecutor to keep police informed of developments in investigations, trials, and related matters. Both entities must seek to develop and implement systems and procedures that facilitate and enhance communications. One method of providing a consistent flow of information about all criminal matters is the development and use of a uniform information sharing system. Such systems ensure that all information necessary for successful investigations and prosecutions is available to all concerned parties in a timely manner.
6. The Court
2-6.1 Judicial Respect
A prosecutor shall display proper respect for the judicial system and the court at all times.
2-6.2 Respect in the Courtroom
A prosecutor should vigorously pursue all proper avenues of argument. However, such action must be undertaken in a fashion that does not undermine respect for the judicial function.
2-6.3 Improper Influence
A prosecutor should not seek to unfairly influence the proper course of justice by taking advantage of any personal relationship with a judge, or by engaging in any ex parte communication with a judge on the subject matter of the proceedings other than as authorized by law or court order.
2-6.4 Suspicion of Criminal Misconduct
When a chief prosecutor has a reasonable suspicion of criminal conduct by a member of the judiciary, the prosecutor should take all lawful investigatory steps necessary to substantiate or dispel such suspicions and, if substantiated, should initiate prosecution or refer the case to another prosecutor's office for review or appoint a special prosecutor in the case.
2-6.5 Responsibility to Report Misconduct
When a prosecutor has knowledge of conduct by a member of the judiciary that may violate the applicable code of judicial conduct and/or that raises a substantial question as to the judge’s fitness for office, the prosecutor has the responsibility to report that knowledge to his or her supervisor or if the chief prosecutor, directly to the relevant judicial conduct authority in his or her jurisdiction.
2-6.6 Application for Recusal
When a prosecutor reasonably believes that it is warranted by the facts, circumstances, law, or rules of judicial conduct, the prosecutor may properly seek that judge’s recusal from the matter.
Commentary
The prosecutor is an officer of the court, a public official accountable to those of his jurisdiction, and a hub of the criminal justice system. All of these dimensions influence the prosecutor’s relationships with the court.
The standard recognizes that judges, like all figures in the criminal justice system, are individuals of diverse talents, skills, and temperaments. While some are of superior character, others suffer from human frailties not uncommon in our society. Thus, while the prosecutor needs to have proper respect for the institution of the judiciary, at the same time, he has a responsibility to guard against the infrequent abuses from those who fail to honor their responsibilities while serving on the bench.
While this approach may require a delicate balance, it is necessary both inside and out of the courtroom. As is true of all National Prosecution Standards, effective justice is the paramount issue. Therefore, the prosecutor should neither undermine respect for the judicial function nor in any manner attempt to unfairly influence the court.
When judicial scandals are uncovered, they become an indictment of the entire criminal justice system, creating a public perception that all those involved in the system are corrupt. The prosecutor must assume the role of guardian against injustice and corruption. It is unacceptable to turn a deaf ear to suspicions of criminal activity or misconduct. The standard places a duty on the prosecutor to follow through with a thorough investigation when there is reasonable suspicion of criminal activity by a member of the judiciary. If the investigation dictates prosecution, the prosecutor must take the appropriate steps to see that it is commenced.
The standards make it clear that the prosecutor has responsibilities not only when misconduct is at the level of criminal activity, but also when a judge demonstrates the inability to carry out his duties with a minimal level of competence.
7. Suspects and Defendants
2-7.1 Communications with Represented Persons
A prosecutor should respect a suspect’s and defendant’s constitutional right to the assistance of counsel. A prosecutor should also take steps to ensure that those persons working at his or her direction respect a suspect’s and defendant’s constitutional right to the assistance of counsel. Notwithstanding the foregoing:
A prosecutor may communicate with a defendant or suspect in the absence of his counsel when either (1) counsel has consented to the communication or (2) the communication is authorized by law or court rule or order.
A prosecutor may communicate with a witness who is also charged as a defendant in an unrelated criminal matter about the witness’s upcoming testimony without the advance permission of the witness’s attorney so long as the prosecutor does not discuss the criminal charges pending against the witness and the communication does not violate any rules or laws of the jurisdiction.
2-7.2 Communication with Unrepresented Defendants
When a prosecutor communicates with a defendant charged with a crime who is not represented by counsel, the prosecutor should make certain that the defendant is treated with honesty, fairness, and with full disclosure of his or her potential criminal liability in the matter under discussion.
A prosecutor should identify himself or herself to the defendant as a prosecutor and make clear that he or she does not represent the defendant. If legally required under the circumstances, the prosecutor should advise the defendant of his or her rights.
If a prosecutor is engaged in communications with a charged defendant who is not represented by counsel and the defendant changes his or her mind and expresses a desire to obtain counsel, the prosecutor should terminate the communication to allow the defendant to obtain counsel, or to secure the presence of counsel. When appropriate, the prosecutor should advise the defendant on the procedures for obtaining appointed counsel.
2-7.3 Unsolicited Communications
A prosecutor may receive, accept and use unsolicited written correspondence from defendants, regardless of whether the defendant is represented by counsel. If the prosecutor does not know that the defendant is represented by counsel, a prosecutor may receive unsolicited oral communications from defendants, of which he or she has no advance notice, without any duty of first ascertaining whether or not there is a valid reason for the communication or whether or not the defendant is represented by counsel. However, the situation may arise where a defendant who has been charged with a crime is represented by counsel, but requests to communicate with a prosecutor on the subject of the representation out of the presence of his or her counsel. Before engaging in such communication, the prosecutor should first ascertain whether the defendant has expressed a valid reason to communicate with the prosecutor without the presence of his or her attorney, and if so, should thereafter communicate with the defendant only if authorized by law or court order.
2-7.4 Plea Negotiations
If a prosecutor enters into a plea negotiation with a defendant who is not represented by counsel, he or she should seek to ensure that the defendant understands his or her rights, duties, and liabilities under the agreement. When possible, the agreement should be reduced to writing and a copy provided to the defendant. The prosecutor should never take unfair advantage of an unrepresented defendant. The prosecutor should not give legal advice to a defendant who is not represented by counsel, other than the advice to secure counsel.
2-7.5 Right to Counsel
If a prosecutor is engaged in communications with a defendant who is not represented by counsel or whose counsel is not present, and the defendant changes his mind and expresses a desire to obtain counsel, or to have counsel present, the prosecutor should terminate the communication in order to allow the defendant to obtain counsel, or to secure the presence of his or her counsel. When appropriate, the prosecutor should advise the defendant on the procedures for obtaining appointed counsel.
2-7.6 Communications with Represented Persons During Investigations
A prosecutor performing his or her duty to investigate criminal activity should neither be intimidated nor discouraged from communicating with a defendant or suspect in the absence of his or her counsel when the communication is authorized by law or court rule or order. A prosecutor may advise or authorize a law enforcement officer to engage in undercover communications with an uncharged, represented suspect in the absence of the suspect’s counsel, provided such a communication is authorized by law or court order.
Commentary
Relationships with defendants is a sensitive area of a prosecutor’s function. There must be a balancing of the general desirability to have defendants represented by counsel in their dealings with prosecutors and the right of defendants to represent themselves in traffic cases and minor misdemeanors, and even in felonies or serious misdemeanors under certain circumstances.
The standard recognizes that prosecutors are sometimes contacted by defendants without the knowledge of their counsel and give good reasons for their direct communications with the prosecutor. For example, a defendant may express that his attorney was hired by another person with an interest in keeping him quiet, to his legal detriment. In drug cases where couriers are caught transporting large amounts of drugs or cash, defendants may have attorneys appear, bail them out, and begin representation without the express authority of the defendant. Defendants complain that these attorneys are working for other interests, but they are afraid to discharge them because of actual or assumed danger. Similarly, a defendant may be the officer, employee, or agent of a corporation and face individual charges in addition to those against the corporation, where counsel for the corporation represents that he is also counsel for the individual. This situation may exist without the individual’s knowledge or without the individual’s knowledge of an inherent conflict of interest in the representation.
Prosecutors must be aware that in dealing with represented defendants, there are not only constitutional limitations on their communications, but also, in most jurisdictions, there are limitations imposed by ethical rules, which generally cannot be waived by the represented defendant. That being said, prosecutors may have the right under some uncommon circumstances to communicate with a represented defendant without prior knowledge or presence of his or her attorney. In these and other circumstances, prosecutors might be advised to seek authority from the court or the appointment of “shadow counsel” to interview the defendant and report to the court concerning what action might be appropriate. Some jurisdictions may provide other legal avenues that a prosecutor might use in such circumstances.
Prosecutors also often receive unsolicited letters from defendants. They should have the right to receive them and use them in any legal manner.
The standard provides that prosecutors communicating with unrepresented defendants should be certain that they are treated fairly and that defendants be made aware of what could happen to them as the result of whatever actions are taken. For example, suppose a defendant wishes to become a witness for the state in return for a recommendation by the prosecutor that he receive a suspended sentence. The prosecutor must make it known that he cannot guarantee the desired sentence but can only make a recommendation (if that be the case) and that the defendant might indeed be sentenced to a jail term, even with his cooperation on behalf of the state. If local rules or the legal circumstances require *Miranda*-type warnings be given, the prosecutor should so advise the defendant before any conversation. The standard assumes that a prosecutor will tell a defendant if he intends to use the communications against him. There are circumstances in which a prosecutor will agree to receive information from a defendant but not use it against him. However, to ensure fairness to an unrepresented defendant, he should not be subjected to the liability of incriminating statements without a prior warning and waiver of rights.
The standard recognizes that many defendants wish to negotiate a plea with the prosecutor without representation. Many such defendants are experienced with the system or do not wish the expense of representation. In these circumstances, the prosecutor is held to full disclosure of the defendant’s liabilities and a standard of fairness. The prosecutor should make certain that a defendant receives as favorable a disposition as he would have had had he been represented in the circumstances. The desirability of written plea agreements is also noted. The standard recognizes the general legal requirement of fulfilling a defendant’s desire for counsel—even if he originally expressed a desire not to be represented or to have counsel present and assisting him—or to obtain counsel if he cannot afford to pay for representation. The defendant’s wishes in this regard are recognized as paramount. The prosecutor should make a record of any communications with represented defendants that take place in the absence of counsel.
Prosecutors have a duty to investigate criminal activity. This may involve communicating with witnesses who are also defendants or suspects in unrelated cases. Ordinarily such communications must be made with the approval of the witness/defendant’s counsel because the witness is seeking some benefits in the “subject matter of the representation.” Whenever a witness/defendant seeks any benefit in his own case, the communication does involve the “subject matter of the representation,” and counsel must be included. In circumstances that remain completely unrelated to the witness/defendant’s case (the subject of the
representation), a communication may be “authorized by law” even though counsel was not consulted. In circumstances involving “undercover” investigations of an uncharged but represented suspect, a prosecutor can advise police officers to communicate with the suspect so long as the communication is specifically “authorized by law.”
In some jurisdictions, these standards may be inconsistent with case precedent and/or rules of professional conduct. The prosecutor must proceed with caution and seek to avoid any action that would jeopardize the case or result in misconduct under applicable rules.
8. Defense Counsel
2-8.1 Standards of Professionalism
The prosecutor should comply with the provisions of professionalism as identified in Standard 1-2.1 in his or her relationships with defense counsel, regardless of prior relationships with or animosity toward the attorney. The prosecutor should attempt to maintain a uniformity of fair dealing among different defense counsel.
2-8.2 Propriety of Relationships
In all contacts with members of the defense bar, the prosecutor should strive to preserve proper relationships.
2-8.3 Cooperation to Assure Justice
The prosecutor should cooperate with defense counsel at all stages of the criminal process to ensure the attainment of justice and the most appropriate disposition of each case. The prosecutor need not cooperate with defense demands that are abusive, frivolous, or made solely for the purpose of harassment or delay.
2-8.4 Disclosure of Exculpatory Evidence
The prosecutor shall make timely disclosure of exculpatory or mitigating evidence, as required by law and/or applicable rules of ethical conduct.
2-8.5 Suspicion of Criminal Conduct
When a prosecutor has reasonable suspicion of criminal conduct by defense counsel, the prosecutor has a responsibility to take appropriate action.
2-8.6 Responsibility to Report Ethical Misconduct
When an assistant or deputy prosecutor has knowledge of ethical misconduct by defense counsel that raises a substantial question as to the attorney’s fitness to practice law, the prosecutor should report such conduct to his or her supervisor. Any prosecutor who has knowledge of ethical misconduct by defense counsel which raises a substantial question as to the attorney’s fitness to practice law should report such conduct directly to the appropriate bar disciplinary authority in his or her jurisdiction. When such misconduct occurs during the course of litigation, the prosecutor should also report it to the judge presiding over the case or to his or her supervisor, if required by office policy, and may seek sanctions as appropriate.
2-8.7 Avoiding Prejudice to Client
When the prosecutor believes that the defense counsel has engaged in misconduct, remedial efforts should be directed at the attorney and not at his or her client. The prosecutor should at all times make efforts to ensure that a defendant who is not involved in misconduct is not prejudiced by the unlawful or unethical behavior of his or her attorney.
Commentary
As with the judiciary, appropriate professional consideration is due opposing counsel. All actions directed at opposing counsel and all deliberations with opposing counsel should be conducted with candor and fairness and should be presented without any express or implied animosity or disrespect. The prosecutor should strive to maintain uniformity of fair dealing with all defense counsel and should endeavor to not allow any prior animosity or bad feelings toward a particular defense attorney to work to the detriment of that attorney’s client.
In the spirit of seeking justice in all cases, the prosecutor should cooperate with defense counsel in providing information and other assistance as volunteered by the prosecutor or reasonably requested by defense counsel. In the event defense counsel makes demands that are abusive, frivolous or made solely for the purpose of delay, the prosecutor need not cooperate with such demands and may seek court guidance on what must be provided. The prosecutor must be mindful that at all times, even when defense counsel is not acting in a professional manner, there are discovery obligations dictated by law and ethical codes that must be fulfilled.
If at any time during his or her association with defense counsel a prosecutor suspects the attorney of involvement in criminal activity, the prosecutor should take such action as necessary, including speaking to a supervisor, judge, law enforcement, state bar representative or other proper authority.
The standard requires that an assistant or deputy prosecutor who has knowledge of ethical misconduct by defense counsel which raises substantial question as to the attorney’s fitness to practice law report such conduct to his or her supervisor. The assistant or deputy prosecutor needs to be aware that in some jurisdictions, such action may not be sufficient to comply with the ethical rules, and failure to report the defense attorney’s misconduct, if the chief prosecutor does not, may, in itself, be misconduct by the assistant prosecutor. The timing of such report should be coordinated so as not to prejudice the defendant.
One continuing myth that pervades the judicial process is the misconception that the defense attorney should be allowed greater leeway in the presentation of his case than the prosecutor. This leeway is often sought to be justified on the grounds that it is necessary to counter-balance the more prolific resources of the state brought to bear upon a single individual. Such reasoning is fallacious, however, when viewed in relation to the purpose of the adversary proceeding and the safeguards already provided therein. The courtroom is not a stage but a forum, and uniformity of trial decorum by defense and prosecuting attorneys should be maintained by the court to prevent undue influence on judge and jury that might result from theatrical behavior. The prosecutor should be able to bring to the court’s attention the failure to maintain such uniformity and should maintain the high standards of conduct befitting a professional advocate in public service.
9. Victims
2-9.1 Information Conveyed to Victims
Victims of crimes should be informed of all important stages of criminal justice proceedings to the extent feasible, upon request or as required by law. The prosecutor should be aware of any obligations imposed by victims’ rights legislation in his or her particular jurisdiction. The prosecutor should take care to balance the extent of information provided to the victim with the need to protect the integrity of the case and process.
2-9.2 Victim Orientation
To the extent feasible and when it is deemed appropriate by the chief prosecutor, the prosecutor’s office should provide an orientation to the criminal justice process for victims of crime and should explain prosecutorial decisions, including the rationale used to reach such decisions. Special orientation should be given to child and spousal abuse victims and their families, whenever practicable.
2-9.3 Victim Assistance
To the extent feasible and unless a legal obligation to provide such assistance is imposed by law on another governmental entity, the chief prosecutor should develop policies and procedures for providing services to victims of crimes, including, but not limited to the following:
a. Assistance in obtaining the return of property held in evidence;
b. Assistance in applying for witness fees and compensation if provided for by law or local rule;
c. Assistance in obtaining restitution orders at the sentencing;
d. Assistance in appropriate employer intervention concerning required court appearance;
e. Assistance with necessary transportation and lodging arrangements;
f. Assistance in reducing the time the victim has to wait for any court appearance to a minimum; and
g. Assistance in reducing overall inconvenience whenever possible and appropriate.
2-9.4 Cooperative Assistance
The prosecutor should work with other law enforcement agencies to:
a. Cooperate with victim advocates for the benefit of providing direct and referral services to victims of crime; and
b. Assist in the protection of a victim’s right to privacy regarding a victim’s Social Security number, birth date, address, telephone number, place of employment, name (when the victim is a minor or a victim of sexual assault,) or any other personal information unless either a court finds it necessary to that proceeding or disclosure is required by law.
2-9.5 Facilities
Whenever possible, the chief prosecutor should take steps to ensure that victims have a secure and comfortable waiting area that avoids the possibility of making contact with the defendants or friends and families of the defendants.
2-9.6 Victim Compensation Program
The prosecutor should be knowledgeable of the criteria for victim compensation under state law, and should inform victims with potential compensable claims of the existence and requirements of victim compensation programs within the jurisdiction.
2-9.7 Victim Assistance Program
To the extent feasible, the chief prosecutor should develop and maintain a victim assistance program within the staffing structure of the office to provide services and give assistance to victims of crime.
2-9.8 Victim Protection
The prosecutor should be mindful of the possibility of intimidation and harm arising from a victim’s cooperation with law enforcement. The prosecutor should be aware of programs available in his or her jurisdiction to protect witnesses to crime and should make referrals and recommendations for program participation where appropriate.
10. Witnesses
2-10.1 Information Conveyed to Witnesses
The prosecutor should keep witnesses informed of:
a. All pre-trial hearings which the witnesses may be required to attend; and
b. Trial dates and the scheduling of that witness’s appearance.
2-10.2 Contacts by Defense with Witnesses
The prosecutor shall not advise a witness (including victims) to decline to meet with or give information to the defense. The prosecutor may advise a witness that they are not required to provide information to the defense outside of court and the prosecutor may also inform a witness of the implications and possible consequences of providing information to the defense.
2-10.3 Represented Witnesses
When the prosecutor is informed that a witness has obtained legal representation with respect to the criminal proceeding, the prosecutor should arrange all out-of-court contacts with the witness regarding the subject of that proceeding through the witness’s counsel.
2-10.4 Jailhouse Informant
The prosecutor should evaluate evidence provided by a jailhouse informant to ensure the information provided is truthful. In doing so, the prosecutor should consider factors such as the history of the informant, the motive of the informant, the source of the information, and whether there is independent corroborating evidence.
2-10.5 Witness Interviewing and Preparation
The prosecutor shall not advise or assist a witness to testify falsely. The prosecutor may discuss the content, style, and manner of the witness’s testimony, but should at all times make efforts to ensure that the witness understands his or her obligation to testify truthfully.
2-10.6 Expert Witnesses
When a prosecutor determines that the testimony of an expert witness is necessary, the independence of the expert should be respected and if it is determined that a fee be paid to an expert witness, the fee should be reasonable and should not depend upon a contingency related to the outcome of the case.
2-10.7 Witness Assistance
To the extent feasible and unless a legal obligation to provide such assistance is imposed by law on another governmental entity, the chief prosecutor should develop policies and procedures for providing the services to witnesses of crimes including, but not limited to, the following:
a. Assistance in applying for witness fees, if available, and appropriate compensation if provided for by law or local rule;
b. Assistance in appropriate employer intervention concerning required court appearance(s);
c. Assistance in necessary transportation and lodging arrangements, if appropriate;
d. Assistance in minimizing the time the witness has to wait for any court appearance; and
e. Assistance in reducing overall inconvenience whenever possible and appropriate.
2-10.8 Witness Protection
The prosecutor should be mindful of the possibility of intimidation and harm arising from a witness’s cooperation with law enforcement. The prosecutor should be aware of programs available in his or her jurisdiction to protect witnesses to crime and should make referrals and recommendations for program participation where appropriate.
2-10.9 Facilities
Whenever possible, the chief prosecutor should take steps to ensure that witnesses have a secure and comfortable waiting area that avoids the possibility of the witnesses making contact with defendants or the families and friends of defendants.
2-10.10 Enforcement of Crimes Against Witnesses
The prosecutor, working with other law enforcement agencies, should assign a high priority to the investigation and prosecution of any type of witness intimidation, harassment, coercion, or retaliation, including any such conduct or threatened conduct against family members or friends.
2-10.11 Witness Assistance Program
To the extent feasible, the chief prosecutor should develop and maintain a witness assistance program within the staffing structure of the office to provide services and give assistance to witnesses.
Commentary
Effective prosecution includes a sound understanding of the value of victims and witnesses within the criminal justice system. The necessity of individuals reporting crimes and following through with identifications, statements, and testimony is self-evident. The standard, however, identifies obligations of the prosecutor and others to facilitate the relationship with victims and witnesses.
Both victims and witnesses need notice of developments in criminal cases. Witnesses need to make arrangements in order to be available to testify, while victims may be more concerned with release decisions in apprehension of their personal safety and the safety of their families.
Important stages of the proceedings for which notice should be provided to victims and witnesses include the following: filing of charges; any hearing or proceeding that could result in the release of the offender; date of trial; and case resolutions and plea offers. Prosecutors should also be familiar with and comply with their duties under ever-evolving victims’ rights laws and amendments to the Constitutions governing their jurisdiction. In addition to notice requirements, victims also have a true interest in learning facts and information relating to the case. The prosecutor should be mindful that she has an obligation not only to the victim but also to ensuring that a fair trial is afforded to the defendant. This obligation requires the prosecutor to balance the amount of information shared with the victim against the need to protect the integrity of the case. The prosecutor should be sensitive to the needs of the victim and, when possible, share those parts of the case with the victim when it would not otherwise interfere with the ability to provide a fair trial. Unless the jurisdiction has laws to the contrary, the prosecutor should not be obliged to share the entire file to the victim, witnesses or any interested party. Instead, the prosecutor should be given the authority to determine what information can be released during the course of the investigation and prosecution within the bounds of their ethical obligations.
Prosecution should not assume that victims or witnesses are familiar with the terminology, procedures, or even location of the courts. At a minimum, prosecutors should be sensitive to this. Ideally, there should be a formal orientation program or written information on the procedural steps in a criminal prosecution available to all victims and witnesses.
Such an orientation program should be part of a number of services provided. Prosecutors should have a leading role in the development and maintenance of victim/witness assistance programs. The standard suggests the type of assistance that should be available, such as employer intervention and reduction in inconvenience.
In addition to a program of assistance, the standard calls for appropriate facilities for victims and witnesses to avoid the possibility of contact with the defendant or his friends and family.
As central a figure as the prosecutor is to relationships with victims and witnesses, he is certainly not the sole source to accommodate the needs of victims and witnesses. Addressing these needs should be a cooperative effort. For example, one of the greatest needs of victims and witnesses is the assurance of their safety. They are most vulnerable to threats, harassment, and intimidation. Their protection is primarily a law enforcement function. While prosecution should work with the police to minimize this, it is essentially a cooperative effort.
11. Community-Based Probation Programs
2-11.1 Knowledge of Programs
Prosecutors should be cognizant of and familiar with all community-based programs to which offenders may be sentenced, referred as a condition of probation, or referred as a diversionary disposition.
2-11.2 Need for Programs
In jurisdictions where community agencies providing services such as employment, education, family counseling, and substance abuse counseling are needed but not provided by community agencies, the chief prosecutor should encourage the agencies to provide such services. The prosecutor’s office should be available as a source of public information for such community-based agencies.
2-11.3 Notice
The prosecutor’s office should take steps to ensure that the prosecutor’s office and appropriate law enforcement agencies are notified of individuals participating in work-release programs in their jurisdiction.
12. Prisons
2-12.1 Knowledge of Facilities
Prosecutors should be cognizant of, and familiar with, all penal facilities located within the jurisdiction to which offenders prosecuted in the jurisdiction may be sentenced.
Where practicable, the chief prosecutor should attempt to ensure that new prosecutors hired by his or her office have an opportunity, as part of their initial training, to tour the penal institutions in their jurisdictions to which defendants may be sentenced.
2-12.2 Improvement at Correctional Institutions
The chief prosecutor should support the creation of innovative programs in institutions, including educational/behavioral services, provided that such programs do not adversely impact justice and appropriate offender accountability.
2-12.3 Prosecutor as Resource
The prosecutor’s office should be available as a source of information for prisons and jails and their intake divisions, to include the identification of multiple and career offenders.
2-12.4 Notice
The chief prosecutor should take steps to ensure that any institution holding an offender should notify both the prosecutor and law enforcement agencies at the time of an escape, prior to any temporary or final release, and prior to parole consideration.
2-12.5 Corrections Advisory Committee
To the extent practicable, the chief prosecutor should participate in any established statewide correctional advisory committee involving representatives from all components of the criminal justice system and responsible members of the public.
13. Parole and Early Release
2-13.1 Prosecution as Resource
To the extent permitted by law, the prosecutor’s office should be available as a source of information for the parole board, the department of corrections, or other supervisory agency considering or monitoring an offender’s release from custody.
2-13.2 Information System
When the chief prosecutor deems it appropriate, he or she should assist in the development and maintenance of an information system to keep the prosecutor’s office informed of parole decisions concerning individuals from, or planning to reside in, the jurisdiction.
2-13.3 Parole Board and Release Discretion
The chief prosecutor should be cognizant of the discretion vested in parole boards and in other entities or agencies authorized by law to make release from custody decisions, and he or she should address abuses of this discretion that come to his or her attention.
2-13.4 Right to Appear
The chief prosecutor should advocate that prosecutors and victims have the opportunity to receive sufficient advance notice of and appear at hearings for parole, pardon, commutation, and grant of executive clemency, or be permitted to otherwise provide information at such hearings. Upon receipt of such notice, the prosecutor should endeavor, to the extent possible, to notify the victims of such crimes residing within the prosecutor’s jurisdiction and local law enforcement agencies of this information.
2-13.5 Early Release
The chief prosecutor should oppose the early release of offenders where the release decision is made by correctional authorities solely or primarily on the basis of overcrowding of the correctional facility, unless such release is mandated by court order.
2-13.6 Notice of Release
The prosecutor should seek to have the prosecutor’s office, law enforcement agencies, and victims notified of all releases from confinement or commitment of individuals from facilities within the jurisdiction, or releases from confinement or commitment of individuals outside the jurisdiction who plan to reside in the jurisdiction. For purposes of this standard, “release from confinement or commitment” includes changes in a convicted person’s custody status due to parole, pardon, commutation, grant of executive clemency, service of sentence, or release from court-ordered commitment to a mental health facility.
2-13.7 Sexually Dangerous Persons
Where the prosecutor is entitled to petition the court for civil commitment or continued detention of a prisoner after the term of the prisoner’s sentence has expired based on a finding of sexually dangerous person status, the prosecutor should take steps to ensure that the board of prisons and parole notify the prosecutor’s office of the prisoner’s upcoming release date sufficiently in advance of that date to enable the prosecutor to file such a petition in a timely manner.
Commentary
Community-based programs often present viable alternatives to traditional institutions for less-serious offenders. In addition, the concept of supplementing incarceration with community-based services has been advanced in recent years. The responsibilities placed upon community-based agencies mandates an increasing need for coordination and communication with the prosecutor. The degree of the prosecutor’s input into such agencies may have as wide a spectrum, as those programs do themselves. At the most basic level, the prosecutor must be cognizant of all community services which offenders in the jurisdiction may be sentenced to, referred to as a condition of probation, or referred to as part of a diversionary program. In addition, it is important for the prosecutor to be available as a resource to these services. The chief prosecutor should be in a position to supply these agencies with information concerning offenders who have been referred to community programs.
Some prosecutors have chosen to play an active role in community-based operations. Developing and implementing programs under the auspices of the office has been initiated on a wide scale in recent years. Diversionary and citizen volunteer programs are examples of the input the prosecutor’s office may have. In addition, prosecutors are active in local, regional, and statewide planning boards with an emphasis on developing such programs, such as Drug Treatment Courts, Veterans Courts and Mental Health Dockets. Where basic community services such as employment, adult education, family counseling, and substance abuse counseling are not provided or are inadequate, the prosecutor should consider having input in their development or upgrading. The prosecutor’s involvement in such planning and advisory boards is important because of his or her position as the chief local law enforcement official.
The prosecutor should be aware of services and programs offered by prison and detention facilities for offenders. Also, just as for probation and community agencies, the prosecutor’s insight into the background and behavior of individuals should be viewed as a resource by officials in this area. Correctional systems may employ an elaborate intake formula without utilizing all previously developed background information concerning offenders. In this situation, the prosecutor should be available as a resource both to offer initial information and to verify facts derived from other sources.
Prosecutors should have input into the prison system because of their positions as concerned leaders in the criminal justice system. Where correctional institutions need upgrading, the prosecutor should strive for better facilities and services within the prison setting, as well as better trained staff. The ability of the prosecutor to have valid input on upgrading facilities is dependent on his knowledge of the prison facilities within his state. The prosecutor, therefore, must be knowledgeable about the conditions of such facilities.
The prosecutor can also assist in the identification of multiple offenders. The prosecutor should encourage and support experimental efforts in regard to sentencing practices. Concepts such as mandatory prison sentences for multiple offenders of certain crimes should be closely examined.
As with all the other components discussed here, the prosecutor must urge cooperation. The prosecutor must be considered as a resource to both parole boards and supervisory personnel. In addition, the prosecutor should receive information concerning individuals who have been approved for release from institutions and who are planning to reside in the jurisdiction. And fundamental to the protective function of the prosecutor, he must have an opportunity to oppose parole release decisions that are not in the best interest of the community. Additionally, prosecutors charged with the commitment of sexually dangerous persons should develop procedures with the prisons from which release of such persons will occur to ensure that the prosecutor has sufficient time to prepare the petition for commitment prior to release.
Although prison overcrowding poses problems in the criminal justice system, early release programs that have as their primary motivation the alleviation of overcrowding in detention facilities should be opposed. Often such programs are a result of budget constraints or a reaction to jail litigation attacking conditions of confinement. Conditions of incarceration, however, are an improper basis for release of offenders and the standard takes an unequivocal position against it. The solution for prison overcrowding and related problems lies with the appropriate legislative bodies but is not to be found in simply releasing offenders. The prosecutor should support legislative proposals that solve this problem in the appropriate manner by allocating additional public funds for the construction and maintenance of needed facilities. Likewise, the prosecutor should oppose every program of early release based primarily on the problems facing our correctional system. Inappropriate release of offenders undermines every advance achieved in improving the criminal justice system.
14. The Media
2-14.1 Media Relationships
The prosecutor should seek to maintain a relationship with the media that will facilitate the appropriate flow of information to and from the public. An appropriate and professional relationship with the media is necessary to promote public accountability and transparency in government.
2-14.2 Balancing Interests
The prosecutor should strive to protect both the rights of the individual accused of a crime and the needs of citizens to be informed about public dangers and the conduct of their government. The prosecutor may provide sufficient information to the public so that citizens may be aware that the alleged perpetrator of a crime has been arrested and that there exists sufficient competent evidence with which to proceed with prosecution.
Subject to Standard 2-14.4 and applicable rules of ethical conduct, information may be released by the prosecution if such release will aid the law enforcement process, promote public safety, dispel widespread concern or unrest, or promote confidence in the criminal justice system. The prosecutor should refrain from making extrajudicial comments before or during trial that promote no legitimate law enforcement purpose and that serve solely to heighten public condemnation of the accused.
2-14.3 Information Appropriate for Media Dissemination by Prosecutors
Prior to and during a criminal trial the prosecutor may comment on the following matters:
a. The accused’s name, age, residence, occupation, family status, and citizenship;
b. The substance or text of the charge such as the complaint, indictment, information, and, where appropriate, the identity of the complainant;
c. The existence of probable cause to believe that the accused committed the offense charged;
d. The identity of the investigating and arresting agency, the length and scope of the investigation, the thoroughness of the investigative procedures, and the diligence and professionalism of the law enforcement personnel in identifying and apprehending the accused;
e. The circumstances immediately surrounding the arrest, including the time and place of arrest, the identity of the arresting officer or agency, resistance, pursuit, possession and use of weapons, and a description of items seized at the time of arrest or pursuant to a search warrant; and
f. Information contained in a public record, the disclosure of which would serve the public interest.
2-14.4 Restraints on Information
Prior to and during a criminal trial the prosecutor should not make any public, extrajudicial statement that has a substantial likelihood of materially prejudicing a judicial proceeding. In particular, from the commencement of a criminal investigation until the conclusion of trial, the prosecutor should not make any public, extrajudicial statements about the following matters, unless the information is part of the public record of the criminal proceeding:
a. The character, reputation, or prior criminal conduct of a suspect, accused person or prospective witness;
b. Admissions, confessions, or the contents of a statement or alibi attributable to a suspect or accused person;
c. The performance or results of any scientific tests or the refusal of the suspect or accused to take a test;
d. Statements concerning the credibility or anticipated testimony of prospective witnesses;
e. The possibility of a plea of guilty to the offense charged or to a lesser offense, or the contents of any plea agreement.
2-14.5 Public Responses
The prosecutor may make a reasonable and fair reply to comments of defense counsel or others. A public comment made by a prosecutor pursuant to this paragraph shall be limited to statements reasonably necessary to mitigate the effect of undue prejudice created by the public statement of another. In no event should a prosecutor make statements prohibited by Standard 2-14.4 or applicable rules of ethical conduct.
2-14.6 Law Enforcement Policy on Information
The prosecutor should assist law enforcement and other investigative agencies in understanding their statutory responsibilities with respect to the release of criminal justice information. The prosecutor should also assist in the training of law enforcement agencies within his or her jurisdiction on subject matters to avoid when discussing pending criminal investigations or prosecutions with the media.
2-14.7 Judicial Decisions
The prosecutor may inform the public of judicial decisions that are contrary to law, fact, or public interest, but a prosecutor should not make any public statement that he or she knows to be false, or with reckless disregard for its truth or falsity, as to the integrity or qualifications of a judge.
2-14.8 Verdicts
A prosecutor should not make any public statement after trial that is critical of jurors but may express disagreement with or disappointment in the jury verdict.
Commentary
A primary requirement for the proper functioning of the prosecutor’s office is the establishment of public trust in the ability of the prosecutor to effectively represent the public in seeking to attain justice. In order to maintain that public trust, the prosecutor must be accountable for his or her actions. The media is a primary player in testing that accountability. The media reports information regarding: events leading up to criminal investigations and charges; the progress of the case thorough the court system; the performance of the law enforcement officers and prosecutors in the conduct of the investigation and the court proceedings; and, the results of court proceedings.
Because of the prosecutor’s unique role as a representative of all of the people in the quest for justice, it would be unfair for him or her to diminish the rights of a defendant to a trial by an unprejudiced jury of his or her peers by broadcasting information through the media where it would go untested by the time-tested procedures incorporated into our criminal justice system.
At the same time, as a representative of the people with the duty to assure that justice is achieved, the prosecutor must be allowed to provide sufficient information to assure the public that community safety is being maintained and that the criminal justice system is operating properly. Maintaining such a balance is the purpose behind these standards.
The prosecutor should take an active role in training law enforcement agencies in his or her jurisdiction on the limitations on public statements. By conducting such advance training, the prosecutor proactively reduces the possibility of comments by law enforcement personnel that are in conflict with the law and legal rules. By that means, the prosecutor also reduces the incidents of challenges to venue and other matters relating to the ability of a defendant to receive a fair trial. The content and extent of a prosecutor’s comments regarding judicial decisions are some of the most litigated ethical provisions. At a minimum, a prosecutor cannot knowingly make false or reckless statements about the integrity or qualifications of a judge and jury verdicts. Further, a prosecutor may not engage in conduct with a juror designed to alter that jurors conduct in future jury service.
15. Funding Entity
2-15.1 Assessment of Need
The chief prosecutor should cooperate with his or her funding entity by providing an assessment of resources needed to effectively administer the duties of the office.
2-15.2 Independent Revenue
The budget for prosecution should be independent of and unrelated to revenues resulting from law enforcement and criminal justice activities, such as fines, forfeitures and program fees. The prosecutor may expend revenues from forfeited assets only as permitted by law.
Commentary
The basic premise of this standard is adequate funding. Little can happen in the way of system improvements in general, and the prosecutor’s office in particular, without adequate funding. Added responsibilities by the legislature to the duties and responsibilities of the prosecutor should not be enacted without appropriate funding in the budget.
An expectation persists among funding bodies that funds for law enforcement can be generated from fines and forfeitures. The latter aspect, in particular, is the result of misconceptions concerning the potential for revenue generation that have grown up along with the relatively recent state and federal forfeiture statutes. Such remedies were never intended to be primary sources of revenue, and the notion that they can be “budgeted” into criminal justice agencies is totally misguided. To the extent that such remedies provide some funds for law enforcement agencies, this benefit is at best collateral to their primary purpose. Such revenues are not predictable and, therefore, it is doubly wrong for funding sources to rely upon them when considering budget requests from prosecutors.
16. The Public
2-16.1 Community Organizations
The prosecutor should encourage the formation and growth of community-based organizations interested in criminal justice, crime prevention, and the punishment and rehabilitation of offenders.
2-16.2 Staff Liaison
With respect to such organizations and to the extent that the prosecutor has the resources to do so, the chief prosecutor should assign an appropriate staff member(s) to act as liaison to such organizations and provide qualified speakers from the prosecutor’s office to address and appear before such groups on matters of common interest.
2-16.3 Public Education
The chief prosecutor should use all available resources to encourage citizen involvement in the support of law enforcement and prosecution programs and issues. The chief prosecutor should educate the public about the programs, policies, and goals of his or her office and alert the public to the ways in which the public may be involved and benefit from those programs, policies, and goals.
2-16.4 Advisory Role
Because the prosecutor has the responsibility of exercising discretion and making ultimate decisions, the role of public interest and citizen groups must be understood to be advisory only.
Commentary
Since the prosecutor’s work is intimately involved with crime in the community, the prosecutor can contribute significantly to crime prevention by lending personal support and the support of the prosecutor’s office to existing community crime prevention programs. Further, the prosecutor can lend expertise to criminologists, city planners, and others as they make plans for the growth and development of the community in a way best suited to deter criminal activity. The standard has been developed to serve as a guide to prosecutors in implementing their role in community crime prevention. It recognizes the need for the prosecutor to not only interact with community crime prevention and social service organizations that are community-based, but also to take a hand in the formation of such citizen groups where they presently do not exist.
17. Non-Governmental Entities
2-17.1 Generally
In all dealings with a non-governmental entity, the chief prosecutor should place the public interest above all other considerations.
2-17.2 Financial and Resource Assistance
a. Where permitted by law, a prosecutor’s office may accept financial or resource assistance from a non-governmental source when such assistance is specifically approved by the chief prosecutor;
b. When determining whether to accept assistance from a non-governmental source, the chief prosecutor should give priority consideration to the public interest over the private interests of a non-governmental source, especially when the assistance relates to a specific case or cases rather than office-wide assistance;
c. The chief prosecutor should consider whether accepting assistance from a non-governmental source will create the appearance of undue influence;
d. The chief prosecutor should have office procedures in place that protect the independent exercise of discretion of the office from the undue influence of a non-governmental resource that has provided assistance to the office during the investigation and prosecution of specific cases or types of cases. These procedures should include requirements for strict bookkeeping and accounting of any assistance received, whether financial or resource assistance, and if required by law, disclosure procedures.
Commentary
In times of strained budgets and inadequate resources, an offer of assistance from a non-government funding source should be carefully examined to make certain that no illegal or unethical strings are attached. If the prosecutor should decide to accept the assistance, he or she must be diligent in keeping track of the funds or equipment provided. In addition, the prosecutor must be vigilant to not allow the assistance to interfere with his or her independent exercise of prosecutorial discretion.
Part III.
Investigations
1. Investigations Generally
3-1.1 Authority to Investigate
A prosecutor should have the discretionary authority to initiate investigations of criminal activity in his or her jurisdiction. The exercise of this authority will depend upon many factors, including, but not limited to, available resources, adequacy of law enforcement agencies’ investigation in a matter, office priorities, and potential civil liability. Prosecutors should be cognizant of the limits of qualified immunity in their jurisdiction. Prosecutors should also avoid becoming a necessary witness in at case; it is prudent to have an investigator present when conducting an interview of a potential witness if possible.
3-1.2 Fairness in Investigations
A criminal investigation should not begin or be continued if it is motivated in whole or part by the victim or perpetrator’s race, ethnicity, religion, sexual orientation, or political affiliation unless these factors are an element of a crime or relevant to the perpetrator’s motive. Nor should an investigation be motivated, in whole or significant part, by partisan political pressure or professional ambition or improper personal considerations.
3-1.3 Prosecutor’s Responsibility for Evidence
A prosecutor is ultimately responsible for evidence that will be used in a criminal case. A prosecutor who knows or who is aware of a substantial risk that an investigation has been conducted in an improper manner, or that evidence has been illegally obtained by law enforcement, must take affirmative steps to investigate and remediate such problems.
3-1.4 Illegally Obtained Evidence
A prosecutor should not knowingly obtain evidence through illegal means, nor should the prosecutor instruct or encourage others to obtain evidence through illegal means.
3-1.5 Undercover Investigations
Although prosecutors may not normally make false statements or engage in conduct involving deception, a prosecutor may, to the extent permitted by law, engage in or direct law enforcement investigations that involve such conduct. A prosecutor should take all reasonable steps to ensure that any such investigations do not create an unnecessary risk of harm to innocent parties, perpetuate a fraud on the court, or interfere with a defendant’s constitutionally protected right to counsel or right to a fair trial. Nothing in this standard precludes a prosecutor from engaging in a duly authorized investigation of judicial or court officers, or members of the bar.
3-1.6 Prosecutorial Investigators
Chief prosecutors should employ properly trained investigators to assist with case preparation, supplement law enforcement investigations, conduct original investigations, and carry out other duties as assigned by the prosecutor. The chief prosecutor should seek investigative resources from appropriate funding authorities.
Commentary
While the vast majority of criminal investigations are undertaken by law enforcement agencies, there are times when the prosecutor must use his or her authority to initiate or continue an investigation. Some instances where such action by the prosecutor would be appropriate are: where the law enforcement agency that would normally conduct the investigation has a conflict of interest; where the investigation has been handled improperly and is in need of re-investigation; where the investigation calls for expertise that is available in the prosecutor’s office; and, where the law enforcement agencies do not have sufficient resources to conduct the investigation.
Given the prosecutor’s responsibility to seek justice for all the people, there are axioms regarding investigations that follow. A prosecutor should not conduct an investigation motivated by any characteristics of the victim or perpetrator that are categories irrelevant to the elements of the crime or the motive. The prosecutor should not conduct an investigation in an illegal or improper manner, nor should he or she allow his or her agents to do so.
Undercover investigations are at times the only effective way of obtaining evidence by which to prosecute criminal conduct. Because of the importance of these investigations, prosecutors should make reasonable efforts to see that prosecutors are not precluded from conducting such investigations. Those efforts might include seeking a clarification or modification of rules of ethical conduct.
To avoid duplicative investigations, it is important that each governmental entity with investigative responsibilities, be they local law enforcement or others, advise the prosecutor of investigations in the jurisdiction.
While prosecutors enjoy absolute immunity from civil liability related to their performance of “prosecutorial” functions, *Burns v. Reed*, 500 U.S. 478, 486 (1991), courts look to “the nature of the function performed, not the identity of the actor who performed it,” *Forrester v. White*, 484 U.S. 219, 229 (1988) when determining whether absolute immunity applies in a particular situation. Functions that serve as an “integral part of the judicial process” or that are “intimately associated with the judicial process” are absolutely immune from civil suits.
However, functions which are more “investigative” or “administrative” in nature, because they are more removed from the judicial process, are subject only to qualified immunity. *Burns*, 500 U.S. at 486. Therefore, a prosecutor should exercise caution when entering into an investigation.
2. **Warrant Review**
3-2.1 **Search and Arrest Warrant Review**
The prosecutor’s office should develop and maintain a system for providing law enforcement with the opportunity for a prompt legal review of search and arrest warrant applications before the applications are submitted to a judicial officer, as long as the law on qualified immunity in their jurisdiction does not make it imprudent to do so.
3-2.2 **Electronic Surveillance Review**
The prosecutor’s office should review and approve the use of all electronic surveillance by law enforcement entities that are within the prosecutor’s jurisdiction.
3-2.3 **Law Enforcement Training**
The prosecutor’s office should assist in training law enforcement personnel within the prosecutor’s jurisdiction on the law applicable to the issuance and execution of search and arrest warrants.
**Commentary**
Given the number and nature of requirements for the issuance of arrest, search and surveillance warrants that will withstand motions to suppress and other legal attacks, the role of the prosecutor in providing legal assistance to law enforcement agencies is essential. The standard suggests the prosecutor’s review of warrants and applications for the same, whenever practical. This review would assure propriety that will enhance the probability of the conviction of the guilty.
A prosecutor should be aware that, in a qualified immunity analysis, their conduct will be judged on what a reasonable prosecutor would believe was lawful in light of “clearly established law” and “information possessed” at the time of the challenged conduct.
In addition to the review, the prosecutor’s involvement in police training on the technical requirements and the design of uniform forms would also increase the probability that the resulting warrants would withstand defense challenges.
3. **Grand Jury Investigations**
3-3.1 **Scope of Grand Jury Investigations**
Unless the law of the jurisdiction specifically permits otherwise, a prosecutor should not use a grand jury investigation to:
a. Assist solely in a non-criminal matter; or
b. Gather evidence solely for the use at trial against a defendant who already has been charged by indictment or information.
3-3.2 Counsel for Witnesses
In jurisdictions where counsel for a witness is not permitted in the grand jury room but is permitted to consult with the witness outside the room, the prosecutor should grant a witness’s reasonable requests to consult with counsel during questioning. If the decision whether to allow such consultation rests with the grand jury, the prosecutor should recommend to the grand jury that the witness be given reasonable opportunities to consult with counsel.
3-3.3 Subpoenaing the Target of an Investigation
In jurisdictions where it is permissible to call a person to testify before the grand jury even though the person is the target of the investigation, the following procedures should apply:
a. The chief prosecutor or his or her designee should approve all efforts to have a target of the investigation testify before a grand jury;
b. The target should be informed in writing of his or her status before any grand jury appearance and advised in writing to obtain legal advice as to his or her rights;
c. To avoid the appearance of unfairness, the prosecutor should make reasonable efforts to secure the target’s grand jury appearance voluntarily rather than through a subpoena; and
d. At the outset of his or her appearance before the grand jury, the target should be informed of his or her rights as provided in Standard 3-3.4.
3-3.4 Grand Jury Warnings
Before questioning a grand jury witness who is the target or subject of the investigation, a prosecutor should warn the witness as follows:
a. If the truthful answer to a question would tend to incriminate you in criminal activity, you may refuse to answer the question;
b. Anything you say may be used against you by the grand jury or in a later legal proceeding;
c. If you have retained counsel with you, the grand jury will grant your reasonable requests to consult with your counsel before answering a question.
d. These warnings should be given on the record, and the prosecutor should obtain from the witness an affirmation that he or she understands the warnings given.
3-3.5 Evidence Before the Grand Jury
Unless otherwise required by the law or applicable rules of ethical conduct of the jurisdiction, the following should apply to evidence presented to the grand jury:
a. A prosecutor should disclose any credible evidence of actual innocence known to the prosecutor or other credible evidence that tends to negate guilt, as required by law or applicable rules of ethical conduct;
b. A prosecutor should not present evidence to the grand jury that the prosecutor knows was obtained illegally by law enforcement;
c. In the absence of a valid waiver, a prosecutor should not seek information from a witness that the prosecutor knows or believes is covered by a valid claim of attorney-client privilege;
d. A prosecutor should not take any action that could improperly influence the testimony of a grand jury witness;
e. If the prosecutor is convinced in advance of a grand jury appearance that any witness will invoke his or her Fifth Amendment privilege against self-incrimination rather than provide any relevant information, the prosecutor should not present the witness to the grand jury unless the prosecutor plans to challenge the assertion of the privilege or to seek a grant of immunity. The grand jury may be informed of the reason the witness will not appear;
f. The prosecutor should inform the grand jury that it has the right to hear in person any available witness or subpoena pertinent records;
g. A prosecutor should not present evidence to the grand jury that the prosecutor knows to be false;
h. A prosecutor should not knowingly make a false statement of fact or law to the grand jury.
3-3.6 Request by a Target to Testify
Except as otherwise governed by the law of the jurisdiction, the prosecutor should grant requests by the target of an investigation to testify before the grand jury unless such a request:
a. Would unduly burden or delay the grand jury proceedings;
b. Would clearly provide information that is irrelevant to the investigation;
c. Would be inconsistent with the need to preserve the secrecy of the investigation;
d. Is made for an improper purpose.
e. Before a request to testify is granted, the target should be required to waive on the record his or her Fifth Amendment privilege against self-incrimination.
3-3.7 Grand Jury Subpoenas
While a prosecutor should zealously pursue all relevant information that is within the scope of a criminal investigation, reasonable efforts should be made to minimize the burden of investigation on third party witnesses. A prosecutor should consider in good faith requests to limit or otherwise modify the scope of subpoenas that are claimed to impose an undue burden on the recipients.
3-3.8 Termination of Target Status
If a person has previously been notified or made aware that he or she was the target of a grand jury investigation and the prosecutor elects not to seek an indictment or the grand jury fails to return a true bill and no further investigation against the target is contemplated, the prosecutor should notify the person he or she is no longer a target, unless doing so is inconsistent with the effective enforcement of the criminal law.
Commentary
In those jurisdictions that may use grand juries to investigate criminal activity and initiate charges, the procedures for the activities of the jurors, prosecutors, law enforcement officers, and witnesses are generally set forth in considerable detail in the statutes and case law of the jurisdiction.
As a result, the standards addressing the grand jury investigation are intended to encourage prosecutors to conduct the grand jury investigations with a sense of fairness. In order for the criminal justice system to remain viable, a large majority of the people must believe in its fairness and effectiveness. Provisions such as allowing a witness to consult with counsel, notification of target status, warning regarding the use of testimony, and allowing a target to testify allow the prosecutor to describe and defend the system by arguing that those provisions show it to be an effective tool in the pursuit of justice.
4. Grants of Immunity
3-4.1 Immunity Generally
A prosecutor should not grant or request immunity for a witness without the prior approval by the chief prosecutor or his or her designee. Approval should be granted only after careful consideration of the public interest. A grant of immunity should be in writing and should describe the scope and character of the immunity granted.
3-4.2 Granting or Requesting Immunity—The Public Interest
Factors that should be considered before deciding whether to grant or request immunity from prosecution for a witness include, but are not limited to:
a. The likelihood that a grant of immunity will produce truthful information from the witness;
b. The value of the witness’s testimony or information to the investigation or prosecution;
c. The impact on the witness’s perceived credibility if he or she testifies before a grand jury or trial jury pursuant to a grant of immunity;
d. The likelihood of prompt and full compliance with a compulsion order, and the effectiveness of available sanctions if there is no such compliance;
e. The witness’s relative culpability in connection with the offenses being investigated or prosecuted, and his or her criminal history;
f. The possibility of successfully prosecuting the witness prior to compelling his or her testimony; and
g. The likelihood of future physical harm to the witness if he or she testifies under a compulsion order.
3-4.3 Prosecution After Grants of Immunity
Any prosecution of a witness who has previously been immunized should be approved by the chief prosecutor or his or her designee. The prosecutor’s office should take reasonable steps to ensure that any decision to pursue a subsequent prosecution of an immunized witness is not perceived as a breach of a prosecutorial commitment.
3-4.4 Grants of Immunity to Compel Testimony on Behalf of a Defendant
Except as otherwise required by law, a prosecutor is not obligated to grant or seek immunity to compel information on behalf of a defendant. A prosecutor may immunize or seek to immunize a defense witness if the prosecutor believes that it is necessary for a just prosecution.
Commentary
There are some prosecutions, usually those in which more than one person carried out the criminal act or acts, where the cooperation and testimony of one or more of the wrong doers is required for the successful prosecution of the most culpable. In those situations in which the person whose testimony is needed cannot be persuaded to cooperate in any other way, a grant of immunity may be required.
Because the grant of immunity carries with it very serious implications, only the chief prosecutor, the person most directly accountable to the people, should exercise the authority to grant immunity. Again, keeping in mind the need to maintain public trust in the criminal justice system, the chief prosecutor should carefully examine the factors set forth in the standards before exercising his or her discretion.
Part IV. Pre-Trial Considerations
1. Screening
4-1.1 Prosecutorial Responsibility
The decision to initiate a criminal prosecution should be made by the prosecutor’s office. Where state law allows criminal charges to be initiated by law enforcement or by other persons or means, prosecutors should, at the earliest practical time, decide whether the charges should be pursued.
4-1.2 Prosecutorial Discretion
The chief prosecutor should recognize and emphasize the importance of the initial charging decision and should provide appropriate training and guidance to prosecutors regarding the exercise of their discretion.
4-1.3 Factors to Consider
Prosecutors should screen potential charges to eliminate from the criminal justice system those cases where prosecution is not justified or not in the public interest. Factors that may be considered in this decision include:
a. Doubt about the accused’s guilt;
b. Insufficiency of admissible evidence to support a conviction;
c. The negative impact of a prosecution on a victim;
d. The availability of adequate civil remedies;
e. The availability of suitable diversion and rehabilitative programs;
f. Provisions for restitution;
g. Likelihood of prosecution by another criminal justice authority;
h. Whether non-prosecution would assist in achieving other legitimate goals, such as the investigation or prosecution of more serious offenses;
i. The charging decisions made for similarly situated defendants;
j. The attitude and mental status of the accused;
k. Undue hardship that would be caused to the accused by the prosecution;
l. A history of non-enforcement of the applicable law;
m. Failure of law enforcement to perform necessary duties or investigations;
n. The expressed desire of an accused to release potential civil claims against victims, witnesses, law enforcement agencies and their personnel, or the prosecutor and his personnel, where such desire is expressed after having the opportunity to obtain advice of counsel and is knowing and voluntary;
o. Whether the alleged crime represents a substantial departure from the accused's history of living a law-abiding life;
p. Whether the accused has already suffered substantial loss in connection with the alleged crime;
q. Whether the size of the loss or the extent of the harm caused by the alleged crime is too small to warrant a criminal sanction;
4-1.4 Factors Not to Consider
Factors that should not be considered in the screening decision include the following:
a. The prosecutor’s individual or the prosecutor’s office rate of conviction;
b. Personal advantages or disadvantages that a prosecution might bring to the prosecutor or others in the prosecutor’s office;
c. Political advantages or disadvantages that a prosecution might bring to the prosecutor;
d. Characteristics of the accused that have been recognized as the basis for invidious discrimination, insofar as those factors are not pertinent to the elements or motive of the crime;
e. The impact of any potential asset forfeiture to the extent described in Standard 4-7.4.
4-1.5 Information Sharing
The prosecutor should attempt to gather all relevant information that would aid in rendering a sound screening decision. The prosecutor’s office should take steps to ensure that other government and law enforcement agencies cooperate in providing the prosecutor with such information.
4-1.6 Continuing Duty to Evaluate
In the event that the prosecutor learns of previously unknown information that could affect a screening decision previously made, the prosecutor should reevaluate that earlier decision in light of the new information.
4-1.7 Record of Declinations
Where permitted by law, a prosecutor’s office should retain a record of the reasons for declining a prosecution.
4-1.8 Explanation of Declinations
The prosecutor should promptly respond to inquiries from those who are directly affected by a declination of charges.
Commentary
It could be argued that screening decisions are the most important made by prosecutors in the exercise of their discretion in the search for justice. The screening decision determines whether or not a matter will be absorbed into the criminal justice system.
While the decision may be very easy at times, at others it will require an examination of the prosecutor’s beliefs regarding the criminal justice system, the goals of prosecution, and a broad assortment of other factors. These standards set forth some of the considerations that may be relevant to an informed screening decision as well as some that should not be used in making the determination. The prosecutor should take care to recognize any of the listed factors that are not appropriate for use in his or her jurisdiction.
2. Charging
4-2.1 Prosecutorial Responsibility
It is the ultimate responsibility of the prosecutor’s office to determine which criminal charges should be prosecuted and against whom.
4-2.2 Propriety of Charges
A prosecutor should file charges that he or she believes adequately encompass the accused’s criminal activity and which he or she reasonably believes can be substantiated by admissible evidence at trial.
4-2.3 Improper Leveraging
The prosecutor should not file charges where the sole purpose is to obtain from the accused a release of potential civil claims.
4-2.4 Factors to Consider
The prosecutor should only file those charges that are consistent with the interests of justice. Factors that may be relevant to this decision include:
a. The nature of the offense, including whether the crime involves violence or bodily injury;
b. The probability of conviction;
c. The characteristics of the accused that are relevant to his or her blameworthiness or responsibility, including the accused’s criminal history;
d. Potential deterrent value of a prosecution to the offender and to society at large;
e. The value to society of incapacitating the accused in the event of a conviction;
f. The willingness of the offender to cooperate with law enforcement;
g. The defendant’s relative level of culpability in the criminal activity;
h. The status of the victim, including the victim’s age or special vulnerability;
i. Whether the accused held a position of trust at the time of the offense;
j. Excessive costs of prosecution in relation to the seriousness of the offense;
k. Recommendation of the involved law enforcement personnel;
l. The impact of the crime on the community;
m. Any other aggravating or mitigating circumstances.
Commentary
Following an initial screening decision that prosecution should be initiated, the charging decision is the prerogative and responsibility of the prosecutor. The charging decision entails determination of the following issues:
a. What possible charges are appropriate to the offense or offenses; and
b. What charge or charges would best serve the interests of justice?
In making a charging decision, the prosecutor should keep in mind the power he or she is exercising at that point in time. The prosecutor is making a decision that will have a profound effect on the lives of the person being charged, the person’s family, the victim, the victim’s family, and the community as a whole. The magnitude of the charging decision does not dictate that it be made timidly, but it does dictate that it should be made wisely with the exercise of sound professional judgment.
There will be times when information not known at the time of charging will influence future actions in a case. While it is advisable to gather all information possible prior to charging, that is simply an unrealistic expectation. The prosecutor must balance the importance of gathering information and the importance of public safety interests when determining when he or she has sufficient information to make a charging decision.
While commencing a prosecution is permitted by most ethical standards upon a determination that probable cause exists to believe that a crime has been committed and that the defendant has committed it, the standard prescribes a higher standard for filing a criminal charge. To suggest that the charging standard should be the prosecutor’s reasonable belief that the charges can be substantiated by admissible evidence at trial is recognition of the powerful effects of the initiation of criminal charges. Pursuant to the prosecution’s duty to seek justice, the protection of the rights of all (even the prospective defendant) is required.
The means by which a prosecutor elects to implement charging decisions is closely related to the mechanism utilized in reaching screening decisions; indeed, the two functions may be appropriately combined in a single individual or office division.
Diversion participation should only be done at the prosecutor’s discretion, and the prosecutor should not yield to external pressures in either selecting a charge or deciding if diversion alternatives are a proper course of action. Diversion may be done at any stage of the proceeding, but with the option of continued prosecution. That does not preclude diversion alternatives after a formal charge. At that stage, the threat of criminal prosecution is even greater to the accused, and thus positive participation in diversion alternatives and favorable results may be more likely.
Initial standards or guidelines for charging will be established by the chief prosecutor only. In the one-person office, the chief prosecutor will also act as the agent for implementing these guidelines. Larger offices may find it convenient, particularly in respect to minor offenses, to delegate much of the responsibility for charging to selected individuals or to establish a separate office division for intake procedures. The designated individuals or office division should be responsible for reaching initial charging decisions, subject to review and approval by the chief prosecutor.
The chief prosecutor should establish guidelines by which charging decisions may be implemented. For the one-person office this formulation process will provide consistency of operation and an incentive to develop and articulate specific policies. The same holds true for other size offices.
Some prosecution offices employ vertical prosecution with great success, making the use of guidelines important for consistent application.
3. **Diversion**
4-3.1 **Prosecutorial Responsibility**
The decision to divert cases from the criminal justice system should be the responsibility of the prosecutor. The prosecutor should, within the exercise of his or her discretion, determine whether diversion of an offender to a treatment alternative best serves the interests of justice.
4-3.2 **Diversion Alternatives**
A prosecutor should be aware and informed of the scope and availability of all alternative diversion programs. The prosecutor’s office should take steps to help ensure that all diversion programs are credible and effective.
4-3.3 Need for Programs
In jurisdictions in which diversion programs are deemed insufficient by the chief prosecutor, the prosecutor’s office should urge the establishment, maintenance, and enhancement of such programs as may be necessary.
4-3.4 Information Gathering
The prosecutor should have all relevant investigative information, personal data, case records, and criminal history information necessary to render sound and reasonable decisions on diversion of individuals from the criminal justice system. The chief prosecutor should take steps to ensure the enactment of appropriate legislation and court rules to enable the prosecutor to obtain such information from appropriate agencies.
4-3.5 Factors to Consider
The prosecutor may divert individuals from the criminal justice system when he or she considers it to be in the interest of justice and beneficial both to the community and to the individual. Factors which may be considered in this decision include:
a. The nature, severity, or class of the offense;
b. Any special characteristics or difficulties of the offender;
c. Whether the defendant is a first-time offender;
d. The likelihood that the defendant will cooperate with and benefit from the diversion program;
e. Whether an available program is appropriate to the needs of the offender;
f. The impact of diversion and the crime on the community;
g. Recommendations of the relevant law enforcement agency;
h. The likelihood that the defendant will recidivate;
i. The extent to which diversion will enable the defendant to maintain employment or remain in school;
j. The opinion of the victim;
k. Provisions for restitution;
l. The impact of the crime on the victim; and
m. Diversion decisions with respect to similarly situated defendant.
4-3.6 Diversion Procedures
The process of diverting a defendant should include the following procedures:
a. A signed agreement or court record specifying all requirements for the accused;
b. A signed waiver of speedy trial requirements, where applicable;
c. The right of the prosecutor, for a designated time period, to proceed with the criminal case when, in the prosecutor’s judgment, such action would be in the interest of justice;
d. Appropriate mechanisms to safeguard the prosecution of the case, such as admissions of guilt, stipulations of facts, and depositions of witnesses.
4-3.7 Record of Diversion
A record of the defendant’s participation in a diversion program, including the reasons for the diversion, should be created for each case and maintained by the prosecutor’s office for subsequent use by law enforcement, unless prohibited by law.
4-3.8 Explanation of Diversion Decision
Upon request, the prosecutor should provide adequate explanations of diversion decisions to victims, witnesses, law enforcement officials, the court, and statewide diversionary program(s) and, when deemed appropriate, to other interested parties.
Commentary
An alternative available to prosecutors in the processing of a criminal complaint is that of diversion - the channeling of criminal defendants and even potential defendants, into programs that may not result in a criminal conviction. The purposes of diversion programs include:
a. Unburdening court dockets and conserving judicial resources for more serious cases;
b. Reducing the incidence of offender recidivism by providing community-based rehabilitation that would be more effective and less costly than the alternatives available in continued criminal prosecution.
c. Determination of the appropriateness of diversion in a specified case will involve a subjective determination that, after consideration of all circumstances, the offender and the community will both benefit more by diversion than by prosecution.
Prosecutors have long been at the forefront in utilizing community and court programs as alternatives to traditional penalties while addressing public safety and offender rehabilitation. Dating back to 1989, when the first Drug Treatment Court was created in Dade County, FL, prosecutors have been integral to the success of alternative therapeutic programs. See www.uscourts.gov/sites/default/files/72_1_2_0.pdf. With the leadership of the nations’ prosecutors, other diversionary programs such as Mental Health Dockets and Veterans’ Courts have also been successfully created and implemented to address criminal behavior and the underlying causes of the behavior.
The chief prosecutor should promulgate guidelines outlining the approach and criteria under which he wishes diversion determinations to be made. These guidelines will aid in providing a policy that is both uniform and in accordance with the intentions of the prosecutor.
Equally important as protecting the rights of the individual is the necessity to protect the interests of society. It must be remembered that the individual involved in the diversion process is accused of having committed a criminal act and is avoiding prosecution only because an alternative procedure is thought to be more appropriate and more beneficial.
4. Pretrial Release
4-4.1 Prosecutorial Responsibility
A prosecutor should consider not opposing a non-monetary bond for defendants accused of low-level, non-violent crimes. In other instances, a prosecutor should request that bail be set at an appropriate amount, whether secured or unsecured, to ensure that the defendant appears at all required court proceedings, and, where allowed by law, does not pose a danger to any person or to the community. Where permitted by law, a prosecutor should request that the defendant be held without bail if the prosecutor reasonably believes the accused:
a. Would present a significant danger to any person or the community if he or she were released prior to trial;
b. Is likely to tamper with evidence, attempt to improperly influence witnesses, or otherwise interfere with the orderly resolution of the criminal case; or
c. Is a substantial flight risk.
4-4.2 Alternatives to Pretrial Incarceration
Prosecutors should recommend bail decisions that facilitate pretrial release rather than detention to the extent such release is consistent with the prosecutor’s responsibilities set forth in Section 4-4.1.
4-4.3 Bail Amount Request
A prosecutor, or the appropriate entity in their jurisdiction, should attempt to gather adequate information about the facts of the crime and the defendant’s circumstances and history to request an appropriate bail amount, to include the use of a pretrial risk assessment tool, if one is available. Among the factors a prosecutor or court may consider in determining the proper amount to request are:
a. The defendant’s employment status and history;
b. The defendant’s financial condition, ability to raise funds and source of funds;
c. The defendant’s length and character of residence in the community, and the nature and extent of the accused’s family ties to the community;
d. The nature and severity of the crime, the strength of the evidence, and the severity of the sentence that could be imposed on conviction, to the extent these factors are relevant to the risk of non-appearance and the commission of other crimes while awaiting trial;
e. The defendant’s criminal record, including any record of appearance or non-appearance on other criminal charges;
f. The likelihood of the defendant attempting to harm anyone, intimidate witnesses or victims, or to tamper with the evidence;
g. Identification of responsible members of the community who would vouch for the accused’s reliability;
h. Any other factors indicating the defendant’s ties to the community.
i. A prosecutor should not seek a bail amount or other release conditions that are greater than necessary to ensure the safety of others and the community and to ensure the appearance of the defendant at trial.
4-4.4 Continuing Obligation
If, after the initial bail determination is made, the prosecutor learns of new information that makes the original bail decision inappropriate, the prosecutor should take steps to request a modification the accused’s bail status or conditions.
4-4.5 Periodic Reports
In certain situations, a prosecutor should consider requesting periodic reports on detained defendants to determine if continued detention under the current conditions is appropriate. The prosecutor’s office should be informed of any violations of pretrial release conditions of a defendant released pending trial, and should seek revocation of release status, higher bail and/or appropriate sanctions as deemed necessary, in accordance with applicable law or court rules.
Commentary
The prosecutor’s recommendation regarding bail amounts and conditions will be shaped to some extent by the laws and procedures in his or her jurisdiction. The procedures may range from the use of a summons to arrest and a request to hold the defendant without bail under appropriate conditions.
These provisions recognize a respect for the presumption of innocence, and therefore state a clear preference for release of defendants pending trial. However, because a prosecutor must represent the public interest, the standards also recognize that in some circumstances in which the defendant is a significant flight risk, or where there is a threat to harm or intimidate witnesses or victims or to destroy or manipulate evidence, setting no bail or setting bail in an amount where the defendant will not be able to meet the conditions is appropriate.
Once the conditions for pre-trial release have been established, the person or agency responsible for monitoring the defendant’s compliance should keep the prosecutor apprised of the defendant’s performance. The prosecutor should continue to exercise reasonable discretion in determining whether modification of the conditions, either to lessen the requirements or to seek sanctions or incarceration, should be sought.
5. First Appearance
4-5.1 Prosecutorial Responsibility
The prosecutor should work with law enforcement and the courts to see that the accused is brought before a judicial officer without unnecessary delay.
4-5.2 Prosecutor’s Role
A prosecutor need not be present at the first appearance unless required by statute, rule, or court order. When the prosecutor is present at the first appearance, he or she should, to the extent practicable, ensure that:
a. Bond is set commensurate with the offense charged;
b. The charges are correct and appropriate;
c. Any schedule of future proceedings that the court sets avoids unnecessary delay.
d. If the accused is not represented by counsel at the first appearance, a prosecutor should not seek a waiver from the accused of a preliminary hearing or other pretrial right.
**Commentary**
Although prosecutors usually do not control when a first appearance occurs, they should work very closely with law enforcement and the courts to establish standard procedures to assure the filing of accurate charges without unnecessary delay, but with sufficient time for prosecutor input.
6. Preliminary Hearing
4-6.1 Prosecutor’s Role
The prosecutor should appear at the preliminary hearing and present such reliable information as is required for a judicial officer to make the probable cause determination.
4-6.2 Waiver
Before accepting a waiver by the defendant of a probable cause determination, the prosecutor should be satisfied that the defendant’s decision was knowing and voluntary. A defendant’s opportunity to consult with counsel prior to the waiver is *prima facie* evidence of a valid waiver.
**Commentary**
Requirements for preliminary hearings vary considerably from jurisdiction to jurisdiction. These standards recognize the importance of a preliminary hearing when held and the responsibility of the prosecutor with the court to assure the fairness in the conduct of such a hearing.
7. Forfeiture
4-7.1 Forfeiture Laws
The prosecutor should support the enactment and enforcement of statutes that permit the forfeiture of property or money used in or obtained as a result of criminal activity.
4-7.2 Due Process
The prosecutor should ensure that the due process rights of the property owner are protected, whether or not that person is the one who committed the crime. The state or local government should provide notice to property owners of the seizure and provide an opportunity to be heard before a judicial officer. The government should bear the burden of proving that the money or property is either the proceeds of criminal activity or used in connection with criminal activity.
4-7.3 Impact on Private Counsel
The ability of defendants to secure private legal counsel of their choice should not be a consideration in the prosecutor’s enforcement of forfeiture statutes.
4-7.4 Factors in Mitigation
A prosecutor may, in the exercise of his or her sound professional judgment, decide to remit, mitigate, or forgo the forfeiture of property to an owner or interest holder other than the wrongdoer. Factors a prosecutor may consider in making such a decision include whether an owner or interest holder has, to the prosecutor’s satisfaction, established that:
a. The interest was acquired and maintained in good faith without knowledge or substantial reason to know of the conduct that gave rise to the forfeiture;
b. That the forfeiture would work a severe hardship on an otherwise innocent owner or interest holder; and
c. That the property will not be used in furtherance of future criminal activity or benefit the one whose conduct subjected the property to forfeiture.
4-7.5 Impermissible Considerations
The fact that forfeited assets might be available to fund law enforcement efforts should not unduly influence the proper exercise of the prosecutor’s discretion in the enforcement of forfeiture statutes or the criminal law, nor should forfeiture be improperly used as a substitute for criminal prosecution.
Commentary
The concept that a person should not be allowed to profit from his or her wrongdoing is the underlying principle of forfeiture. Seizing profits from illegal activity and property used to facilitate a crime or criminal enterprise is an important tool to combat illegal activity by eliminating the financial gain associated with criminal conduct. It serves to deter individuals from committing crimes for fear of losing the proceeds and cash flow earned from illegal activity or losing property used in the commission of the crime, to include houses and cars. Criminal enterprises, such as cartels in the illegal drug trade, stand to gain tremendous profits by selling illegal narcotics, and they are better crippled by the loss of profits than prosecution of an individual drug runner. Furthermore, the seized assets can be used by law enforcement agencies to battle illegal activity by using the money or property to enhance investigations and prosecutions.
Forfeiture of seized property may occur when the wrongdoer does not own the property but hides it under subterfuge in another’s name. The prosecutor should take care, however, to ensure that the named owner is knowledgeable that the money or property is being used in furtherance of criminal activity as opposed to an unknowing innocent owner.
Asset forfeiture laws were called into question over the *federal* laws that permitted seizure of assets without a judicial proceeding requiring the Government to prove that the assets were connected to criminal activity. Public concern was also voiced over the practice under *federal* laws to shift the burden to the property owner to prove that the assets were not connected to illegal activity and that the Government improperly took the assets.
State and local prosecutors adhere to the principle that the individual property owners’ rights must be protected, and that due process should be afforded to all property owners.
The guiding principle for bringing a forfeiture action should be whether the property was used in or obtained as a result of criminal activity as opposed to whether the wrongdoer will have difficulty hiring defense counsel if the money or property is seized.
Frequently, ownership interests in property are mixed and forfeiture would have adverse results for others. The prosecutor, in his discretion, may determine when extenuating circumstances exist such that foregoing, remitting, or mitigating forfeiture is appropriate. These standards provide guidance in exercising that discretion. The purpose of forfeiture is to deter conduct giving rise to forfeiture and to remove the instrumentalities and proceeds of such conduct.
8. **The Grand Jury Charging Function**
4-8.1 **Prosecutorial Responsibility**
To the extent permitted by the jurisdiction’s law or rules, a prosecutor appearing before a grand jury:
a. May explain the law and express his or her opinion on the legal significance of the evidence;
b. Should assist the grand jury with procedural and administrative matters appropriate to its work;
c. May recommend that specific charges be returned;
d. Should recommend that a grand jury not indict if the prosecutor believes that the evidence presented does not warrant an indictment under governing law, and he or she should encourage members of the grand jury to consider the fact that sufficient evidence must exist to enable the prosecutor to meet the state’s burden of proof at trial;
e. Should take all necessary steps to preserve the secrecy of the grand jury proceedings.
4-8.2 Evidence Before the Grand Jury
Unless otherwise required by the law or applicable rules of ethical conduct of the jurisdiction, the following should apply to evidence presented to the grand jury:
a. A prosecutor should present to the grand jury any credible evidence or information of actual innocence or other credible evidence that a prosecutor reasonably believes tends to negate guilt, as required by law and applicable rules of ethical conduct;
b. A prosecutor should not present evidence to the grand jury that the prosecutor knows was obtained illegally by law enforcement;
c. In the absence of a valid waiver, a prosecutor should not seek information from a witness that the prosecutor knows or believes is covered by a valid claim of attorney-client privilege;
d. A prosecutor should not take any action that could improperly influence the testimony of a grand jury witness;
e. If the prosecutor is convinced in advance of a grand jury appearance that any witness will invoke his or her Fifth Amendment privilege against self-incrimination rather than provide any relevant information, the prosecutor should not present the witness to the grand jury unless the prosecutor plans to challenge the assertion of the privilege or to seek a grant of immunity. The grand jury may be informed of the reason the witness will not appear;
f. The prosecutor should inform the grand jury that it has the right to hear in person any available witness or subpoena pertinent records;
g. A prosecutor should not present evidence to the grand jury that the prosecutor knows to be false; and
h. A prosecutor should not knowingly make a false statement of fact or law to the grand jury.
4-8.3 Impermissible Conduct
A prosecutor should take no action and should make no statements that have the potential to improperly undermine the grand jury's independence.
4-8.4 Hearsay Evidence
The prosecutor may present hearsay evidence to a grand jury in accordance with applicable law or court rule. However, hearsay evidence should only be presented to the grand jury when there is a good faith basis to believe that the evidence would be admitted at trial.
4-8.5 Statements of Record
In jurisdictions where grand jury proceedings are recorded, a prosecutor’s advice, recommendations, and other communications with the grand jurors should be of record except as otherwise provided by law.
Commentary
The standard outlines what action a prosecutor may be permitted without compromising the independence of the grand jury. Given the need to respect the independence of the grand jury, these standards impose a duty upon the prosecutor to conduct himself or herself with the same candor as is required before a court.
The function of the grand jury is to determine whether there is sufficient evidence to charge someone. The procedure before the grand jury is not a full trial on the merits and, so long as permitted by state law, allows for relaxed evidentiary rules. When hearsay is admitted in place of live direct testimony, the prosecutor should exercise great caution in introducing evidence that would not be able to be introduced directly in court unless it falls under a hearsay exception. It is prudent to ensure that the charge is brought on reliable evidence that is expected to be admissible at trial.
9. Discovery
4-9.1 Prosecutorial Responsibility
A prosecutor should, at all times, carry out his or her discovery obligations in good faith and in a manner that furthers the goals of discovery, namely, to minimize surprise, afford the opportunity for effective cross-examination, expedite trials, and meet the requirements of due process. To further these objectives, the prosecutor should pursue the discovery of material information, and fully and promptly comply with lawful discovery requests from defense counsel.
4-9.2 Duty to Disclose Exculpatory and Impeachment Evidence
Due process requires that the prosecutor provide defendants with any evidence that is favorable to them whenever that evidence is material to either their guilt or punishment, pursuant to *Brady v. Maryland*, 373 U.S. 83 (1963), and its progeny. The “Brady Rule” applies to evidence that negates the guilt of the accused or evidence that mitigates the crime committed by the offender. Due process also requires that the Government disclose impeachment evidence for witnesses who will be testifying at trial, pursuant to *Giglio v. United States*, 405 U.S. 150 (1972), and its progeny.
4-9.3 Continuing Duty
If at any point in the pretrial or trial proceedings the prosecutor discovers additional witnesses, information, or other material previously requested or ordered which is subject to disclosure or inspection, the prosecutor should promptly notify defense counsel and provide the required information.
4-9.4 Access to Evidence Not to Be Impeded
Unless permitted by law or court order, a prosecutor should not impede opposing counsel’s investigation or preparation of the case.
4-9.5 Redacting Evidence
When portions of certain materials are discoverable and other portions are not, a prosecutor should make good faith efforts to redact the non-discoverable portions in a way that does not cause confusion or prejudice the accused.
4-9.6 Reciprocal Discovery
A prosecutor should take steps to ensure that the defense complies with any obligation to provide discovery to the prosecution.
4-9.7 Protection of Personal Identifying Information
A prosecutor should, at all times, provide for the privacy and protection of victim’s and potential witness’s personal and identifying information. Personal Identifying Information should be protected and withheld if the prosecution can establish a good faith belief that to provide the information would subject a victim or potential witness to coercion, economic or physical harm. If necessary, the prosecution shall certify in writing and under seal to the court that to disclose PII may subject the victim or witness to substantial harm or coercion, or that there is other particularized, compelling need not to disclose.
4-9.8 Protective Order
The Court may, upon a sufficient showing, issue a protective order that denies, restricts, or defers discovery or inspection. When appropriate, the court may place a defendant and his counsel under a protective order against unwarranted disclosure of the materials that they may be entitled to inspect when disclosure might harm third parties. The Court may also issue a protective order to restrict or limit dissemination of discovery materials to ensure a fair and impartial trial or protect the integrity of legitimate law enforcement tactics or procedures.
4-9.9 Work Product
The work product of the prosecutor is exempt from discovery disclosures.
Commentary
Rules of Discovery vary significantly from jurisdiction to jurisdiction, including differences in interpretation of the legal requirements by various state and federal prosecutors. Therefore, these standards set out to discuss fairness and responsibility without direct reference to specific interpretations of the laws or rules of the various jurisdictions. The prosecutor should be familiar with and follow the rules and laws of their particular jurisdiction.
While it is well established that any doubt about whether something is subject to disclosure should be resolved in favor of the defendant, and that disclosure of material exculpatory and impeachment evidence is required, further disclosures may be required by statute, case law, and rules of ethical conduct in some jurisdictions.
Consistent with the duty to disclose imposed by the Constitution, other laws, and rules of ethical conduct, if information becomes known to the prosecutor after initial disclosures have been made, that information should be turned over promptly.
The prosecutor should educate and inform law enforcement agencies in his or her jurisdiction that the prosecutor, not the law enforcement officer or agency, is the arbiter of what information is disclosed to the defense. The law enforcement community should be encouraged to provide all information in its possession to the prosecutor so that he or she can make a disclosure decision. This includes disclosing whether any officers who may be testifying have been convicted of any crimes or disciplined by the law enforcement department for lying, dishonesty and/or theft.
The prosecutor’s relationship with defense counsel or his or her opinion regarding the defendant is not a factor in the discovery process.
A protective order (PO) is a necessary and appropriate means of protecting third parties. A protective order that denies disclosure of otherwise discoverable material may be essential to protect witnesses from threats, harassment, bribery or other corrupt influences. A PO may also be an essential tool to limit dissemination of information that may influence a potential jury pool or protect important legitimate law enforcement functions.
When a question regarding the necessity for disclosure is not resolved amicably among the parties, consideration should be given to obtaining guidance from the court.
The attorney work product privilege permits attorneys to withhold from production the documents and other tangible things prepared in anticipation of litigation.
10. Case Scheduling and Priority
4-10.1 Prosecutorial Responsibility
A prosecutor should not seek or cause delays because of a lack of diligent preparation, nor should the prosecutor seek or cause delays for the purpose of disadvantaging the defendant or his or her counsel.
4-10.2 Factors to Consider in Setting Priorities
In setting case priority, the prosecutor should consider the following factors:
a. Criminal cases should normally be given priority over civil cases;
b. Whether the defendant is in pre-trial custody;
c. Whether the defendant represents a significant threat of violence to others;
d. Whether the victim is a child or family member of the defendant;
e. Whether the defendant is a repeat offender;
f. Whether the defendant is charged with a heinous crime;
g. Whether the defendant is a public official;
h. The age of the case;
i. The availability of witnesses or other evidence;
j. Any significant problems or interests of particular concern to the community;
k. The need for and availability of scientific testing of evidence;
l. The age, health and circumstances of victims and witnesses.
4-10.3 Trial Scheduling
A prosecutor shall exercise due diligence in preparing for trial and not cause or accede to any unreasonable delay. Some factors to be considered in deciding whether or not a delay is reasonable are:
a. Whether the case is criminal or civil;
b. Whether the defendant is in pre-trial custody;
c. Whether the defendant constitutes a significant threat of violence to others;
d. Whether the victim is a child or a family member of the defendant;
e. The need for and availability of scientific testing of evidence;
f. The age, health and circumstances of the victims and witnesses;
g. Whether the defendant is a repeat offender;
h. The seriousness of the crime(s);
i. Whether the defendant is a public official;
j. The age of the case;
k. The availability of witnesses; and
l. The existence of any other significant factor that requires or justifies a delay at the request of either party.
Commentary
In the pursuit of his or her duty to seek justice, the prosecutor needs to be mindful of the expression, “justice delayed is justice denied.” From the view of society, delays in disposition of violation of criminal laws create uncertainty regarding the reliability and efficiency of the criminal justice system. Victims and families of victims are left without a necessary ingredient for closure. Defendants are kept in a state of limbo about their future. In short, delay does not serve anyone’s best interests.
With that being said, the reality is that due to caseloads and the necessity for complete investigations by both the prosecution and defense, case disposition often takes longer than those involved would like. These standards set forth guidelines for keeping delay as short as reasonably possible.
1. Juvenile Justice
The primary duty of the prosecutor is to seek justice while fully and faithfully representing the interests of the state. While the safety and welfare of the community, including the victim, is their primary concern, prosecutors should consider the special circumstances and rehabilitative potential of the juvenile to the extent they can do so without unduly compromising their primary concern. Formal charging documents for all cases referred to juvenile or adult court should be prepared or reviewed by a prosecutor. To the extent possible, a prosecutor should appear at all hearings concerning a juvenile accused of an act that would constitute a crime if they were an adult.
5-1.1 Personnel and Resources
The prosecutor’s office should devote specific personnel and resources to fulfill its responsibilities with respect to juvenile delinquency proceedings, and all prosecutors’ offices should have an identified juvenile unit or attorney responsible for representing the state in juvenile matters. For smaller and/or rural jurisdictions, it may be appropriate to combine resources when possible, however, specialized juvenile training should be made available to prosecutors who will appear in juvenile court in addition to their adult court commitments.
5-1.2 Qualification and Training of Prosecutors in Juvenile Court
Specialized training and experience should be required for prosecutors assigned to juvenile delinquency cases. Chief prosecutors should select prosecutors for juvenile court on the basis of their skill and competence, including knowledge of juvenile law, interest in working with children and youth, interest in community engagement, education, and experience. Entry-level attorneys in the juvenile unit should be as qualified as any entry-level attorney, and receive special, ongoing training regarding juvenile matters, including adolescent development.
5-1.3 Screening Juvenile Cases
The prosecutor or a designee should review all cases, which may be reviewed pursuant to their state statutes, for legal sufficiency and then decide whether a case will be diverted, formally petitioned with the juvenile court, or transferred to criminal court. If the facts of the case are not legally sufficient to warrant action, the matter should be terminated or returned to the referral source pending further investigation or receipt of additional reports.
5-1.4 Diversion
The prosecutor or a designee should be responsible for recommending which cases should be diverted from formal adjudication. No case should be diverted unless the prosecutor reasonably believes that they could substantiate the criminal or delinquency charge against the juvenile. Treatment, restitution, or public service programs developed in his or her office may be utilized, or the case can be referred to existing probation or community service agencies. To the extent possible, when determining the conditions of diversion, prosecutors should consider the individual treatment and service needs of the juvenile in order to tailor services accordingly. As much as possible, prosecutors should support efforts to address not only the needs of the juvenile, but also those of the juvenile’s family that would help in rehabilitating the juvenile.
5-1.5 Charging and Diversion Criteria
The prosecutor or a designee must further review legally sufficient cases to determine whether they should be filed formally with the juvenile court, transferred or diverted for treatment, services, or probation. In determining whether to file formally or, where allowed by law, divert, the prosecutor or designated case reviewer should consider the following factors in deciding what result best serves the interests of the community and the juvenile:
a. The seriousness of the alleged offense, including whether the conduct involved violence or bodily injury to others, including the victim;
b. The role of the juvenile in that offense;
c. The nature and number of previous cases presented by law enforcement or others against the juvenile, and the disposition of those cases;
d. The juvenile’s age, maturity, and mental status;
e. The existence of appropriate treatment or services available through the juvenile court, child protective services, or through diversion;
f. Whether the juvenile admits guilt or involvement in the offense charged (If allowed by statute), whether they accept responsibility for the conduct and the juvenile’s attitude in regard to the crime;
g. The dangerousness or threat posed by the juvenile to the person or property of others;
h. The decision made with respect to similarly-situated juveniles; and
i. Recommendations of the referring agency, victim, law enforcement, and advocates for the juvenile, in consideration of the juvenile’s rehabilitative potential.
5-1.6 Transfer to Criminal Court
The transfer of cases to criminal court should be reserved for the most serious, violent, and chronic offenders. Prosecutors should make transfer decisions on a case-by-case basis and take into account the individual factors and state requirements of each case including, among other factors, the gravity and violent nature of the current alleged offense, the record of previous delinquent behavior of the juvenile charged, and the availability of adequate treatment, services and dispositional alternatives in juvenile court.
5-1.7 Plea Agreements
The decision to enter into a plea agreement should be governed by both the interests of the state and those of the juvenile, although the primary concern of the prosecutor should be protection of the community as determined in the exercise of traditional prosecutorial discretion. The prosecutor should also consider the juvenile’s potential for rehabilitation.
5-1.8 Prosecutor’s Role in Adjudication (Trial)
At the adjudicatory hearing, the prosecutor should assume the traditional adversarial role of a prosecutor, acting in the best interests of justice and community safety.
5-1.9 Dispositions
The prosecutor should take an active role in the dispositional hearing and make a recommendation consistent with community safety to the court after reviewing reports prepared by prosecutorial staff, the probation department, and others. In making a recommendation, the prosecutor should seek the input of the victim and consider the rehabilitative needs of the juvenile offender, provided that they are consistent with community safety and welfare.
5-1.10 Victim Impact
Victims of crimes should be informed of all important stages of the criminal justice proceedings to the extent feasible, upon request or as required by law. The prosecutor should be aware of any obligations imposed by victims’ rights legislation in his or her particular jurisdiction. The prosecutor should take care to balance the extent of information provided to the victim with the need to protect the integrity of the case and process.
5-1.11 Evaluation of Programs
The prosecutor should periodically review diversion and dispositional programs, both within and outside the prosecutor’s office, to ensure that they provide appropriate supervision, treatment, restitution requirements, or services for the juvenile. The prosecutor should maintain a working relationship with all outside agencies providing diversion and dispositional services to ensure that the prosecutor’s decisions are consistent and appropriate. If the prosecutor discovers that a juvenile or class of juveniles is not receiving the care and treatment envisioned in disposition or diversion decisions, the prosecutor should inform the court of this fact.
5-1.12 Duty to Report
If the prosecutor becomes aware that the directives and/or sanctions imposed by the court are not being administered by an agency to which the court assigned the juvenile or that a treatment provider is engaging in unethical or questionable practices, the prosecutor, at minimum, should report the concerns to the court.
Commentary
Over the last twenty years, there has been significant attention paid to the field of juvenile justice. The decline in the number of juvenile delinquency cases since 1997, coupled with the increase in alternatives to incarceration and strategies based on research have created greater opportunities for prosecutors to serve a more expansive role in their respective communities. No longer confined to the courtroom, juvenile prosecutors play an important and influential role in delinquency prevention and early intervention efforts. They serve as leaders by creating innovative programs and policies that make crime prevention a key component of the community safety mission.
The prosecutor is charged to seek justice just as he does in criminal prosecutions. The prosecutor in the juvenile system, however, is further charged to give special attention to the circumstances and needs of the accused juvenile to the extent that it does not conflict with the duty to fully and faithfully represent the interests of the state. This balanced approach reflects the philosophy that the safety and welfare of the community is enhanced when juveniles, through counseling, restitution, or more extensive rehabilitative efforts and sanctions, are dissuaded from further criminal activity.
To efficiently carry out his or her duties, it is desirable that the prosecutor appear at all stages of the proceedings. In so doing, the prosecutor maintains a focus on the safety and well-being of the community at each decision-making level. Further, because the juvenile system is increasingly adversarial, the prosecutor fulfills an important role in addressing the positions of juvenile and social service advocates. The prosecutor’s presence guarantees the opportunity to exercise continuous monitoring at each stage and broad discretion to ensure fair and just results.
These standards further emphasize professionalism in juvenile court work. They provide that attorneys in juvenile court should be experienced, competent, and interested. Because of the adversarial nature of juvenile proceedings, the prosecutor should be responsible for screening to determine whether there is sufficient evidence to believe that a crime was committed and that the juvenile committed it. A case should only be further processed if it is legally sufficient. “Legally sufficient” means a case in which the prosecutor believes that he
can reasonably substantiate the charges against the juvenile by admissible evidence at trial. These determinations should be made by the prosecutor.
After a determination of legal sufficiency, the next decision to be made is whether the case should be diverted, referred to juvenile court or transferred to criminal court. This decision has both legal and social implications. It should be made either by an experienced prosecutor who has an interest in juveniles or by other case screeners under the guidance of a prosecutor. The prosecutor, in exercising this function, should consider the rehabilitative needs of the juvenile while upholding the safety and welfare of the community. These decisions should be made without unreasonable delay. Prompt determinations generally promote confidence in the system and fairness to the victim, the community, and the juvenile. Further, prompt decisions are more likely to result in rehabilitation of the juvenile by providing more immediate attention.
Diversion of cases in juvenile court from the formal charging, adjudication, and disposition procedure has become common for less serious offenses. The impetus for such a procedure is that because juveniles are in the process of cognitive, moral, and social development, there is a unique opportunity presented at the juvenile court level to dissuade them from criminal activity. Advances in neuroscience confirm that the adolescent brain is undergoing significant development, and the neuroplasticity creates tremendous opportunity to influence youth in a positive way. However, science also confirms the tremendous vulnerability of the adolescent brain to drugs and alcohol. This is a concern for juvenile prosecutors. Many first-time or minor offenders will never enter the justice system again if their cases are handled properly through a robust diversion program. Treatment, restitution, or service programs often are viable alternatives to court processing. These standards describe the opportunity for prosecutors to be involved either in diversion programs based in their offices or through referral to existing probation or community service agencies.
In many jurisdictions, transfer of juveniles to criminal court is controlled by statute or practice. This standard simply provides guidance for prosecutors in using discretion to the extent that they participate in this process, and includes consideration of the rehabilitative potential of a juvenile offender. Given the general decline in the number of cases being transferred, this option should be reserved for serious, violent, and chronic offenders.
These standards reflect the consensus that plea agreements are appropriate for juvenile court. A plea agreement should only be entered into when there is sufficient admissible evidence to demonstrate a *prima facie* case that the juvenile has committed the acts alleged in the petition to which he is pleading guilty. The appropriateness and extent to which plea agreements are used are matters of office policy to be determined by the chief prosecutor. The prosecutor should always take steps to ensure that the resulting disposition is in the interest of the community with due regard being given to the rehabilitative needs of the juvenile.
In those matters that are not diverted or disposed of without trial the prosecutor should assume the traditional prosecution role in the adversarial process with respect to determination of guilt or innocence. This standard, therefore, suggests that the rules of evidence apply. Prosecutors should strive in the juvenile court setting to maintain a distinction between a factual determination of innocence or guilt and a determination of disposition. This approach promotes fairness to both the victim and the community and enhances the integrity of juvenile court findings.
Prosecutors should offer dispositional alternatives to the court that reduce risk and increase the protective factors that will make a juvenile successful in the future. When a juvenile presents a danger to the safety and welfare of the community, the prosecutor should voice this concern. On the other hand, when appropriate, the prosecutor may offer a dispositional recommendation that is less restrictive than what the juvenile court judge may contemplate imposing.
Given the unique role that prosecutors play across the justice continuum, they have a responsibility to ensure that all decisions are fair and just. They must base decisions on factors such as community safety, offender accountability, and rehabilitation. Race, ethnicity, and/or gender are never appropriate factors in decision-making. In order to ensure that decisions and policies are fair and equal, it is important to track case processing and outcomes. Data-driven practices are an important component of the fair administration of justice. Prosecutors should examine strategies and alternatives that decrease racial, ethnic, and gender disparities while maintaining community safety.
This standard also suggests that, to the extent possible, the prosecutor should take a leadership role in the community in assuring that a wide range of appropriate dispositional alternatives are available for youth who are adjudicated delinquents. In addition, the prosecutor is encouraged to follow up on cases to ensure that dispositions are upheld, court ordered sanctions are administered, and treatment is provided. Similarly, prosecutors, to the extent possible, should take an active role in prevention and early intervention efforts.
Part VI.
Propriety of Plea Negotiation and Plea Agreements
1. General
2. Availability for Plea Negotiation
3. Factors for Determining Availability and Acceptance of Guilty Plea
4. Fulfillment of Plea Agreements
5. Record of Plea Agreement
1. General
6-1.1 Propriety
The prosecutor is under no obligation to enter into a plea agreement that has the effect of disposing of criminal charges in lieu of trial. However, where it appears that it is in the public interest, the prosecution may engage in negotiations for the purpose of reaching an appropriate plea agreement. When agreement is reached, it should be reduced to writing or put on the record in court, if practicable.
6-1.2 Types of Plea Negotiations
The prosecution, in reaching a plea agreement, may agree to a disposition of the case that includes, but is not limited to, one or more of the following commitments from the prosecution in exchange for a plea of guilty:
a. To make certain recommendations concerning the sentence which may be imposed by the court if the defendant enters a plea of guilty or nolo contendere;
b. To agree not to oppose sentencing requests made by the defense; or
c. To dismiss, seek dismissal, or not oppose dismissal of an offense or offenses charged if the defendant enters a plea of guilty or nolo contendere to another offense or other offenses supported by the defendant’s conduct;
d. To dismiss, seek dismissal, or not oppose dismissal of the offense charged, or not to file potential charges, if the accused agrees not to pursue potential civil causes of action against the victim, witnesses, law enforcement agencies or personnel, or the prosecutor or his staff or agents;
e. To agree to forego an ongoing investigation into other criminal activity of the defendant if the defendant enters a plea of guilty or nolo contendere to a presently charged offense or offenses; and/or
f. To agree that the defendant and prosecution will jointly recommend a particular sentence to the court and that the prosecution will support the defendant’s motion to withdraw his plea of guilty if the court exceeds this agreed upon sentencing recommendation.
6-1.3 Conditional Offer
Prior to reaching a plea agreement and subject to the standards herein and the law of the jurisdiction, the prosecutor may set conditions on a plea agreement offer, such as:
a. The defendant’s acceptance of the offer within a specified time period that would obviate the need for extensive trial preparation;
b. The defendant’s waiver of certain pre-trial rights, such as the right to discovery;
c. The defendant’s waiver of certain pre-trial motions such as a motion to suppress or dismiss; or
d. The defendant’s waiver of certain trial or post-trial rights, such as the right to pursue an appeal or post-conviction relief.
6-1.4 Uniform Plea Opportunities
Similarly situated defendants should be afforded substantially equal plea agreement opportunities. In considering whether to offer a plea agreement to a defendant, the prosecutor should not take into account the defendant’s race, religion, sex, sexual orientation, national origin, or political association or belief, unless legally relevant to the criminal conduct charged.
2. Availability for Plea Negotiation
6-2.1 Willingness to Negotiate
The prosecutor should make known a policy of willingness to consult with the defense concerning disposition of charges by plea and should set aside times and places for plea negotiations, in addition to pre-trial hearings.
6-2.2 Presence of Defense Counsel
The prosecutor should not negotiate a plea agreement directly with a defendant who is represented by counsel in the matter, unless defense counsel is either present or has given his or her express permission for the prosecutor to negotiate directly with the defendant.
3. Factors for Determining Availability and Acceptance of Guilty Plea
6-3.1 Factors to Consider
a. Prior to negotiating a plea agreement, the prosecution should consider the following factors:
b. The nature of the offense(s);
c. The degree of the offense(s) charged;
d. Any possible mitigating circumstances;
e. The age, background, and criminal history of the defendant;
f. The expressed remorse or contrition of the defendant, and his or her willingness to accept responsibility for the crime;
g. Sufficiency of admissible evidence to support a verdict;
h. Undue hardship caused to the defendant;
i. Possible deterrent value of trial;
j. Aid to other prosecution goals through non-prosecution;
k. A history of non-enforcement of the statute violated;
l. The potential effect of legal rulings to be made in the case;
m. The probable sentence if the defendant is convicted;
n. Society’s interest in having the case tried in a public forum;
o. The defendant’s willingness to cooperate in the investigation and prosecution of others;
p. The likelihood of prosecution in another jurisdiction;
q. The availability of civil avenues of relief for the victim, or restitution through criminal proceedings;
r. The willingness of the defendant to waive his or her right to appeal;
s. The willingness of the defendant to waive (release) his or her right to pursue potential civil causes of action arising from his or her arrest, against the victim, witnesses, law enforcement agencies or personnel, or the prosecutor or his or her staff or agents;
t. With respect to witnesses, the prosecution should consider the following:
u. The availability and willingness of witnesses to testify;
v. Any physical or mental impairment of witnesses;
w. The certainty of their identification of the defendant;
x. The credibility of the witness;
y. The witness’s relationship with the defendant;
z. Any possible improper motive of the witness;
aa. The age of the witness;
bb. Any undue hardship to the witness caused by testifying.
With respect to victims, the prosecution should consider those factors identified above and the following:
a. The existence and extent of physical injury and emotional trauma suffered by the victim;
b. Economic loss suffered by the victim;
c. Any undue hardship to the victim caused by testifying.
6-3.2 Innocent Defendants
The prosecutor should always be vigilant for the case where the accused may be innocent of the offense charged. The prosecutor must satisfy himself or herself that there is a sound factual basis for all crimes to which the defendant will plead guilty under any proposed plea agreement.
6-3.3 Candor
The prosecutor should not knowingly make any false or misleading statements of law or fact to the defense during plea negotiations.
4. Fulfillment of Plea Agreements
6-4.1 Limits of Authority
The prosecutor should not make any guarantee concerning the sentence that will be imposed by the court or concerning a suspension of sentence. The prosecutor may advise the defense of the position the prosecutor will take concerning disposition of the case, including a sentence that the prosecutor is prepared to recommend to the court based upon present knowledge of the facts of the case and the offender, including his or her criminal history.
6-4.2 Implication of Authority
The prosecutor should not make any promise or commitment assuring a defendant that the court will impose a specific sentence or disposition in the case. The prosecutor should avoid implying a greater power to influence the disposition of a case than the prosecutor actually possesses.
6-4.3 Inability to Fulfill Agreement
The prosecutor should not fail to comply with a plea agreement that has been accepted and acted upon by the defendant to his or her detriment, unless the defendant fails to comply with any of his or her obligations under the same agreement or unless the prosecutor is authorized to do so by law. If the prosecutor is unable to fulfill an understanding previously agreed upon in plea negotiations, the prosecutor should give prompt notice to the defendant and cooperate in securing leave of court for the defendant to withdraw any plea and take such other steps as would be appropriate to restore the defendant and the prosecution to the position they were in before the understanding was reached or plea made.
6-4.4 Rights of Others to Address the Court
The prosecutor should not commit, as part of any plea agreement, to limit or curtail the legal right of any victim or other person authorized by law to address the court at the time of plea or sentencing. The prosecutor should honor the legal rights of victims and other persons authorized by law to address the court.
6-4.5 Notification of Media
Prior to the entry of a plea of guilty by the defendant in open court, the prosecutor should not make any extrajudicial comments to the media about either the possibility or existence of a plea agreement with the defendant, or of the nature or contents of any such agreement.
5. Record of Plea Agreement
6-5.1 Record of Agreement
Whenever the disposition of a charged criminal case is the result of a plea agreement, the prosecutor should make the existence and terms of the agreement part of the record. The prosecutor should also maintain the reasons for the disposition in the case file.
6-5.2 Reasons for Nolle Prosequi
Whenever felony criminal charges are dismissed by way of a nolle prosequi or its equivalent, the prosecutor should make a record of the reasons for his or her action.
Commentary
In the prosecutor’s quest for justice, it is necessary and desirable to dispose of criminal cases without going to trial. There are few prosecutors who have the resources that would be required to try every case. Given that reality, most prosecutors actively engage in negotiations to reach appropriate dispositions in most cases.
Like other agreements between parties, most plea negotiations require some action by both the prosecutor and the defendant. Also, like most other agreements, plea negotiations should be conducted in an honest and forthright manner in which the prosecution is guided by representing the best interest of society while being mindful of duties of candor and to avoid overreaching in dealing with the defendant. The prosecutor should be careful not to agree to an action that he or she cannot perform. Likewise, the defendant should be aware that his or her failure to perform his or her part of the agreement might well result in the prosecutor’s withdrawal from the agreement.
In the event that the prosecutor is for some reason unable to fulfill a portion of the agreement, he or she should do everything possible to help restore the defendant and the prosecution to their respective positions prior to the agreement.
Further, like in other agreements between adverse parties, it is best that the deal be in writing and placed on the record in the plea hearing.
A concern that is not common to other agreements is the possibility that an innocent defendant would be interested in a negotiated guilty plea in order to avoid exposure to a greater sentence. A prosecutor who considers all of the factors in these standards is in the best position to avoid such a miscarriage of justice.
Part VII. Trial
1. Candor with the Court
7-1.1 Veracity
The prosecutor shall not knowingly make a false statement of fact or law to a court. If a prosecutor learns that a previous statement of material fact or law made to the court by the prosecutor is incorrect, the prosecutor shall correct such misstatement in a timely manner.
7-1.2 Legal Authority
A prosecutor shall inform the court of legal authority in the controlling jurisdiction known to the prosecutor, including authority that is directly adverse to his or her position.
7-1.3 Evidence
A prosecutor shall offer evidence that is believed to be truthful and accurate. If a prosecutor learns that material evidence previously presented by the prosecutor is not truthful or accurate, the prosecutor shall take reasonable remedial measures to prevent prejudice caused by the false evidence.
7-1.4 Ex Parte Proceeding
A prosecutor, in an ex parte proceeding as authorized by law, shall inform the court of all material facts known to the prosecutor which he or she reasonably believes are necessary to make an informed decision by the court.
Commentary
In order to make just, informed decisions, the court must have the most accurate information available regarding the facts and the law. A prosecutor, in his or her role as a minister of justice, must provide information to the court in an honest and forthright manner.
2. Selection of Jurors
7-2.1 Investigation
A prosecutor may conduct a pre-voir dire investigation of any prospective juror, but any such investigation shall not harass or intimidate prospective jurors. Prosecutors may conduct criminal history record checks of prospective jurors and, to the extent required by law or court order, share any conviction information with the court or defense for use in conducting the voir dire examination.
7-2.2 Voir dire Examination
A prosecutor should not conduct voir dire examination in such a manner as to cause any prospective juror unnecessary embarrassment; or intentionally use the voir dire process to present information that he or she knows will not be admissible at trial.
7-2.3 Peremptory Challenges
A prosecutor shall not exercise a peremptory challenge in an unconstitutional manner based on group membership or in a manner that is otherwise prohibited by law.
7-2.4 Duration
A prosecutor should conduct selection of the jury without unnecessary delay.
7-2.5 Identity of Jurors
In cases where probable cause exists to believe that jurors may be subjected to threats of physical or emotional harm, the prosecutor may request the trial court to keep their identities from the defendant or the public in general.
Commentary
The primary purpose of the jury selection process is to empanel a jury that is representative of the community and does not have personal interests or prejudices for or against a party to the extent that they cannot render a verdict based upon the law and the facts. The standards set forth principles to be followed by prosecutors in conducting their part of the selection process.
In the permitted voir dire examination, consideration might be given to the court approved use of a questionnaire to gather basic information and serve as a time saving device.
In exercising peremptory challenges, the prosecutor should be mindful that as a representative of all of the people of his or her jurisdiction, it is important that none of those people be obstructed from serving on a jury because of their status as a member of a particular group.
The standard recognizes that in recent years jurors have sometimes been subjected to threats of violence. It recognizes the need to protect such jurors and adopts a probable cause test for cases in which the prosecution may request the court to keep their identity from the defendant and the public.
3. Relationships with Jury
7-3.1 Direct Communication
A prosecutor should not intentionally speak to or communicate with any juror or prospective juror prior to or during the trial of a case, except while in the courtroom with all parties and the judge present and on the record.
7-3.2 After Discharge
After the jury is discharged, in jurisdictions where permitted, the prosecutor may, unless otherwise prohibited by law, communicate with the jury as a whole or with any members of the jury to discuss the verdict and the evidence. The prosecutor may ask the court to inform jurors that it is not improper to discuss the case with the lawyers in the case after verdict, if the juror decides to do so. The prosecutor should not criticize the verdict, harass any juror, or intentionally seek to influence future jury service during such communication. A prosecutor should cease communication upon a juror’s request.
Commentary
The prosecutor has a large responsibility in seeing that the criminal justice system is respected and improved. In that regard he or she must be careful to avoid any appearance of taking unfair advantage of a juror or jury. In post-trial contact, the prosecutor should not criticize the verdict or jurors’ actions, as such might be seen as an attempt to influence the behavior of a juror or a person with whom the juror confides in any future instance of jury service.
4. Opening Statements
7-4.1 Purpose
When permitted by law, a prosecutor may give an opening statement for the purpose of explaining the legal and factual issues, the evidence, and the procedures of the particular trial.
7-4.2 Limits
A prosecutor should not allude to evidence unless he or she believes, in good faith, that such evidence will be available and admitted into evidence at the trial.
Commentary
The prosecutor should be guided by the principle that the opening statement should be confined to assertions of fact that he or she intends or, in good faith, expects to prove. Although it may be acceptable for the prosecuting attorney to state facts that are expected to be proved, such assertions should be founded upon the prosecutor’s good faith and reasonable basis for believing that such evidence will be tendered and admitted into
evidence. The prosecutor should be zealous in maintaining the propriety and fairness which should characterize his or her conduct as an officer of the court whose duty it is to competently represent the citizenry of the state in seeking justice. So long as the prosecutor’s remarks are guided by good faith and a reasonable belief that such assertions will ultimately be supported by the admissible evidence, the prosecution will have fulfilled the basic requirements of an opening statement.
5. Presentation of Evidence
7-5.1 Admissibility
A prosecutor should not mention or display, in the presence of the jury, any testimony or exhibit which the prosecutor does not have a good faith belief will be admitted into evidence.
7-5.2 Questionable Admissibility
When admissibility of evidence is reasonably questionable, a prosecutor should not publish or display the evidence to the jury prior to obtaining a ruling on the admissibility from the court.
Commentary
Consistent with the concepts of fairness that should be embraced by the prosecutor, he or she should not expose the jury to evidence of questionable admissibility without first seeking a ruling from the court.
6. Examination of Witnesses
7-6.1 Fair Examination
A prosecutor should conduct the examination of all witnesses fairly and with due regard for their reasonable privacy.
7-6.2 Improper Questioning
A prosecutor should not ask a question that implies the existence of a factual predicate that the prosecutor either knows to be untrue or has no reasonable objective basis for believing is true.
7-6.3 Purpose of Cross-Examination
A prosecutor should use cross-examination as a good faith quest for the ascertainment of the truth.
7-6.4 Impeachment and Credibility
A prosecutor may and should use cross-examination to test the credibility of a witness within the bounds of the rules of evidence. However, the prosecutor should not abuse this power in an attempt to ridicule, discredit or hold a fact witness up to contempt, if the prosecutor knows the witness is testifying truthfully.
Commentary
If the criminal justice system is to retain credibility with the public, it must furnish a tribunal into which people can come to give information without the fear of being harassed or having their privacy unduly invaded. Our system requires that all witnesses, those brought in by both the prosecution and defense, be treated fairly. To ask a question that implies the existence of a factual predicate that is not true or for which the prosecutor has no reasonable objective basis for believing, is not fair and therefore not proper.
Without such limitations, the overzealous prosecutor could use the examination of a witness to imply the existence of whatever evidence might be needed in the hope that the jury would not consider too closely the fact that it was never really introduced.
Because cross-examination is to be used as a good faith quest for the truth, a prosecutor who knows the witness is testifying truthfully should not seek to ridicule or undermine the credibility of said witness beyond what the evidentiary rules would allow. That does not mean that the prosecutor cannot vigorously cross-examine a witness. The use of proactive techniques can elicit other information that is useful in establishing the prosecution’s theory of the case.
In the end, if a prosecutor keeps in mind that his or her responsibility is to seek justice for all of the people of the community, then following the directives of these standards is simply a matter of common sense.
7. Objections and Motions
7-7.1 Procedure
When making an objection during the course of a trial, a prosecutor should formally state the objection in the presence of the jury along with a short and plain statement of the grounds for the objection. Unless otherwise directed by the court, further argument should usually be made outside the hearing of the jury.
7-7.2 Motions in Limine
Where permitted, a prosecutor should attempt to resolve by Motion in Limine prior to commencement of trial, any evidentiary matters when the prosecutor believes there may be an issue of admissibility before a judge or jury, to avoid unnecessary delays in the trial or to prevent the risk of prejudicial information before the trier of fact. Likewise, a prosecutor should also request the court to similarly resolve questions on the admissibility of defense evidence.
Commentary
The admissibility of evidence, exhibits, demonstrations, or argument is left to the court for determination. Prosecutors should be sufficiently acquainted with the rules of evidence so they are able to predict the admissibility of evidence to a high degree of probability.
When the prosecutor has a good faith belief that the evidence, exhibit, demonstration, or argument being offered is not admissible, he or she should object and give a short statement of the basis for the objection. Since most, if not all, objections involve questions of law to be
ruled upon by the trial court, the legal arguments are of little or no concern to the jury. Such argument may also refer to factual matters that have not, up to that point in the proceedings, been brought out by sworn testimony and which, additionally, may not be brought out and/or may be inadmissible. This should not, however, preclude the trial court from giving the jury an explanation of the basis for the objection and/or its ruling sufficient to dispel the questions that could normally arise in the minds of the jurors, so that no unfavorable inferences will be drawn by them reflecting upon a party.
In order to conserve the time of the jury, witnesses and other interested parties, the prosecutor should attempt to have questions regarding the admissibility of evidence resolved prior to trial. In addition to the savings of court time, the pre-trial rulings will also allow for more efficient pre-trial preparation and, where permitted, the appeal of adverse rulings.
8. Arguments to the Jury
7-8.1 Characterizations
In closing argument, a prosecutor should be fair and accurate in the discussion of the law, the facts, and the reasonable inferences that may be drawn from the facts.
7-8.2 Personal Opinion
In closing argument, a prosecutor should not express personal opinion regarding the justness of the cause, the credibility of a witness or the guilt of the accused, assert personal knowledge of facts in issue, or allude to any matter not admitted into evidence during the trial.
Commentary
Faced with closing argument, the final opportunity to espouse the people’s theory of the case, prosecutors need to be keenly aware of the limitations on the methods available to them for that use. Closing arguments have been the ticket back to the trial court from many appellate courts that have uttered the words “prosecutorial misconduct” in relation to words uttered by the prosecutor.
These standards set forth the basic rules for guidance in constructing and delivering a closing argument. Prosecutors should become intimately familiar with his or her jurisdiction’s ethical rules and appellate opinions on proper closings.
1. Sentencing
8-1.1 Fair Sentencing
To the extent that the prosecutor becomes involved in the sentencing process, he or she should seek to assure that a fair and fully informed judgment is made and that unfair sentences and unfair sentence disparities are avoided.
8-1.2 Sentencing Input
The prosecutor may take advantage of the opportunity to address the sentencing body, whether it is the jury or the court, and may offer a sentencing recommendation where appropriate. The prosecution should also take steps to see that the victim is afforded his or her rights to address the sentencing body.
8-1.3 Mitigating Evidence
The prosecutor should disclose to the defense prior to sentencing any known evidence that would mitigate the sentence to be imposed. This obligation to disclose does not carry with it additional obligations to investigate for mitigating evidence beyond what is otherwise required by law.
8-1.4 Pre-Sentencing Reports
a. The prosecutor should take steps to ensure that sentencing is based upon complete and accurate information drawn from the pre-sentence report and any other information the prosecution possesses.
b. The prosecutor should disclose to the court or probation officer any information in its files relevant to the sentencing process.
c. Upon noticing any material information within a pre-sentence report which conflicts with information known to the prosecutor, it is the duty of the prosecutor to notify the appropriate parties of such conflicting information.
Part VIII. Sentencing
Commentary
Participation in the sentencing process provides the prosecutor the opportunity to continue his or her quest for justice. The prosecutor should be the person most familiar with the defendant, the facts surrounding the commission of the crime, and the procedures that brought the defendant to the sentencing stage. It is also the prosecutor who, from prior experience, will be aware of the sentences received by persons in similar situations so as to steer the court away from unfair sentences and unfair sentence disparities.
Sentencing participation also provides the prosecutor with an opportunity to assure that the victims of crimes are allowed to voice their thoughts and opinions regarding the sentence to be imposed. Sentencing also presents the opportunity for the prosecutor to seek a sentence that will adequately protect the community, deter persons from committing crimes and appropriately punish the offender. Sentencing further provides the means for the prosecutor to make sure the defendant is treated fairly by making mitigating evidence in his or her possession available to the defense and to ensure that the information provided to the court in the form of a pre-sentence investigation report is accurate.
2. Probation
8-2.1 Role in Pre-Sentence Report
a. The prosecutor should take an active role in the development and submission of the pre-sentence report, including the following:
b. The office of the prosecutor should be available as a source of information to the probation department concerning a defendant’s background when developing pre-sentence reports;
c. The office of the prosecutor should review pre-sentence reports prior to or upon submission of such reports to the court; and
d. Upon noticing any material information within a pre-sentence report which conflicts with information known to the prosecutor, it is the duty of the prosecutor to notify the appropriate parties of such conflicting information.
8-2.2 Prosecutor as a Resource
The office of the prosecutor should be available as a source of information for the probation department for offenders under supervision.
8-2.3 Notice
The office of the prosecutor should seek to be notified of and have the right to appear at probation revocation and termination hearings and be notified of the outcome of such proceedings within the jurisdiction.
3. Community-Based Programs
8-3.1 Knowledge of Programs
The prosecutor, to the extent practicable, should be cognizant of and familiar with community-based programs to which defendants may be sentenced or referred to as a condition of probation.
Commentary
The prosecutor’s relationship with the probation department must continue beyond the preparation of the pre-sentence report. If a defendant is placed under the supervision of the probation department or another community-based program, the prosecutor, as a guardian of the public interest in seeing that the court’s directives to the defendant are followed, should share information and, where allowed, assist the probation office and other programs in bringing a non-complying person back before the court.
1. Post-Sentencing
9-1.1 Prosecution Appeals
The prosecutor should appeal pre-trial and trial rulings when there is a basis in both law and fact for doing so. The basis should not be frivolous and may include good faith arguments for extension, modification or reversal of existing law and when it is in the interests of justice to do so.
9-1.2 Cooperation of Trial and Appellate Counsel
When the appellate prosecutor is not the trial prosecutor, the appellate prosecutor and trial prosecutor should cooperate with each other to ensure an adequate flow of information. When feasible, prior to confession of error, the appellate prosecutor should inform the trial prosecutor and obtain his or her input on any issue in question.
9-1.3 Duty of Prosecutor to Defend Conviction
The prosecutor should defend a legally obtained conviction and a properly assessed punishment unless new evidence is received that credibly calls the conviction or sentence into question. A prosecutor has the duty, consistent with the responsibility as a minister of justice, to require the convicted person to meet the applicable burden of proof to obtain relief on both appeal from or collateral attack of a conviction.
9-1.4 Argument on Appeal
The prosecutor shall not assert or contest an issue on appeal unless there is a basis in both law and fact for doing so. The basis should not be frivolous and may include good faith arguments for extension, modification or reversal of existing law.
9-1.5 Appeal Bonds
The prosecutor should defend against the efforts of convicted defendants to be released on appeal bond unless there is reason to believe that the conviction is no longer supported by the law or evidence or opposition to the bond would create a manifest injustice.
9-1.6 Collateral Review
The prosecutor shall not assert or contest an issue on collateral review unless there is a basis in law and fact for doing so. The basis should not be frivolous and may include good faith arguments for extension, modification or reversal of existing law.
9-1.7 Duty to Cooperate in Post-Conviction Discovery Proceedings
A prosecutor shall provide discovery to the defense attorney during post-conviction proceedings where:
a. Required to do so by law, court order or rule;
b. The evidence is constitutionally exculpatory; or
c. He or she reasonably believes that the convicted person’s claim of actual innocence is supported by specific factual allegations which, if true, would entitle the convicted person to relief under the legal standard applicable in the jurisdiction, and the evidence relates to that claim.
A prosecutor may require a specific offer of proof to establish a claim of actual innocence before the prosecutor agrees to take any affirmative action in response to a post-conviction request for discovery.
9-1.8 Duty of Prosecutor Regarding Claims of Actual Innocence
In the circumstance when a prosecutor learns of material and credible evidence that leads the prosecutor to believe that a defendant may be actually innocent of a crime, the prosecutor should exercise due diligence in taking appropriate action, which may include notifying the defense attorney, the defendant, if not represented, and the appropriate court.
Commentary
Assuming that the prosecutor has been diligent in performing his or her duties in the quest for justice throughout the investigation, screening, charging, discovery, trial and sentencing, the continued quest for justice requires his or her continued best efforts in responding to the defendant’s appeal or collateral attacks. Those best efforts require cooperation with trial counsel and examination of the record to determine whether any appeal on issues decided unfavorably to the prosecution should be addressed, where permitted.
As in all other dealing with the court, the prosecutor on appeal must base his or her arguments on the facts and the law. Because there is no longer a presumption of innocence, prosecutors should typically oppose an appeal bond unless there is an unusual circumstance that would indicate that a conviction is no longer supported by the law or the evidence.
In those extremely rare instances in which a prosecutor is presented with credible evidence that a convicted person may actually be innocent, these standards set forth his or her responsibilities that are consistent with the role of the prosecutor as a minister of justice. In fulfilling that role, the prosecutor must strike a balance between his or her responsibility to see that valid convictions are upheld and the duty to see that the innocent are protected from harm. Finding that balance will perhaps pose the greatest challenge a prosecutor will have to face, especially in a situation where the evidence, after being reasonably evaluated, indicates that a mistake has been made. In making the reasonable evaluation, the prosecutor must put aside concerns of personal embarrassment and pride, the possible embarrassment to law enforcement, and any other factors that would deter him or her from seeing that justice is accomplished.
Where a prosecutor believes a convicted person is actually innocent, the prosecutor should support the release of the person if the person is incarcerated solely on that charge and support the reversal of any conviction for the crime of which the person was erroneously convicted.
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CORRECTION
Open Access
Correction to: PIK3CA mutation correlates with mTOR pathway expression but not clinical and pathological features in Fibroadipose vascular anomaly (FAVA)
Yumiko Hori 1,2 , Katsutoshi Hirose 3 , Michio Ozeki 4 , Kenji Hata 5 , Daisuke Motooka 6 , Shinichiro Tahara 1 , Takahiro Matsui 1 , Masaharu Kohara 1 , Hiroki Higashihara 7 , Yusuke Ono 7 , Kaishu Tanaka 7 , Satoru Toyosawa 3 and Eiichi Morii 1*
Correction to: Diagn Pathol 17, 19 (2022) https://doi.org/10.1186/s13000-022-01199-3
Following publication of the original article [1], the authors noticed the incorrect article title in the published article. The correct article title is "PIK3CA mutation correlates with mTOR pathway expression but not clinical and pathological features in Fibro-adipose vascular anomaly (FAVA)".The original article has been updated.
Author details
1 Department of Pathology, Osaka University Graduate School of Medicine, 2-2 Yamadaoka, 565-0871 Suita, Osaka, Japan. 2 Department of Central Laboratory and Surgical Pathology, National Hospital Organization, Osaka National Hospital, 2-1-14 Hoenzaka, Chuo-ku, Osaka-shi, Osaka 540-0006, Japan. 3 Department of Oral Pathology, Osaka University Graduate School of Dentistry, 1-8 Yamadaoka, 565-0871 Suita, Osaka, Japan. 4 Department of Pediatrics, Graduate School of Medicine, Gifu University, 1-1 Yanagido, Gifu 501-1194, Japan. 5 Department of Molecular and Cellular Biochemistry, Osaka University Graduate School of Dentistry, 1-8 Yamadaoka, 565-0871 Suita, Osaka, Japan. 6 Genome Information Research Center, Research Institute for Microbial Diseases, Osaka University, 3-1 Yamadaoka, 565-0871 Suita, Osaka, Japan. 7 Department of Radiology, Osaka University Graduate School of Medicine, 2-2 Yamadaoka, 565-0871 Suita, Osaka, Japan.
Reference
1. Hori Y, Hirose K, Ozeki M, et al. PIK3CA mutation correlates with mTOR pathway expression but not clinical and pathological features in
The original article can be found online at https://doi.org/10.1186/s13000022-01199-3.
* Correspondence:
[email protected]
Department of Pathology, Osaka University Graduate School of Medicine,
1
2-2 Yamadaoka, 565-0871 Suita, Osaka, Japan Full list of author information is available at the end of the article
© The Author(s). 2022 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data.
Fibfibroipose vascular anomaly (FAVA). Diagn Pathol. 2022;17:19. https://doi. org/10.1186/s13000-022-01199-3.
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Health Insurance 101
NCIOM Legislative Health Policy Fellows Staff Session
Berkeley Yorkery
North Carolina Institute of Medicine
February 25, 2019
What is health insurance
Product that helps cover medical expenses
- Sick or injured
- Chronic illness management
- Preventive care
How it works
- Contract between policy holder and insurer
- Policy holder/ employer/ government pays a “premium” to purchase health insurance coverage
- Insurer pays for medical expenses as directed in contract
- Often the insurer covers the cost of a specified portion of the cost of care and the policy holder is responsible for the rest
Health Insurance Categories
- Private: 53%
- Public: 36%
- Uninsured: 11%
Source: Kaiser Family Foundation estimates based on the Census Bureau’s American Community Survey, 2008-2017
Health Insurance Categories
Private
- Health insurance not marketed or paid for by the federal government
- Paid for by employer, individual, or combination
- Wide range of types of health plans available for purchase by employers and individuals
Public
- Government funded
- Federal
- State
- Local
- Medicare, Medicaid, Tricare, Veterans health care
Uninsured
- Individuals who are not covered by any type of health insurance product
Private Health Insurance
• Services covered
• Most private health insurance plans must now cover specific services (also known as essential benefits)
• Plans differ in their coverage of certain non-essential benefits
• Cost of health insurance
• Differs based on the type of insurance plan, level of coverage, location, demographic characteristics of the person purchasing the plan, and the insurer offering the plan
• Consumers must pay a premium (a monthly payment to the insurer) and out-of-pocket expenses (also referred to as cost-sharing)
• Three broad types of private health insurance small group, large group, and non-group.
• Insurers provide small- and large-group coverage to groups, such as employers, unions, or other organizations.
• Individuals and families who do not receive coverage through a group or the government can purchase non-group (individual) health insurance coverage
Private Health Insurance Coverage
Health Insurance Coverage of North Carolinians, by Type, 2017
- Private, 53%
- Employer, 46%
- Individual Purchase, 5%
- ACA, 5%
- Not ACA, 2%
Uninsured
Public
Source: Kaiser Family Foundation estimates based on the Census Bureau’s American Community Survey, 2008-2017; Individual Purchase data calculated by NCIOM using https://www.healthinsurance.org/north-carolina-state-health-insurance-exchange/
Categories of Private Health Insurance
Employer-Based
- Employer provided insurance is how health insurance started in US
- Most common, but % decreasing
- Wide range of cost-sharing arrangements between employers and employees
Individual Purchase ACA
- Market created by the PPACA
- Purchased through federally-facilitated health insurance marketplace
- People with incomes between 138%-400% of FPL can receive subsidies
- Plans must cover essential benefits; set levels of cost-sharing
- Cannot be excluded due to pre-existing conditions
Individual Purchase Not ACA
- Plans not offered through federally-facilitated health insurance marketplace
- Wide range of plans and coverage
- Can refuse coverage
Public Health Insurance Coverage
Health Insurance Coverage of North Carolinians, by Type, 2017
- Private: 64%
- Medicaid: 18%
- Medicare: 15%
- Other Public: 3%
- Uninsured: 4%
Public, 36% 3,555,700
Source: Kaiser Family Foundation estimates based on the Census Bureau’s American Community Survey, 2008-2017; Individual Purchase data calculated by NCIOM using https://www.healthinsurance.org/north-carolina-state-health-insurance-exchange/
Public Health Insurance
**Medicaid**
- National program that varies by state
- Funded jointly by federal and state government
- In NC, feds pay ~2/3 cost
- Covers eligible low-income individuals, including children, pregnant women, parents, seniors, and people with disabilities
- Covers ~2 million NC residents
- Service coverage varies by eligibility category
**Medicare**
- Federal health insurance program that covers
- Individuals 65
- Some permanently disabled individuals under 65
- Funded by federal government
- Four parts (A, B, C, & D); all but A require premiums.
- 1.9 million NC residents enrolled
- Does not cover all services, most notably Medicare does not cover long-term services and supports, dental, hearing aids, and eyeglasses
**Other Public**
- Tricare- insurance program for uniformed service members, military retirees, and their families
- VA Health Care- health care for eligible veterans
- State does not play a role in either
Dual eligibles are those who qualify for Medicare based on age/disability status and Medicaid based on financial and need-based criteria
Medicaid in North Carolina
States Have Flexibility in Their Medicaid Design
Federal Standards
- Eligibility
- Delivery Systems / Provider Payments
- Premiums / Cost Sharing
- Benefits
- Waivers
NC Median Eligibility Levels (as a % of FPL)
| Category | Percentage |
|------------------------|------------|
| Children | 216% |
| Pregnant Women | 201% |
| Parents | 43% |
| Childless Adults | 0% |
| Seniors & People w/ Disabilities | 100% |
100% of FPL: $20,780 for a family of three; $12,140 for an individual
Headquarters / 185 Berry Street Suite 2000 San Francisco CA 94107 / 650 854 9400
Washington Offices and Conference Center / 1330 G Street NW Washington DC 20005 / 202 347 5270
kff.org / Email Alerts: kff.org/email / facebook.com/KaiserFamilyFoundation / twitter.com/KaiserFamFound
Filling the need for trusted information on national health issues, the Kaiser Family Foundation is a nonprofit organization based in San Francisco, California.
Change is Coming to Medicaid in North Carolina
Current Medicaid
- NC Division of Health Benefits directly reimburses health systems and providers on a fee-for-service basis
- One administrator and program for all
- Variability in covered services by eligibility category
Medicaid Transformation (coming late 2019)
- NC Division of Health Benefits will contract with Prepaid Health Plans (PHPs)
- There are 4 state-wide PHP options for all enrollees (1 regional option for some)
- ~1.5 million will enroll (80%) (certain populations excluded and some delayed enrollment)
- Tailored plans for special populations
- DHHS will provide monitoring and oversight of the PHPs
Public Health Insurance Coverage
Health Insurance Coverage of North Carolinians, by Type, 2017
Private
Public
Uninsured, 11% 1,068,600
Source: Kaiser Family Foundation estimates based on the Census Bureau’s American Community Survey, 2008-2017; Individual Purchase data calculated by NCIOM using https://www.healthinsurance.org/north-carolina-state-health-insurance-exchange/
Uninsured in North Carolina
North Carolinians was uninsured in 2017
Individuals who lack health insurance are more likely to
- Report being in fair or poor health
- Forego needed care because of costs
- Be hospitalized for preventable conditions
- Die prematurely
- Have outstanding medical bills (one of the leading causes of bankruptcy)
Uninsured in North Carolina
- Approximately 1.1 million people uninsured in 2016. Of these:
- ~906,000 were nonelderly adults ages 19-64 (83%)
- ~142,000 were children ages 0-18 (13%)
- Most of the uninsured in a family with at least one full-time worker
- 70% have at least one full-time worker
- 12% have at least one part-time worker
Nonelderly Uninsured (NC, 2016)
- <100% FPL: 27%
- 100-199% FPL: 25%
- 200-399% FPL: 31%
- 400%+ FPL: 17%
Approximately 208,000 North Carolinians fall into the Medicaid “coverage gap”
Slide from: Pam Silberman, JD, DrPH, Professor, Dept. Health Policy and Management Gillings School of Global Public Health. Presentation to the NCIOM Legislative Health Policy Fellows Program on April 23, 2018
Kaiser Family Foundation. State Health Facts. Characteristics of Uninsured 2016. Garfield R. et. al The Coverage Gap: Uninsured Poor Adults in States that Did Not Expand Medicaid. KFF Issue Brief. Oct. 2017.
Uninsured in North Carolina
Number and Percent of People Under Age 65 Without Health Insurance
North Carolina, 2016
Number Uninsured, Under Age 65
(# of Counties)
- Greater than 25,000 (6) → Mecklenberg 112,129
- 10,000 to 24,999 (20) Wake 84,547
- 5,000 to 9,999 (29) Guilford 49,069
- 2,500 to 5,000 (20) Forsyth 37,955
- Less than 2,500 (25) Durham 33,038
- Cumberland 30,261
Percent Uninsured, Under Age 65
(# of Counties)
- Greater than 20% (1) → Duplin 20.1%
- 16.0% to 19.9% (14)
- 13.0% to 15.9% (38)
- 10.0% to 12.9% (43)
- Less than 10% (4) → Union 9.9%
- Cabarrus 9.8%
- Onslow 9.6%
- Wake 9.2%
Sources: Small Area Health Insurance Estimates Program, U.S. Census Bureau,
https://www.census.gov/data/datasets/time-series/demo/sahie/estimates-accs.html, accessed 4/6/18;
Produced by: Program on Health Workforce Research and Policy, Cecil G. Sheps Center for Health Services Research, University of North Carolina at Chapel Hill.
Institute of Medicine definition: Safety net providers are “those providers that organize and deliver a significant level of health care and other health-related services to uninsured, Medicaid and other vulnerable populations.”
Core safety net providers are those who “either by legal mandate or explicitly adopted mission, offer care to patients regardless of ability to pay; and a substantial share of their patient mix are uninsured, Medicaid and other vulnerable patients.”
Types of Safety Net Providers in NC
- Federally Qualified Health Centers
- Rural Health Clinics & State Designated Rural Health Centers
- Free and Charitable Clinics
- Local Health Departments
- Hospitals
Much more limited services provided by LME/MCOs, dental safety net, NC Community Health Grants, Pharmacy Assistance Programs.
Types of Health Insurance
Health Insurance Categories
- Private: 53%
- Employer Provided: 46%
- Individual Purchased ACA: 5%
- Individual Purchased Not ACA: 2%
- Public: 36%
- Medicare: 15%
- Medicaid: 18%
- Other Public (Military): 3%
- Uninsured: 11%
Source: Kaiser Family Foundation estimates based on the Census Bureau’s American Community Survey, 2008-2017; Individual Purchase data calculated by NCIOM using https://www.healthinsurance.org/north-carolina-state-health-insurance-exchange/
Questions?
Berkeley Yorkery
[email protected]
Number of People Under Age 65 Without Health Insurance, 2016 and Location of Federally Qualified Health Centers, 2018
North Carolina
Number Uninsured, Under Age 65 (# of Counties)
- Greater than 25,000 (6)
- 10,000 to 24,999 (20)
- 5,000 to 9,999 (29)
- 2,500 to 5,000 (20)
- Less than 2,500 (25)
One FQHC Site
Sources: North Carolina Community Health Center Association, April 2018; Small Area Health Insurance Estimates Program, U.S. Census Bureau, https://www.census.gov/data/datasets/time-series/demo/sahie/estimates-acs.html, accessed 4/6/18; Produced by: Program on Health Workforce Research and Policy, Cecil G. Sheps Center for Health Services Research, University of North Carolina at Chapel Hill.
Number of People Under Age 65 Without Health Insurance, 2016 and Location of Rural Health Centers, 2018
North Carolina
Number Uninsured, Under Age 65 (# of Counties)
- Greater than 25,000 (6)
- 10,000 to 24,999 (20)
- 5,000 to 9,999 (29)
- 2,500 to 5,000 (20)
- Less than 2,500 (25)
- One CMS RHC (n=65)
- One NC ORH RHC (n=7)
- One CMS and ORH RHC (n=8)
Sources: North Carolina Office of Rural Health, 2018; Centers for Medicare and Medicaid Services, 2018; Small Area Health Insurance Estimates Program, U.S. Census Bureau, https://www.census.gov/data/datasets/time-series/demo/sahie/estimates-acs.html, accessed 4/6/18;
Produced by: Program on Health Workforce Research and Policy, Cecil G. Sheps Center for Health Services Research, University of North Carolina at Chapel Hill
Number of People Under Age 65 Without Health Insurance, 2016 and Location of Free and Charitable Clinics, 2018
North Carolina
Number Uninsured, Under Age 65 (# of Counties)
- Greater than 25,000 (6)
- 10,000 to 24,999 (20)
- 5,000 to 9,999 (29)
- 2,500 to 5,000 (20)
- Less than 2,500 (25)
One Free Clinic
Sources: North Carolina Office of Rural Health, 2017, https://www.ncdhhs.gov/divisions/office-rural-health/safety-net-resources; Small Area Health Insurance Estimates Program, U.S. Census Bureau, https://www.census.gov/data/datasets/time-series/demo/sahie/estimates-acs.html, accessed 4/6/18;
Produced by: Program on Health Workforce Research and Policy, Cecil G. Sheps Center for Health Services Research, University of North Carolina at Chapel Hill
Number of People Under Age 65 Without Health Insurance, 2016 and Location of Dental Safety Net Sites, 2018
North Carolina
Number Uninsured Under Age 65 (# of Counties)
- Greater than 25,000 (6)
- 10,000 to 24,999 (20)
- 5,000 to 9,999 (29)
- 2,500 to 5,000 (20)
- Less than 2,500 (25)
Type of Dental Site (# of Counties)
- FQHC (48)
- LHD (11)
- FQHC/LHD (5)
- Free Clinic (19)
- Other (6)
FQHC = Federally Qualified Health Center, LHD = Local Health Department. Includes 3 mobile clinics.
Sources: North Carolina Office of Rural Health, 2018; North Carolina Association of Free and Charitable Clinics, 2018; Small Area Health Insurance Estimates Program, U.S. Census Bureau, https://www.census.gov/data/datasets/time-series/demo/sahie/estimates-accs.html, accessed 4/6/18;
Produced by: Program on Health Workforce Research and Policy, Cecil G. Sheps Center for Health Services Research, University of North Carolina at Chapel Hill
Office of Rural Health
Community Health Grantee Locations
SFY 2018 (Includes Years 1-3)
Community Health Grants
(141 Grantees in 69 Counties)
Numbers inside of symbols indicate number of grantees within the respective county
Office of Rural Health
Medication Assistance Program Coverage
SFY 2017
- No Sites (17 Counties)
- 1 Site (45 Counties)
- 2 Sites (22 Counties)
- 3-4 Sites (14 Counties)
- 5-6 Sites (2 Counties)
*83 Total Counties Served*
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The annual meeting of the Southern Section of the American Society of Animal Science was held on Monday, February 3, 2003 at 5:00 p.m., with Dr. Debra K. Aaron, President presiding.
The following items of business were transacted:
1. **Call to Order.** President Debra Aaron called the 2003 Southern Section ASAS Business meeting to order. President Aaron welcomed the members and guests and announced that copies of the agenda, minutes of the 2002 Business meeting, and financial statement were available for each attendee.
2. **Welcome to the State of Alabama.** Dr. Lowell Frobish, Chair of the Department of Animal Science at Auburn University, welcomed the Southern Section ASAS to Alabama on behalf of Auburn University. Dr. Frobish provided an overview of the Department of Animal Science at Auburn University. In particular he outlined some new developments in construction projects and a profile of the current student body.
3. **Introduction of Past Presidents.** President Aaron recognized Dr. Joe Fontenot and Dr. Gary Cromwell as past ASAS presidents and Drs. Joe Fontenot, Tom Troxel, Don Ely, Gary Cromwell, Don Franke, and Bob Wettemann as past presidents of the Southern Section ASAS.
4. **Past Presidents Report.** Dr. Tom Troxel announced the establishment of a Past Presidents Club. The objective of the Club will be to help support the purchase of plaques and other activities of the Southern Section. He indicated that there would be two types of membership: annual and lifetime ($500.00 one time donation). As of January 14, 2003, the amount raised by the Past Presidents Club of Southern Section ASAS was $4,200.00. The following Past Presidents contributed to the Life Time Membership: Drs. Clarence Ammerman, Joe Fontenot, Don Franke, Charles Long, William Luce, George Mitchell, Tom Troxel and Bob Wettemann. Those contributing toward annual membership were Drs. Connell Brown, Paul Harms, David Spruill and Phil Utley.
5. **Comments from ASAS President.** Dr. James W. Lauderdale brought greetings to the group from the Board of Directors of ASAS who met in Detroit, January 31, to February 2, 2003. He commented that changes and patterns of change are important to recognize in our academic departments and membership. The Society must meet the needs of four generations of members. The strategic plan of 1994 was revisited and several outcomes are expected to help direct the Society in the future. The society must have a broader scope to meet membership needs.
The Editor-in-Chief position and responsibilities will be changed. It has been recommended to the Board that Section Editors be assigned greater responsibilities with a new level of Associate Editors. This is an effort to reduce the publication time. A new ethics statement, which came from a committee chaired by Dr. Tom Troxel, will be voted on by the membership. Other items mentioned included improving the quality of the meeting presentations, a new process for publication of symposia papers and a revision in the process for submission of nominations for awards. Dr. Lauderdale also announced that Dr. Ellen Bergfeld, Executive Director of ASAS would be leaving her position at the conclusion of the annual meeting in June. She will become the Executive Vice-President of the Tri-Societies.
6. **Comments from ASAS Executive Director.** Dr. Ellen Bergfeld thanked the membership for their generous support in the past and also for the opportunities that serving as Executive Director provided her. She announced that publications would be moving to Highwire later in the spring. More information about Highwire is available on the ASAS website. The annual meeting ASAS will be a joint meeting with ADSA and the Mexican Association of Animal Production in Phoenix, AZ.
7. **Program Secretary’s Report.** Dr. Jerry Baker extended a thank you to the Program Chairs that contributed to the success of this year’s program. The program chairs were responsible for reviewing abstracts, correspondence with authors, and submitting to the Secretary the suggested program schedules. Attending this meeting were 130 regular members, 52 graduate students, and 20 undergraduate students. There were nine Quadrathlon teams competing with an additional 36 students. The total attending was 247, which is higher than previous years (193 – 2002, 197 – 2001, 162 – 2000, 189 – 1999, 183 – 1998, and 174 – 1997). There were 129 presentations at the meeting in 2003 compared to 156 in 2002. There were 10 presentations in the Graduate Student Competition and 6 presentations in the Undergraduate Research Competition section. There were three special symposiums with 12 invited presentations. The financial report of the Southern Section ASAS for 2002 was presented. The report indicated that cash on hand as of December 31, 2002 was $8,447,38; which is an increase over 2001. The increase in revenue can be partially accounted for by contributions to the new Past Presidents Club. President Aaron accepted a motion from Dr. Joe Fontenot and a second by Dr. Jim Neal to accept the minutes from the 2002 annual business meeting. Motion was passed by voice vote. President Aaron next accepted a motion by Dr. Sam Coleman and a second by Dr. Joe Fontenot to accept the financial report as distributed. The motion passed with a voice vote.
8. **Academic Quadrathlon Report.** Dr. Dale Coleman presented the results of the 2003 Academic Quadrathlon competition. There were nine teams competing and it was one of the closest contests in recent history. Every team won, or tied for 1st in at least one lab practical station. Seven of the 9 teams placed in the top three in at least one of the four events. The final championship quiz bowl round made the
difference in how three different teams placed overall. The overall winner for 2003 was Texas A&M University, second place went to University of Florida, and third place was Oklahoma State University.
9. **Extension Report.** Dr. Clyde Lane reported that the number of presentations increased this year from previous years. There were 21 presentations in two sessions. The Extension Luncheon will be in the Jubilee Room on Tuesday, January 4, 2003.
10. **Necrology Report.** Dr. Hayden Brown reported that the following individuals had passed away since the last meeting: Robert Cannon, Auburn University; George Hawkins, Auburn University; Bill Kunkle, University of Florida; Julie Morrow, USDA-ARS; Thomas Marlowe, Virginia; Bob Noble, Oklahoma State University; Troy Patterson, Auburn University; George Robertson, Louisiana State University; Peter Reeds, Children’s Nutrition Center, Houston; and Ray Shirley, University of Florida. A moment of silence was observed in memory of these members.
11. **Resolutions Committee Report.** Dr. Jim Neal presented five resolutions for consideration. Resolution 1: Recognition of Auburn University as Academic Quadrathlon host; 2: Recognition of Adam’s Mark Hotel as host hotel for gracious and hospitable accommodations; and 3: Recognition of sponsors for luncheon and awards were passed. Resolution 4 was a commendation to the officers of the Southern Section ASAS for leadership and service was approved with applause. Resolution 5 was for the recognition of outgoing Executive Director Ellen Bergfeld for service to ASAS and the Southern Section of ASAS. Approval was shown by an extended applause and standing ovation for Dr. Bergfeld.
12. **Nomination Committee and Election Report.** Dr. Terry Kiser announced the results of the election. Dr. Ron Randel was elected Secretary-Treasurer, and Dr. Dale Coleman was elected Secretary-Treasurer elect. The officers for 2003-2004 are: Dr. Ken Esbenshade – President; Dr. Jerry Baker – President Elect; Dr. Ron Randel – Secretary-Treasurer; Dr. Dale Coleman – Secretary-Treasurer elect; and Dr. Debra Aaron – Past President.
13. **New Business.** No new business was presented.
14. **Installation of New President.** Dr. Ken Esbenshade was installed as the new President of Southern Section of American Society of Animal Science for 2003-2004.
Dr. Esbenshade announced the dates for the 2004 meeting in Tulsa and then closed the Business Meeting and opened the Southern Section ASAS Awards Program. He requested that we recognize the sponsors for the awards.
1. **Undergraduate Student Paper Competition.** Dr. Charles Rosenkrans thanked the committee for their help and presented the results of the competition as follows: 1st place Marc A. Seitz, Mississippi State University; 2nd place Leslie Dabovich, Texas Tech University; and 3rd place Cynthia Davila, Texas A&M University at Kingsville. The awards were sponsored by Degussa-Hulls Corp.
2. **Graduate Student Paper Competition.** Dr. Scott Whisnant, Chair of the Graduate Student Awards Competition Committee, presented the following awards: 1st place Carolina Realini, The University of Georgia; 2nd place Tom Bonner, Auburn University; and 3rd place Brian Whitaker, Virginia Polytechnic Institute and State University. The award was sponsored by Kemin Industries, Inc.
3. **Extension Award.** Dr. Matt Poore presented the Extension Award to Dr. Darrr Bullock, University of Kentucky. This award was sponsored by Boehringer Ingelheim Vetmedica, Inc.
4. **Young Animal Scientist Award Education.** Dr. Debra Aaron presented the award to Dr. Sam Jackson, Texas Tech University. The sponsor for this award is Elanco Animal Health.
5. **Young Animal Scientist Award Research.** Dr. Bob Wettemann presented the Young Animal Scientist Award in Research to Dr. Tom Spencer, Texas A&M University. Elanco Animal Health sponsors the award.
6. **National Pork Board Award for Innovation.** Dr. Ken Esbenshade presented the award on behalf of Dr. David Meisinger of the National Pork Board to Theo van Kempen, North Carolina State University, for abstract entitled “RE-Cycle: recipe for waste-free swine production”. The National Pork Board sponsors the award.
7. **Distinguished Service Award to Southern Section ASAS.** Dr. Gary Cromwell presented the Distinguished Service to Southern Section ASAS Award to Dr. Don Franke, Louisiana State University.
President Ken Esbenshade recognized Dr. Debra Aaron as the outgoing President of the Southern Section ASAS. He thanked Dr. Aaron for her hard work and dedication during her tenure as an officer for the Southern Section.
President Esbenshade thanked everyone for attending and adjourned the awards program.
Respectively Submitted,
Jerome F. Baker
Secretary-Treasurer
Southern Section ASAS
As you are aware, Jerry Baker has accepted the position of Executive Director for the American Society of Animal Science. As a result of Jerry's promotion, we must make some decisions in the Southern Section since Jerry can not serve on the Executive Committee for the Southern Section while also serving as the Executive Director for the Society. Jerry will perform the duties as Vice-President of the Southern Section at the upcoming meeting in Tulsa, but he will have to be replaced on the Executive Committee for next year.
The current Executive Committee has been discussing this situation via email for the last month or so. After considering various options, the option that we feel is best for the Southern Section is to leave the Past-President and President in their current offices for one more year and allow the normal rotation of the individuals in the other offices. In other words, the Executive Committee for the 2005 meeting would be Debra Aaron as Past-President, me as President, Ron Randel as Vice-President, Dale Coleman as Secretary, and the newly elected Secretary-Elect as the Secretary-Elect. Other options that we considered involved individuals skipping offices in the Southern Section and on the Executive Committee. However, we think it would be more appropriate for elected individuals to continue to have the opportunity to serve in each of the offices in the Section.
The other matter that needs to be addressed is the appointed position on the ASAS Board of Directors from the Southern Section. Jerry will attend the winter Board meeting in the capacity of representing the Southern Section, but the Southern Section will need to have someone else in this position by the summer meeting. By virtue of our Constitution, that responsibility is in the position that Jerry currently occupies. The representative board position should move to the president position next year, before returning to the Secretary-Elect position the following year. In our discussions, I have indicated that I could serve as President for another year, but I did not want to serve on the ASAS Board of Directors. Ron Randel has graciously volunteered to serve out the remaining term on the ASAS Board of Directors. The three-year term would then move to the individual elected as Secretary-Elect in Fall 2004 for service on the Board beginning in Summer 2005.
We have also discussed how to bring this matter before the members of the Southern Section at the upcoming meeting in Tulsa. The Executive Committee does not feel that it is appropriate for us to make these recommendations. The suggestion has come forward that we ask the Chair, or a member, of the Advisory Committee to present this information during the New Business part of the business meeting and make a motion to approve the changes outlined above. We hope this is agreeable to the members of the Advisory Committee.
I am very interested in obtaining feedback from you on these issues. Feel free to make comments to me or to Paul Humes, the Chair of the Advisory Committee, although I have not discussed this matter with him previously.
Thank you for your interest and input.
Best regards,
Ken
---
Kenneth L. Esbenshade
Associate Dean and Director of Academic Programs
College of Agriculture & Life Sciences
Box 7642
North Carolina State University
Raleigh, NC 27695-7642
Phone: 919.515.2614
RESOLUTIONS
Report from Resolutions Committee
Lee Edgerton (KY, Chair), Paul Harms (TX), and James Neel (TN)
February 3, 2003
Resolution No. 1. Recognition of Academic Quadrathlon Host
WHEREAS, the 2003 Southern Regional Academic Quadrathlon was hosted by the Auburn University in a most professional and supportive manner, and WHEREAS, the Auburn faculty, staff and students contributed greatly to the success and enjoyment of the event: BE IT RESOLVED that the appropriate officers of the Southern Section of the American Society of Animal Science formally express the heartfelt appreciation of the members and the participating teams to the host institution’s administration, faculty, staff and students.
Resolution No. 2. Recognition of Hosts
WHEREAS, the 2003 Annual Meeting of the Southern Section of the American Society of Animal Science was held in Mobile, AL and WHEREAS, the Mobile Convention Center and Adam’s Mark Hotel provided convenient facilities in a gracious and hospitable manner: BE IT RESOLVED that the appropriate officers of the Southern Section of the American Society of Animal Science extend, on behalf of the Southern Section Membership, formal expression of our appreciation.
Resolution No. 3. Recognition of Sponsors
WHEREAS, the 2003 Annual Meeting of the Southern Section of the American Society of Animal Science was enhanced by collegial interactions at the extension luncheon and WHEREAS, the support of the Archer Daniels Midland Company facilitated attendance and participation by many extension personnel: BE IT RESOLVED that the appropriate officers of the Southern Section of the American Society of Animal Science extend to Archer Daniels Midland Company, formal expression of our appreciation.
Madam Chair — These three resolutions require action by the membership and the Resolutions Committee recommends their adoption and makes this in a form of a motion.
**Resolution No. 4. Commendation to Officers**
WHEREAS, the officers of the Southern Section of the American Society of Animal Science have worked to ensure the continued success of the Southern Section of the Society through their leadership and positive attitudes: BE IT RESOLVED that the membership of the Southern Section of the Society extend sincere thanks to these colleagues and leaders and express our appreciation by a resounding round of applause.
**Resolution No. 5. Recognition of Outgoing Executive Director of the American Society of Animal Science**
WHEREAS, Ellen Bergfeld has effectively served as executive director of the American Society of Animal Science for the past five years and has worked tirelessly to ensure its continued success and improvement, and WHEREAS she has been a strong supporter of the Southern Section of the American Society of Animal Science, and WHEREAS she has been a true friend and valued colleague of all members of the society: BE IT RESOLVED that the appropriate officers of the Southern Section of the American Society of Animal Science extend, on behalf of the Southern Section, formal expression of our appreciation and that we recognize her contributions by a standing ovation.
The Southern Section ASAS Nomination Committee was composed of Terry Kiser, chair and members Don Ely, Will Getz, and Paul Harms. Because of the untimely passing of Dr. William “Bill” Kunkle on February 21, 2002, the offices of Secretary Treasurer and Secretary Treasurer – Elect were open for nominations.
The nominees for Secretary Treasurer were Dr. Paul Humes and Dr. Ron Randel. The nominees for Secretary Treasurer – Elect were Dr. Dale Coleman and Dr. Joe Pascal. Elected to the offices of Secretary Treasurer and Secretary Treasurer – Elect, respectively, were Dr. Ron Randel and Dr. Dale Coleman.
The slate of officers for 2003 for the Southern Section ASAS is:
President Ken Esbenshade
Past President Debra Aaron
President – Elect Jerry Baker
Secretary Treasurer Ron Randel
Secretary Treasurer – Elect Dale Coleman
Respectfully Submitted,
Terry E. Kiser
Chair, Nomination Committee
Awards Presentation Program
Kenneth L. Esbenshade, Presiding
Undergraduate Research Abstract Competition
Sponsor: Degussa-Hulls Corporation
Charles Rosenkrans
Graduate Student Awards Competition
Sponsor: Kemin Industries, Inc.
Scott Whisnant
Extension Award
Sponsor: Boehringer Ingelheim Vetmedica, Inc.
Matt Poore
Young Animal Scientist Award – Education
Debra Aaron
Young Animal Scientist Award – Research
Sponsor: Elanco Animal Health
Bob Witham
Kevin Pond
National Pork Board Award for Innovation
Sponsor: National Pork Board
Ken Esbenshade
Distinguished Service Award
Gary Cromwell
Recognition of Outgoing President
Ken Esbenshade
Adjournment
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िमांक
आयु
िीमा
28
वर्स
ICMR द्िारा वित्त पोवित पररयोजना म अस्थायी पि क े सलए पात्र उम्मीििारों िे आिेिन आमंत्रत्रत क्रकए जाते ह
्
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े
्र
्र
ैं
पल्मोनरी, क्रिटिकल केयर एंड स्लीप मेडडसिन विभाग अखिल भारतीय आयुवििज्ञान िंस्थान, नई टिल्ली
*आयु में छूि- अनुिूचित जातत/अनुिूचित जनजातत के सलए 5 ििि और ओबीिी के सलए 3 ििि (मूल जातत प्रमाण पत्र होना िाटहए) *केिल लघु िूिीबद्ध उम्मीििारों को िाक्षात्कार के सलए बुलाया जाएगा
जमा करन की अ तत म ततचथ 17 जू न , 2022 है
ं
्
े
क पया अपना िीि ी पल मोनरीप ोज क ि 2021@ gmail.com पोस्ि नाम और पररयोजना शीििक के िाथ
Department of Pulmonary, Critical Care and Sleep Medicine All India Institute of Medical Sciences, New Delhi
Applications are invited from eligible candidates fr the temporary post in an ICMR funded project
| Post Name | No of Post | Desired Qualification | Duration | Salary |
|---|---|---|---|---|
| Data Entry Operator | 1 | Intermediate or 12th pass from recognized board with any computer course/diploma from a recognized institute. A speed test of not less than 15000 key depressions per hour through speed test on computer. 2 years’ experience in data management work | 1 year (extendable) | Rs. 18,000/- |
Age
S no limit
28 years
*Age relaxation- 5 years for SC/ST and 3 years for OBC (must carry original caste certificate)
*Only shortlisted candidates will be called for interview
Last date of submission is 17 th June, 2022
Please mail your CV to [email protected] with post name and project title
|
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Martini Club by Michael Godard
Fine Art Print - Main Subject: Food & Drink
Item Number
9472987271
Retail Value $90
ArtRev.com Price
$40
You Save 56% Off [-$50.00]
Dimensions (As Shown)
28W x 17.5H Inches 71.12W x 44.45H cm
Medium
Fine Art Print
Frame Your Artwork Online & Save!
Did you know that you can custom frame this artwork to your exact taste and specifications. Spark your own creativity and frame your artwork in as little as 2 minutes in three easy steps! Our Online frame shop offers museum quality framing services at prices up to 50% off your local gallery or frame shop. See art collection .
About Michael Godard
Michael Godard, also known as the Naughty Artist for his highly sought after paintings of life's vices, exploded into the art world, bringing his original subjects to both the long time connoisseur and a new generation of collectors.
Godard is widely recognized as one of the most versatile albeit controversial artists of our time. He was commissioned by the Double Platinum Rock Band Dishwalla to create the cover of their third album Opaline and their self titled album for 2005. Godard's work can be found in numerous art galleries, homes and businesses throughout the World.
Although the themes vary, Godard's Art changes the face of even the most traditional subjects, creating mood and mystery on canvas, that at times are painted so realistically you feel as though the subjects will reach out and touch you. Godard finds a unique way of unfolding this delicate balance of texture, color, technique, realism, humor, and imagination to evoke drama and emotion.
No matter what the subject from olives jumping into martinis to grapes chasing corks, the public agrees Michael Godard's paintings are incredible!
Oh My God...ard! These are usually the first words out of peoples' mouths when they view Michael Godard's artwork. Godard, known as the "Rock Star of the Art World". Since childhood Godard has had paint flowing thru his veins. He attended the University of Nevada in Las Vegas for Fine Arts and later attended The Art Center College of Design in Pasadena, California.
Godard has been featured on Television in HBO's Cat House, A&E's Criss Angel's Mind Freak, American Casino, Inked, and a myriad of other media. A documentary on Godard's life featured at independent film festivals winning numerous awards. His Book, "Don't Drink and Draw", the art and life of Michael Godard, was awarded Art Book of the Year.
Godard's work is highly collected by movie stars, rock stars, private collectors, from young to old from all walks of life. Godard's imaginative world of art is seen by millions of people each month world wide such as cruise lines, galleries, hotels, television, magazines and countless merchandising kiosks and stores. His paintings even adorn the walls of the officer's lounge in the Pentagon.
Godard's world of art invites us in to his lighthearted perspective of life that surrounds us, mirroring our lives through martinis with animated olives, drunken grapes, dancing strawberries, including his own vices of gambling and the good life. Godard's unique portrayal of fun is an exciting combination of imagination and often subtle humor which evoke and engage the creative side in "Olive" us. Paintings depicting drunken grapes, gangster olives, dancing strawberries, and flaming dice have taken the conservative art world and turned it on its heel redefining art as we know it with a new definition and of course a punch line. Today Michael Godard is considered one of the most prolific and influential artists of our time.
Fine Art Print
Fine art prints are printed using sophisticated printing techniques such as lithography, serigraphy, or giclee prints. They are printed on thick archival quality paper or canvas with inks that last for decades. Besides the exquisite quality of a fine art print, limited edition prints are valuable and may appreciate in value depending on certain factors.
Copyright Notice: This document was generated on ArtRev.com on 1/18/2017 3:12:29 PM (U.S. Eastern Time Zone) - Copyright 2017 ArtRev.com, Inc. All Rights Reserved. The entire contents of this brochure is the property of ArtRev.com. You may not modify, copy, reproduce, republish, or distribute any portion of this brochure without the prior express written consent of ArtRev.com, Inc.
Authenticity & Price Match Guarantee: Shop with confidence. ArtRev.com is proud to be the first online art retailer to offer a " lifetime authenticity guarantee " with every limited edition or original work of art. Most limited edition and original artworks ship with a Certificate of Authenticity free of charge. This certificate is an official and valuable document that most insurance companies require in order to insure artworks against damage or theft. ArtRev.com will make every possible attempt to match or beat the advertised price of any major Internet competitor, art gallery, or frame shop; given that they are authorized to sell the item from the publisher or artist, and have the exact item in stock available for immediate sale.
Pricing & Availability: Due to the dynamic nature of the ArtRev.com website, prices and availability are subject to change without notice. ArtRev.com is not responsible for any pricing errors.
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Barista Chair
Product Summary
Solid timber chair with timber cross back, rattan woven seat.
Material: Solid Wood
Suitability: Internal
Weight: 4kg
Warranty: 1 year
Dimensions
88cm 46cm 49cm 52cm Colour Walnut
[ Export product details as PDF file has been powered by
WooCommerce PDF & Print plugin. ]
| Page 1/1 |
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RESOLUTION NO. 006-2017
Olmsted Township Road Project #16-1 - Acceptance of Bid
Cuyahoga County, Ohio
Be it Resolved by the Township Trustees of Olmsted Township, that
WHEREAS, Cuyahoga County Department of Public Works acted as the facilitator for the bidding process and will be managing the 2016 Olmsted Township Capital Roadway Improvement Project as well,
WHEREAS, Bids were received for the township roadway project, on October 25, 2016 in a public meeting at 26900 Cook Road.
WHEREAS, the bid submitted by Fabrizi Trucking and Paving Co., Inc. of Valley City, Ohio for $438,496.00 has been reviewed by the Cuyahoga County Prosecutor’s Office and found to be in conformance with the specified bid requirements.
NOW, THEREFORE, BE IT RESOLVED, by the Board of Trustees of Olmsted Township, State of Ohio, awards the aforementioned contract to Fabrizi Trucking and Paving Co., Inc. of Valley City, Ohio for $438,496.00 as recommended by the County Prosecutor’s Office.
BE IT FURTHER RESOLVED; It is found and determined that all formal actions of this Board concerning and relating to the passage of this Resolution were taken in an open meeting of this Board, and that all deliberations of this Board and of any of its committees that resulted in such formal actions were in meetings open to the public in compliance with all legal requirements including, without limitation, Section 121.22 of the Revised Code.
Adopted the 11th day of January, 2017
Attest: Brian V. Smith
Township Fiscal Officer
Tiffany Firebaugh
Deanna M. Yarbrough
Asst. J. J.
Township Trustees
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PRESS INFORMATION BUREAU
***
GOVERNMENT OF INDIA
Release of interim relief to Tamil Nadu from State Disaster Response Fund (SDRF) for 2018-19
New Delhi, December 1, 2018
Tamil Nadu faced a severe cyclonic storm "GAJA" during late night on 15 th and early hours on 16 th November, 2018 and its 12 districts were severely affected.
Based on an interim memorandum submitted by Government of Tamil Nadu for additional assistance, Government of India constituted an Inter-Ministerial Central Team (IMCT) immediately on 20 th November, 2018. IMCT have visited cyclonic storm 'GAJA' affected areas in the State from 23 rd to 27 th November 2018.
The Union Home Minister has approved to release 2
nd installment of Central Share of
State Disaster Response Fund (SDRF) amounting to Rs. 353.70 crore, for the year 2018-19, as an interim relief on 30
th
November, 2018 to help the State in providing relief measures to the affected people. Further, assistance will be provided from the National Disaster Response Fund
(NDRF), based on the final report of IMCT.
In the instant case, the Central Government has provided full support to the Government of Tamil Nadu by mobilizing timely logistics resources to supplement the efforts of the State
Government to deal with the situation effectively in the wake of Cyclone 'GAJA'. The logistics support provided includes adequate teams of National Disaster Response Force (NDRF), Indian
Air Force and Coast Guard helicopters and Navy & Coast Guard personnel along with necessary rescue equipments.
*****
'5'
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Inputs
What resources did we use?
Examples:
* Space
* Money
* Collections
* Staff time
* Community partners
* Staff expertise
Inputs
Tea bags Water Ice Pitcher Glasses
Inputs, Outputs, and Outcomes for Evaluation in Public Libraries
Outputs
What did we provide?
How many people did we serve?
Examples:
* Service provided
* Programs delivered
* Number of people served or in attendance
Example:
Serving iced tea to friends
Outputs
1 pitcher of tea prepared 5 friends drank iced tea
Outcomes
What difference did it make?
What change took place?
Examples—changes in:
* Attitude
* Knowledge
* Skill
* Behavior
* Condition
Outcomes Thirst quenched
Basic 4-Step Evaluation Process
Step 1
Identify the program or service you want to evaluate and the definition(s) of success associated with it.
What program or service do you want to evaluate?
How do you define "success" for this program or service?
Basic 4-Step Evaluation Process
Step 2
Focus the evaluation by posing specific questions that reflect the key definition(s) of success.
Draft evaluation questions that reflect your first definition of success.
Draft evaluation questions that reflect your second definition of success.
Basic 4-Step Evaluation Process
Step 3
Select data collection methods that can best provide information to answer each question.
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This unit is a 605A/805A. Please note the different bracket on these units to make sure you are ordering the correct unit.
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Wednesday 17th March 2021
Learning Objective
To use evidence and a key to identify invertebrates.
Success Criteria
- To use a key to name the invertebrates I have found.
- To identify invertebrates by looking at their characteristics.
- To explain how I have used evidence to do this.
When you find an invertebrate, use the classification key to find out what it is. Tick it off and draw a sketch of it in the box.
| millipede | centipede | earwig | beetle | ant |
|-----------|-----------|--------|--------|-----|
| | | | | |
| caterpillar | spider | harvestman | slug | snail |
| | | | | |
| worm | larvae | woodlouse | | |
Self Assessment
Invertebrates Classification
antenna
head
thorax
abdomen
forewing
hindwing
segments
many legs
prolegs
8 legs
proboscis
6 legs
mandible
Invertebrates Classification Key
Does it have legs?
- yes
- How many legs does it have?
- 8 legs
- Does it have a 2 part body?
- yes
- spider
- no
- harvestman
- 6 legs
- Does it have wing cases?
- yes
- earwig
- no
- beetle
- many legs
- Does it have an oval body?
- yes
- woodlouse
- no
- Does it have very short legs?
- yes
- millipede
- no
- centipede
- 6 legs
- Does it have pincers on its tail?
- yes
- earwig
- no
- ant
- no
- Does it have a segmented body?
- yes
- Does it have long, thin body?
- yes
- earthworm
- no
- Does it have a shell?
- yes
- snail
- no
- slug
- no
- larvae
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Your online store for American, Canadian and European train models
Aus 1. Hand: Die top-aktuellen Neuheiten aus den USA !
From your source #1: The latest news from the USA !
posted 08.04.2022
50123
N
62´
Burlington green/white
May.
Flatcar Northern [02-54]
#636050
2022
35,95 € » shop«
Flatcar Pacific
[03-78]
2022
50159
N
62´
Western brown/white
May.
Flatcar Maryland [06-59]
#7030
2022
35,95 € » shop«
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Zum Abbestellen unserer Mailings besuchen Sie bitte diesen Link.
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1: My Coin Guides â€" United States Coin Collecting Guides
Coin collectors have many different avenues for embarking on the hobby, including building a collection from the coins they find in their pocket change or at the bank, buying coins from coin dealers and at auctions, and searching for coins through metal detecting and other forms of treasure hunting.
Links Coin Collecting Guide For Beginners Coin Collecting Guide For Beginners is dedicated to helping the beginner learn all about the fun, fascinating and rewarding hobby of collecting coins. If you are looking for information about collecting coins, you have come to the right place. Most people think that collecting coins is only for the rich, but believe me, you will find collectors from all genders, nationalities, ages and income groups.. Yes, it is true that Collecting Coins is known as the "Hobby of Kings"!. There have been many rich and famous coin collectors throughout history, including kings and several United States Presidents. But for every rich and famous person in this world who collects coins there are many more everyday folks just like you and me who are also collectors. Let us be your Coin Collecting Guide as you begin your historical journey through the world of beautiful and interesting coins. All it takes is the willingness to learn new things. I got started collecting coins like lots of folks, I imagine. Almost everyone has a "special" coin that they hold on to for some reason or another. Maybe it is an old Buffalo Nickel or a silver dollar that your grandparents gave you. These "keepsakes" can be a great start on your coin collection. You see, there is no right or wrong way to collect coins. You can collect whatever coins you like or find interesting! It simply means that you should learn all you can about a coin that you are interested in before you jump in and spend your hard-earned money. Even though most people intend to keep their coins for years, it is still nice to see an increase in your investment. To give you the information you need to know to make your new hobby fun and "stress free". Getting Started The best way to get started is by going to the section called Starting a Coin Collection. You can reach it by this link or by clicking on Getting Started in the menu to your left. In this step-by-step tutorial you will learn how to start your own coin collection. You will also find information about:
2: Coin Collecting for Beginners (Guide) - Silver Coins
Coin Collecting Guide For Beginners is dedicated to helping the beginner learn all about the fun, fascinating and rewarding hobby of collecting coins.. If you are looking for information about collecting coins, you have come to the right place.
Grant Benjamin Franklin was famous as a scientist, an inventor, a statesman, a printer, a philosopher, a musician, and an economist. Although he was born in Boston, the city of Philadelphia is remembered as the home of Ben Franklin. Legal Tender Notes are intended for "all debts public and private. Unlike earlier demand notes, they are not redeemable in gold or silver of equivalent face value. Currency and coin put into circulation to meet seasonal demand is eventually returned to the institutions by merchants and other business owners. So to reduce the excess currency and coin held in their vaults, banks typically return cash to the Reserve Bank, where it is credited to their accounts. The process is reversed when the institutions need to replenish or increase their supply of currency and coin. Demonstrate to your counselor that you know how to use two U. Read a numismatic magazine or newspaper and tell your counselor about what you learned. Books are resources in the areas of interest. All have pricing information and illustrations to assist in proper identification. They are different, they are available at libraries or news stands. Describe the 50 state quarter program. Collect and show your counselor five different state quarters you have acquired from circulation. A scout who has a foundation in mints, how they are made, grading, preservation and information, gets to show the coins he has collected! The 50 state quarter program seems to have been popular with the general non-collecting public, and it has made folks look at their coins again. Collecting five different and knowing about the program is easy. Collect from circulation a set of currently circulating U. Collect a circulating type set; simple for the Cent thru Quarter, a bit more difficult for the Half and Dollar it may require a visit to the bank. This requirement makes the scout look at the design elements, and use information learned in Requirement 1 about the Mints and mintmarks. You may need some magnification to clearly see them. The Roosevelt Dime was designed by John R. Gilroy Roberts, former Chief Engraver of the U. Mint designed the head of Kennedy on the Half Dollar. His initials are located at the base of the neck. The beautiful reverse with the presidential coat of arms was designed by Frank Gasparro. Do one of the following: Collect and identify 50 foreign coins from at least 10 different countries. Collect and identify 20 bank notes from at least 5 different countries. Collect and identify 15 different tokens or medals. Collect a date set of a single type since the year of your birth. This requirement gives a scout exposure to other areas of the hobby; world coins and paper money are often brought back from trips by relatives. Tokens and medals are often encountered by a scout at arcades, or with school awards. The date set gives a scout the opportunity to explore circulating change, and gives exposure to a popular way of collecting, that of the series date set. They help you learn about history, geography, economics, etc. Buy or borrow a copy of the Standard Catalog of World Coins Krause Publications You can purchase world coins by the pound from some dealers. Keep an inventory of your collection. You might want to include: Country, location, denomination, date, material, purchase price, date of purchase, interesting facts, etc. There are lots of ways to collect including: Token are sometimes referred to as "Good Fors" because they may be "Good For" or exchangeable for a particular item like one glass of soda or service like one hair cut. Some can be traded for actual money, most cannot. Tokens can advertise a particular merchant or product and can be very interesting and fun to collect. A medal is a coin-like object that is struck for award, celebration or commemoration. Unlike a token or coin, they have no stated value. Medals can be beautiful, elaborate pieces of art and are highly collectible. They have an excellent journal. Any mint is acceptable. All coins must be of the same denomination. Mint facility, the Bureau of Engraving and Printing, or a Federal Reserve Bank and describe what you learned to your counselor. Mint or a coin dealer, and report on what you learned. Give a talk about coin collecting to your troop or class at school. Do drawings of five colonial-era U. This requirement allows those who travel visiting Philadelphia, Denver or Washington DC or live in larger metropolitan areas to take advantage of a special trip to the Mint or Fed banks. If one is not is a big city, then those familiar with the Web can visit many different sites of dealers or
museums. If a scout is comfortable speaking before a group, then the school talk option may be good. If a scout is not comfortable, then he can learn more about colonial coins by drawing some, and trust me, some of those drawings could be close but rough.
3: Coin Collecting Guide For Beginners
i agree with scott. as collectors we have state of the art grading equipment,books,internet info, and years of wasted nites going through s of mostly worthless coins. other than that i do have.
Coins featuring eagles A few common themes are often combined into a collection goal: Many enthusiasts focus their collection on only a single countryâ€"often their own. In contrast, some collectors attempt to obtain a sample from every country that has issued a coin. Rather than being satisfied with a single specimen of a type, a great many collectors collect type by year; for example, one Memorial Lincoln Cent for every year from the year it was first minted to the last year it was minted. This is perhaps one of the most practical ways to collect a national currency since probably the majority of coin reference books and coin albums catalogue in the same manner. Many collectors consider different mint marks significant enough to justify representation in their collection. When collecting coins by year, this multiplies the number of specimens needed to complete a collection. Some mint marks are more common than others. Because mints generally issue thousands or millions of any given coin, they use multiple sets of coin dies to produce the same coin. Occasionally these dies have slight differences. This was more common on older coins because the coin dies were hand carved. But differencesâ€"intentional or accidentalâ€"still exist on coins today. Generally this is in a very small detail, such as the number of leaves on the ear of corn on the recent US Wisconsin state quarter File: Often a collection consists of an examples of major design variants for a period of time in one country or region. For example, United States coinage type set , Euro coins carry a "common side" that shows the denomination and a "national side" that varies in design from state to state within the Eurozone. Likewise, a type collection might focus on an unusual design feature such as coins with a hole in the middle, coins that are not circular in shape or coins with brockage. For some, the metallurgical composition of the coin itself is of interest. For example, a collector might collect only bimetallic coins. Precious metals like gold, silver, copper and platinum are of frequent interest to collectors, but enthusiasts also pursue historically significant pieces like the steel cent or the aluminum cent. Government considers private ownership of the aluminum cent illegal. Collectors with an interest in a certain theme or subject such as, ships or eagles may collect only coins depicting that interest. Collectors may restrict themselves to coins of the 18th or 19th century, while others collect ancient and medieval coins. Coins of Roman , Byzantine , Greek origin are amongst the more popular ancient coins collected. Collectors may also take interest in money issued during the administration of a historically significant bureaucrat such as a central bank governor, treasurer or finance secretary. A currency collection might be modeled around the theme of a specific printed value, for example, the number 1. This collection might include specimens of the US 1 dollar coin , the Canadian Loonie , the Euro , 1 Indian rupee and 1 Singapore dollar. Collectors may have an interest in acquiring large volumes of a particular coins e. These usually are not high-value coins, but the interest is in collecting a large volume of them either for the sake of the challenge, as a store of value, or in the hope that the intrinsic metal value will increase. With the head of Benito Mussolini on the obverse, this is an obvious copy. Some collectors enjoy acquiring copies of coins, sometimes to complement the authentic coins in their collections. Some individuals enjoy collecting coins from various nations which were once united by one dominant Geo-political force or movement. Examples include communist states such as the PRC China and the Soviet Union and satellite or constituent nations which shared similar iconography. Such collections can be broken down into geographical regions, such as British territories in Europe, from Africa, from Asia, the Americas, or from the Pacific, and even the smaller region of Oceania. Collectors of coins from empires have a wide time-span to choose from as there have been various forms of empire for thousands of years, with different regions changing hands between them. Some collections consist of coins which could fit into the other categories, and on coin grading may be graded poorly due to not conforming to their systems. These collections are made up of coins which are pleasing to the owner and to others not due to perfect condition, but rather due to the uniqueness of the coin based on several factors. These can include patinas which form from being exposed to acidic or basic environments such as soil, when coins are excavated , and warping or wearing which come from use in circulation. Very
interesting patinas and patterns can form on coins which have been naturally expose to environments which can affect the contents of the coin. Examples include naturally blackened Victorian pennies, which have only the most raised surface showing the underlying copper, meaning that the head is clearly presented. One of the issues with this category is that the coins can be seen to have less perceived value to speculators and appraisers. Secondly the coins may be produced artificially, that is coins can be exposed to substances which can create effects similar to those sought for aesthetic collections. This means that coins which may be worth more to historians, numismatists and collectors for their purposes will be destroyed by the process. Grade and value[ edit ] In coin collecting, the condition of a coin its grade is paramount to its value; a high-quality example is often worth many times more than a poor example. Collectors have created systems to describe the overall condition of coins. In the early days of coin collectingâ€"before the development of a large international coin marketâ€"extremely precise grades were not needed. Coins were described using only three adjectives: By the mid 20th century, with the growing market for rare coins, the American Numismatic Association helps identify most coins in North America. It uses a 1â€"70 numbering scale, where 70 represents a perfect specimen and 1 represents a barely identifiable coin. Descriptions and numeric grades for coins from highest to lowest is as follows: Mint State MS 60â€" These are specimens struck from polished dies and are often packaged and sold by mints. This is frequently done for Commemorative coins , though annual proof sets of circulating coinage may be issued as well. Unless mishandled, they will stay in Mint State. Collectors often desire both the proof and regular "business strike" issues of a coin, though the difference in price between the two may be significant. Additionally, proof coins follow the same grading scale as business strike coins, though they use the PR or PF prefix. Coin experts in Europe and elsewhere often shun the numerical system, preferring to rate specimens on a purely descriptive, or adjectival , scale. Nevertheless, most grading systems use similar terminology and values and remain mutually intelligible.
4: Coin Collecting Merit Badge Requirements | American Numismatic Association
Collecting Coins Discover everything you wanted to know about coins including values, prices, collecting and much more.
Older US coins differ. Portrait â€" Probably the defining item of the coin is the portrait on the Obverse side. Relief â€" This refers to any part of a coin that is raised and not the field. Rim â€" The outer edge that is slightly raised making coins easier to stack and serves as protection for the face of the coin. Tools of the Trade As you get more and more serious about coin collecting, you will eventually want to invest in some coin collecting supplies and tools to assemble your collection. While not an exhaustive list, the items below will serve you well in becoming a more efficient and thorough coin collector: These are essential for identifying the value of a coin, detecting flaws, faults, checking for error coins, as well as spotting counterfeits. Most collectors prefer between 10x â€" 20x magnification. I highly suggest you buy a pair of soft cotton gloves to use when holding a coin. Also, always hold the coin around the edges and not on the face, especially if you are not using gloves. The dirt and oil from the skin can be destructive to the coin. Apart from that book, most of the information you will need can easily be found online. Even the Red Book is outdated once it goes to press, and sites such as PCGS will have all the pricing needs you are looking. For storage you can use albums, folders, display boxes, coin binders, coin flips, coin tubes, as well as coin slabs. Below are some sample coins on a variety of grades for the Washington quarter. Images courtesy of ha. Below that is a table that shows the grading scale, abbreviations, and description of each state. Sheldon Coin Grading Scale At the heart of finding quality coins and getting a good deal is understanding how to grade coins. Half science half art, the skill of grading coins can be learned with time and use. The only way to get better at this is to practice, practice, practice. Take your loupe and magnifier and go and visit coin shows and shops to see examples of how different coins are graded. When trying to determine the value of a coin try to see multiple coins in the same grade and rarity you are after. Especially before you make a big purchase you will want to see many different grades of that same coin to ensure you are getting what you paid for. Rarity Scale Following in the footsteps of the coin grading scale, there is also a Universal Rarity Scale that was developed in by Q. David Bowers , a famous numismatist. This was to better assess the rarity of a coin quickly and accurately. Strikes are usually placed in several categories such as weak, average, above average, and full strike. A full strike is the highest and sharpest strike. It is a combination of sheen, contrast, brilliance, and cartwheel, or the rotating windmill effect on the surface. This can include any and all marks, hairlines, bagmarks, general mishandling, and any other marks made during minting. Location and severity of the mark will determine how much it will impact the grade. For example, a deep scratch on the reverse side of the coin off to the side is not as severe than a deep scratch on the main portrait on the obverse. This is because one person may find the coin below very attractive and appealing while another may not like it at all. You will find tones are much more important and strong in copper and silver coins than in gold coins. While it may seem subjective, eye appeal to the experienced collector comes naturally with time and experience. They are amazing, positive, above average, neutral, below average, negative, and ugly. For some sample images of the above grades you can visit PCGS. Eye appeal can vastly differentiate the price on two coins with the same technical grade. For example, 2 Morgan silver dollars graded as XF can yield different sell prices based on the toning or colors that the coins display. Knowing this beyond the grade can be extremely useful in appraising a coin. This goes along well with the tip to specialize and focus to know the nuisances of that group of coins. Where to Buy or Find Coins for your Collection To find and buy coins for your collection there are many different places you can look. You can treasure hunt by going to local banks, convenient stores, or credit unions and asking for coin rolls. Another way you can treasure hunt is to go to your local flea markets and garage sales. At flea markets you can find anything and everything, possibly someone who came upon a coin collection and is looking to get rid of it. The same with garage sales, people looking to raise some money many times will offer their old coin collections they started long ago or was passed down from family to family. You can find garage sales in your area by using gsalr. Their mission and vision statement is to make the hobby safe for collectors and hobbyists.
To find a local PNG Dealer just use their online directory here. You can trust these guys, to be a member you have to have the following criteria met: Another great way to browse coins and collections is through coin shows. You can find most any and every type of coin at these events as well as sharpen your coin grading skills. Local coin shops are another avenue to find and browse coins to possibly add to your collection. Finally, in this day in age, buying coins online is commonplace. All About Coin Care Safe handling of your coins will guarantee the quality and value of your coin collection for many years to come. Taking the time to study, research, and invest in coins only to mishandle or damage them is not something you want to happen. Below are some simple coin care tips that you can follow to protect your coins from damage. Attempting to clean your coins will many times do more damage than good, especially if they are uncirculated. Cleaning coins even with just soap and a small cloth can cause micro abrasions and strip the coin of its tone and luster ultimately lowering the technical grade. The only exception to this rule is freshly dug up coins from the ground or through metal detecting. Handling Coins When handling coins, you should never touch the face of the coin and should hold the coin by its edges between the thumb and forefinger. Using cotton gloves or tongs can also help in minimizing the possibility of damaging your coin. Other Tips Other tips on proper care for you coin collection is to never talk over or spit on your coins. Holding a coin in front of you while talking can allow tiny parts of saliva to land on your coin unknowingly and cause small spots or blemishes that are hard to remove. Many a mint coin has been ruined in this way.
5: Coin collecting - Wikipedia
Coin collecting for beginners is simple, all you have to do is just collect the coins you receive from change, already in circulation. Also, if you read some of the coin facts above, you will know that over $10 billion in coins sit idle in houses across the US.
Year set Collecting A year set is a popular method of collecting coins from a specific year. This is especially popular when buying proof sets. Popular Types of Coins for Beginners There are also several types of coins that are the most popular to collect. Lincoln cents These are the coin most commonly encountered in circulation - including all date and mintmark combinations, there are hundreds of different Lincoln cents. As of this writing, the reverse of the Washington quarter is the canvas for new America the Beautiful designs honoring different national parks and landmarks from around the United States. Kennedy half dollars First made in , the Kennedy half dollar honors the 35th president of the United States, John F. Kennedy, who was assassinated in Though no longer struck for circulation, the Kennedy half dollar is legal tender and remains a popular collectible coin that is still minted for certain collector sets. Morgan silver dollars One of the most popular silver coins of all time, this large dollar coin features the head of Miss Liberty on the obverse and an eagle on the reverse. Morgan designed this coin, which was minted from through Gold coins The United States Mint has struck gold coins since Until , United States gold coins were produced for circulation and were used at face value. These days, gold coins are produced mainly as commemorative issues or bullion issues. Commemorative Coins A commemorative coin that is issued for a limited period of time and is designed to honor a specific person, place, or event. In the case of United States coinage, commemorative coins are considered legal tender. Commemorative coins may be made as proofs, specimen strikes, or business strikes circulation quality , and they are graded in the same manner as other coins. Error Coins An error coin contains some type of minting mistake and are usually much more valuable than ordinary coins due to their rarity. Such pieces are graded in the same fashion as non-error coins. There are many types of error coins. Just some of these include the following: Broadstrike coins are thinner and wider than normal coins and usually show a wider-than-ordinary margin around the design. These die breaks usually look like raised lines or blobs. A hub is a piece of equipment that imprints a design on the working dies. The percentage of design that may remain can range from 1 to 99 percent. Coins with only a tiny portion of their design are extremely rare, and off-center coins missing most of their design yet also still exhibit their date are highly desirable. If the die was used for more than one year, engravers carved the new date into the die, creating a type of error or variety known as an overdate. A popular example of a mule is a dated U. Indeed, mules are extremely rare and valuable! Wrong planchet errors are rare and valuable. Ways To Find Coins Building your coin collection is something that may take many years and is a process that is never really complete if you make coin collecting a lifelong pursuit. There are many avenues for finding the coins you want for your collection. Here are some of the most common methods for acquiring coins: Looking through your pocket change is a great way to find common, circulated coins. Bank rolls are obtainable for face value and are widely available, though rolls of half dollars and dollar coins may require a special order request. Metal Detecting Some collectors prefer looking for coins with a metal detector. Many valuable coin hoards have been found this way. Check out our complete guide to metal detecting here. For a collector who wants old, rare, and valuable coins, a coin dealer is a good source of collecting material that is not normally available in circulation. However, beware of counterfeit coins, as they commonly turn up in garage sales and flea markets. Some folks really do get lucky and score an authentic rare coin for a low price, but for the most part, rare coins that are dirt cheap are either counterfeit coins or genuine common coins that were altered to look like a particular rare coin. Collecting Coins for Money Vs. Enjoyment There are many people who collect coins for the sole purpose of making money. But is that all there is to collecting coins? What about all those TV ads that tell you the price of gold increased almost 1, percent between and ? History and art come to mind. Imagine the joy of finding all of the quarters necessary for completing the 50 States quarter set or finishing a complete set of Morgan dollars. Foreign coins expose you to a whole new world of art, history, and culture. What coins do you like? The
possibilities are virtually unlimited. What Makes A Coin Valuable? This is a complex question, and it comes with a multifaceted answer. There are several factors that go into determining what a coin is worth, including:
6: A Beginner’s Guide to Coin Collecting - FREE Read eBooks
Collectors Universe, its principals and representatives do not guarantee a profit or guarantee against a loss for any coin you buy or sell based on the information contained in this Price Guide or any Collectors Universe website.
7: Guide to Coin Collecting: StartLocal® - Australian Business Directory & Business Search Engine
Many coin collectors begin their coin collecting journey by collecting Lincoln pennies. Given its scarcity, the S VDB is the "Holy Grail" of Lincoln pennies. This is usually the last coin Lincoln penny collectors will add to their collection.
8: Coin Collecting - The Ultimate Beginners Guide to U.S Coin Collecting
Coin Price Guide for Beginners (View the U.S. Currency Pricing Guide). How much is my coin worth? Looking for a place to find coin values or current coin prices? This is our basic coin price guide for people who are unfamiliar with coins but want to find out about old coin values.
9: Official Red Book Online - Coin Price Guide | Coin Values
The NGC Coin Price Guide is a complete catalog of coin values for US and World coins from to date, compiled from a variety of numismatic sources.
Book that changed my life State, market, and social regulation Identifying theme worksheets for middle school Understanding and Paying Less Property Tax For Dummies Nasa: Visions of Space Review of the North American chrysomeline leaf beetles (Coleoptera: Chrysomelidae) The power of the subconscious mind book Guitar pro 5 manual español The speaking voice Inevitable probabilities : two fascinating mathematical results Read About Ancient Egyptians The Bond Street carolers by Mary Bologh Something like summer full book Pt. C. Enzyme structure CRC Handbook of Chemistry and Physics, 87th Edition (Crc Handbook of Chemistry and Physics) Teaching without stress Philosophy and politics in later Stuart Scotland Aqa physics revision guide Nogbad and the elephants Advances in Clinical Child Psychology (Volume 12 (Advances in Clinical Child Psychology) One Period or Three Parcels of Unknown Acreage How Do I Grow? (Now You Know Series) Understanding your needs Womens Gymnastics (Ep Sport) My favorite intermissions Oxford Food an Anthology Mental maths worksheets for grade 6 The role of the photograph in selected works of art Potomac chronicle Hormones and Sexual Factors in Human Cancer Aetiology (International congress series) Nemesis by anna banks Child safety protection I Become City Editor Dragon Ball Z, Volume 18 (Dragon Ball Z) Insiders and favorites Understanding the trauma of childhood psycho-sexual abuse The lamentable tragedie of Titus Andronicus Conte Galeazzo Ciano diaries and related material Caribbean New York Women get the vote
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STONEY POINT TRAIL OF TERROR ONLINE ACTOR HANDBOOK
What is the Trail of Terror?
The Trail of Terror (T.O.T) is the highest-ranked amateur haunted attractions in the Fayetteville!
The T.O.T began in 2003 for the purpose of raising money to purchase necessary equipment for the Stoney Point Fire Department to affectively serve our community. This is accomplished by volunteers like you coming out each year and putting on the best haunted attraction around.
What we expect of you.
We ask that you come out each night with an eagerness to work hard and HAVE FUN! We can accomplish this by asking each of you to follow the guidelines set forth in this handbook.
T.O.T ORGANIZATIONAL BREAKDOWN
* OPERATIONS CHIEF – This position is overall in charge of all areas of operation.
* SALES AND TICKETING – These personnel are responsible for all money received from the sales of tickets, tshirts, photos, concessions and our interactive paint ball attraction.
* FX TEAM – These personnel are essentially responsible for, but not limited to, all props, lighting and sound effects necessary to bring each scene to life and so much more.
* ZONE BOSSES – The trail is broken down into 3 zones and each zone is assigned a Zone Boss. These personnel motivate our actors thus encouraging each one to put on the best show. They also serve as the direct link between the actors and Operations Chief.
* MEDICAL – Handles all on-scene medical emergencies.
* MAKE-UP TEAM – They ensure that all actors are outfitted with the proper costumes along with the application of the make-up needed to pull off the desired effect in each scene.
* SECURITY - Monitors the patrons at all times.
* ACTORS – You are who bring the trail to life each night! We could not have a successful trail without you.
* FIRE WATCH/PARKING LOT - Crowd control and fire safety for the T.O.T.
ACTOR RESPONSIBILITES AND SCHEDULE
Each night that you volunteer to work we hope that you do so with the desire to put on the best show ever. We want you stirring up more scares than the night before. HAVE FUN!!!
* Orientation is conducted prior to opening night to give each prospective actor the opportunity to walk thru the trail and familiarize themselves with the different positions that will need to be filled each night.
* Orientation sign in begins at 6:00 pm and will conclude by 7:00 pm.
* ALL actors are required to complete our on-line registration, attend orientation and provide proof of age.
* Orientation presentation will run from 7:00 pm and end at approximately 9:00 pm.
* You are all asked to park at Stoney Point Elementary School on the nights they intend to work. From there you will be picked up by a fire department shuttle and brought to the fire department. The shuttle will be begin running at 3:00 pm and will return you to your vehicle at Stoney Point Elementary School once you have been released for the evening. DO NOT PARK in front of the fire station! Parking is reserved for our patrons.
* All actors must be at least 14 years of age prior to be authorized to act on the trail.
* Upon arrival you will be asked to gather at the volley ball court. Please do NOT arrive prior to 3:00 pm. Once you have in-processed for the evening you will need to remain on the property until the conclusion of that evening's events to allow for proper accountability of all personnel.
* Once you have been assigned a number, you will then report to the fire bay where you will find a chair with that corresponding number. (Please DO NOT enter the interior of the station itself as it is still a full functioning fire station during the event). That is where you will be asked
* You will be assigned a number which correlates to a position within the trail. This number is EXTREMELY important and is how you will be identified for the remainder of the evening.
to remain until the make-up team has finished outfitting you for that evening; it is also where you will put your personal affects. Your property will be safeguarded by designated personnel while you are on the trail itself.
* All costume items and props will then be collected at the conclusion of each evening and cleaned for use the next night of operation.
* You will then be called by their identifying number, one at a time, to the make-up room where you will be outfitted with a costume and make-up. You will be responsible for all parts of that costume throughout the remainder of the evening. (DO NOT enter the make-up room unless directed to do so by a staff member)
* Actors are required to wear dark closed toed shoes at all times. This is for your safety.
* There will be limited concessions provided for the actors while you wait for the trail to begin each evening. You are encouraged to pack food for yourself or have someone bring you food as you are not permitted to leave the property until you have been signed out at the conclusion of the evening.
* Actors are also encouraged to wear dark colored clothing and dress in layers as the temperature changes throughout the evening.
SHOW TIME!!!!
* Once all personnel have been outfitted for that night's trail you will be broken into your designated zones and placed on the trail by your Zone Boss. He/she is now responsible for you until the conclusion of the night. DO NOT leave your scene without being cleared by your Zone Boss!!!
* ALWAYS stay in character! You never know who is watching.
* Please refrain from rearranging scenes without first requesting permission from your Zone Boss. We welcome any and all suggestions you may have.
* Throughout the night your Zone Boss will come through your scenes to check on each actor and provide assistance when needed such as bathroom breaks, medical needs, and problems within your scene or issues with patrons.
* Each actor will also be provided with water throughout the evening to help keep you hydrated. We do ask that you refrain from enjoying these items in front of the patrons as it takes away from the show.
* THE USE OF PERSONAL CELLULAR DEVICES IS STRICKLY PROHIBITED. Nothing ruins a good scare more than seeing an actor on their phone. You are asked to leave all cellular phones in the bay at your assigned chair. Fire department personal are assigned to safeguard your belongings throughout the evening.
* On occasion however, there are patrons that do get a bit rowdy and may come in contact with our actors. If that occurs we ask that you get the best possible description of the patron and alert your Zone Boss who will then handle the situation accordingly. Depending on the severity of the situation you will be given the opportunity to take necessary formal action. ACTOR SAFETY IS OUR TOP PRIORITY.
* Each room achieves their scares by different means such as: popping out from behind thing, a silent stare, a scream or even the use of a prop; but NEVER coming in direct physical contact with our patrons. Patrons are also restricted from touching the actors. With that being said however, on occasion you may trigger a person's natural "fight or flight" response which may result in the occasional accidental contact with our actors, if this occurs we ask that you take it as just that "accidental".
* In the case of an emergency we ask that family members call the Stoney Point Fire Department directly at 910-424-0694. That is the most efficient way to get in contact with you once you have been placed on the trail to work for the evening. We ask that they DO NOT call your cell phones as you are asked NOT bring them onto the trail. If an emergency arises and we receive a call, the Operations Chief will be notified and he will take the necessary actions to appropriately check you out for the evening.
* Once the show is over and you are properly cleared, you will be provided a meal as our way of thanking for your hard work that evening.
* You are now free to go. THANK YOU!!!
EVACUATION PROCEDURES
* If at any time it is necessary to evacuate the trail there are 3 very obvious methods to relay that to our actors and you will then be directed to gather at the volleyball court or "Rally Point" so that you can be properly accounted for. You will know that it is necessary to evacuate by one of the following methods:
o First method - the Zone Boss will come thru your scene and direct you to evacuate
o Second method - the overhead interior house lights will turn on
o Third method - there will be 3 long blast from the air horn on a nearby fire truck
* Once evacuated remain in the Rally Point and await further instruction.
Dismissal Policy
* We ask that you refrain from activity that may result in your immediate dismissal from the T.O.T such as drug or alcohol use.
* All behavioral issues will be addressed individually and handled accordingly with either a verbal warning, written warning or ultimately your dismissal from the event (at the discretion of the Operations Chief)
INCLIMATE WEATHER
* On days where it may rain, we encourage all personnel to check the social media sites or trail website for updates. If nothing has been posted the please report as usual and await further instruction from Operations Chief.
COMMUNITY SERVICE CREDIT
* All actors will receive 7 credit hours for each night worked. Community Service certificates will be prepared and ready for pickup on 1 December. If you need to leave early on the night you work, you are subject to losing your credit hours for that night (at the discretion of the Operations Chief) as well leaving a hole in our show.
SOCIAL MEDIA
* Our website is WWW.UNDEADFD.COM
* We are also on several different media sites such as Twitter, Instagram and FaceBook. We encourage you to use these sites to share your experience.
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Curriculum Vitae Derek Michael Zike, MS
General Information
University of Wisconsin-Milwaukee Department of Rehabilitation Sciences & Technology 3409 N. Downer Ave. Milwaukee, WI 53201-0413
Formal Education
University of Wisconsin-Milwaukee (2023 – anticipated)
Milwaukee, WI
Doctorate of Philosophy, Health Sciences
Major Specialization: Sport and Performance Psychology
Advisor: Monna Arvinen-Barrow, PhD
Miami University (2016) Oxford, OH Master of Science, Kinesiology and Health Concentration: Sport Leadership
Miami University (2014) Oxford, OH Bachelor of Science, Kinesiology and Health Major: Sport Studies
Academic Journal Articles
Zike, D. M., Vealey, R., & Arvinen-Barrow, M. (under review). Sport transition experiences due to spinal cord injury: A multiple case study.
Zike, D. M., & Arvinen-Barrow, M. (under review). Psychosocial factors associated with athlete adaptation to spinal cord injury: A systematic review.
Ford, J., Zike, D. M., & Arvinen-Barrow, M. (under review). Musicians' personal experiences with psychological performance enhancement: An interpretative phenomenological analysis.
Ildefonso, K., Zike, D. M., & Arvinen-Barrow, M. (in preparation). Exploring a mental toughness concept in sport injury rehabilitation: A grounded theory approach.
Academic Book Chapters
Zike, D. M., & Arvinen-Barrow, M. (2020). Leaving sport with a spinal cord injury. In: M. Sachs, L. Tashman, & S. Razon. Performance excellence: Stories to make your endeavors a success. Rowan & Littlefield.
Email: [email protected]
Zike, D. M., & Arvinen-Barrow, M. (in preparation; publication 2023). Transition out of sport due to sport injury. In M. Arvinen-Barrow, N. Walker, & D. Clement (Eds.), Psychology of sport injury and rehabilitation (2nd Ed.). Routledge.
Academic/Professional Conference Oral Presentations (National, Regional, and Local)
Zike, D. M., & Arvinen-Barrow, M. (2021, May). Psychosocial factors associated with athlete adaptation to spinal cord injury: A systematic review. UWM 2021 Virtual Health Research Symposium, Virtual.
Zike, D. M., Vealey, R., & Arvinen-Barrow, M. (2020, October). Athletes' experiences of leaving sport due to spinal cord injury: A multiple case study examination. Association for Applied Sport Psychology annual conference, Virtual.
Zike, D. M., Vealey, R., Freysinger, V., & Geller, K. (2017, February). Athletes' experiences of leaving sport due to spinal cord injury: A multiple case study examination. Midwest Association for Applied Sport Psychology regional conference, Detroit, MI.
Academic/Professional Conference Poster Presentations (National, Regional, and Local)
Zike, D. M., & Arvinen-Barrow, M. (2021, October). Psychosocial factors associated with athlete adaptation to spinal cord injury: A systematic review. Association for Applied Sport Psychology annual conference, Virtual.
Zike, D. M, & Arvinen-Barrow, M. (2019, October). Reflections on becoming a PhD student: Lessons learned. Association for Applied Sport Psychology annual conference, Portland, OR.
Ford, J., Beauchemin, R., Halama, B., Ildefonso, K., Zike, D. M., & Arvinen-Barrow, M. (2019, March). Exploring the use of performance strategies in Division 1 athletes. Association for Applied Sport Psychology annual conference, Portland, OR.
Zike, D. M., & Arvinen-Barrow, M. (2019, March). Reflections on becoming a PhD student: Lessons learned. Midwest/North Central Association for Applied Sport Psychology regional conference, Mankato, MN.
Ford, J., Beauchemin, R., Halama, B., Ildefonso, K., Zike, D. M., & Arvinen-Barrow, M. (2019, March). Exploring the use of performance strategies in Division 1 athletes. Midwest/North Central Association for Applied Sport Psychology regional conference, Mankato, MN.
Academic/Professional Conference Workshops and Panels (National, Regional, and Local)
Line, J., Zike, D., Brueckner, S., & Prewitt-White, T. (2022, October). Who we unintentionally harm: Engaging in intentional advocacy praxis. Association for Applied Sport Psychology annual conference, Fort Worth, TX.
Prewitt-White, T., Butryn, T., & Zike, D. M. (2021, October). Engaging in advocacy: A call from AASP's inaugural advocacy committee. Association for Applied Sport Psychology annual conference, Virtual.
Anderson, S., Enriquez, D., Line, J., & Zike, D. M. [Alphabetical] (2021, April). Engaging in advocacy as a student: Reflection, education, & dialogue. Association for Applied Sport Psychology Diversity in Sport regional conference, Virtual.
Bennett, H., Owens, R., Perkins-Ball, A., Prewitt-White, T., & Zike, D. M. (2021, April). Advocacy in sport, exercise, and performance psychology settings. Association for Applied Sport Psychology Diversity in Sport regional conference, Virtual.
Guest Lectures
Master's Thesis
Zike, D. M. (2016). Athletes' experiences of leaving sport due to spinal cord injury: A multiple case study examination [Master's thesis, Miami University]. OhioLINK Electronic Theses and Dissertations Center. http://rave.ohiolink.edu/etdc/view?acc_num=miami1479837905411036
Awards and Fellowships
Advanced Opportunity Program Fellowship. (2019-2022). Graduate school fellowship awarded at the University of Wisconsin-Milwaukee. Award: Tuition waiver + Annual $15,000.00 stipend + $1000.00 travel grant.
Student Conference Abstract Award (2021) – Association for Applied Sport Psychology; Sponsored by Routledge/Taylor & Francis.
Student Conference Abstract Award (2020) – Association for Applied Sport Psychology; Sponsored by Routledge/Taylor & Francis.
President's List (2014) – Miami University, OH.
Dean's List (2013) – Miami University, OH.
Assistantships
Project Graduate Assistantship (2018 – 2019) – College of Health Sciences/PhD in Health Sciences, University of Wisconsin-Milwaukee, WI. Tuition remission and monthly stipend.
Rinella Learning Center Graduate Assistantship (2014 – 2016) – Miami University, OH. Tuition remission and monthly stipend.
Academic Service
Founder of the Sport Psychology and Performance Excellence student organization (2019): University of Wisconsin-Milwaukee, WI. Officer: President (Spring 2019 – Spring 2021), Secretary (Fall 2021 – Present).
Undergraduate Research Symposium Judge (April 5th, 2019): University of Wisconsin-Milwaukee.
Webmaster for Laboratory for Sport Psychology and Performance Excellence (January 2019 – January 2021): University of Wisconsin-Milwaukee, WI. Responsibilities: Writer – Website News, Developer, Page maintenance.
Research Assistant (2019): College of Health Sciences, University of Wisconsin-Milwaukee, WI. Supervisor: Monna Arvinen-Barrow, PhD, CPsychol AFBPsS, FAASP, CMPC, UPV sert.; Kenneth Ildefonso Jr., MA, LAT. Responsibilities: Transcribed research project interviews.
Health Sciences PhD Steering Committee Assistant (Fall 2018 – Spring 2019): University of WisconsinMilwaukee, WI.
Collaborative Learning Initiatives Officer (August 2015 – May 2016): Rinella Learning Center, Miami University, OH.
Academic Coach (August 2014 – May 2016): Rinella Learning Center, Miami University, OH.
Teaching Assistant for FSW 281 - Child Development (Fall 2013): Department of Family Science and Social Work, Miami University, OH.
Professional Service
Member of Advocacy Committee (2021 – 2023): Association for Applied Sport Psychology. Responsibilities: Writer - Conference abstracts, Statements.
Member of Reconciliation Plan Steering Committee (Fall 2021 – Present): Association for Applied Sport Psychology.
Crisis Intervention Specialist (May 2017 – June 2018): Families First, Indianapolis, Indiana.
Academic Fellow for CHS 100 – New Freshman Seminar in Health Professions (Fall 2018, Fall 2019, Fall 2020, Fall 2021): College of Health Sciences, University of Wisconsin-Milwaukee, WI.
Student Sport Psychology Consultant (Fall 2020 – Spring 2021): University of Wisconsin-Milwaukee, WI. Under supervision, responsibilities: Consults with athletes and teams seeking mental skills training.
Manuscript/Conference Abstract Reviewer
Peer-Reviewer (2021 – Present): Journal for Advancing Sport Psychology in Research (JASPR)
Conference Abstract Reviewer (2020 – Present): Association for Applied Sport Psychology.
Professional Organizations
Student Member (January 2019 – present), Association for Applied Sport Psychology (AASP)
Professional Certifications
ASIST: Applied Suicide Intervention Skills Training (May 2017)
Media
News Article Publications – Laboratory for Sport Psychology & Performance Excellence: UWM
March 25, 2019
LSPPE students present at regional AASP conference. https://sites.uwm.edu/lab-sppe/2019/03/25/lsppe-students-present-atregional-aasp-conference/
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MuMMER
MULTIMODAL MALL ENTERTAINMENT ROBOT mummer-project.eu
Grant No: 688147 Project Start Date: 2016-03-01
*
* Duration: 48 months
DELIVERABLE D8.2 REPORT
Initial Data Management Plan
Mary Ellen Foster (GLA), Katie Wright (GLA), Marketta Niemelä (VTT)
Version:
Final
Nature:
Report (R)
Dissemination level: Public (PU)
Pages:
9
Date:
2016-09-02
Beneficiaries:
GLA, VTT
Work Package:
WP8: Dissemination, innovation, and technology transfer
1 Introduction
1.1 MuMMER overview
The MuMMER project aims to develop a humanoid robot (based on the Pepper platform, a robot created by industry partner Softbank Robotics) that can interact naturally in the challenging environment of a public shopping mall, providing an engaging and entertaining experience to the general public. To interact successfully in the mall, the robot will need to behave in a socially appropriate way. To support this, the project aims to develop and integrate new methods for audiovisual scene processing, social-signal processing, high-level action selection, and human-aware robot navigation. Throughout the project, the robot will be deployed in a large public shopping mall in Finland: initially for short visits to help with development and testing, and later for a long-term field study.
1.2 Deliverable overview
Deliverable 8.2 represents the initial Data Management Plan (DMP) of the MuMMER project. This initial DMP summarises the four main forms of research data that will be collected during the course of MuMMER and also aims to define the process for managing all research data generated over the course of the MuMMER project, including collection practices, distribution, access criteria, ethical practices and preservation.
As the initial DMP, this document reflects the current direction of the project regarding the collection of data. The DMP is a living document which will be amended and updated where required, and changes will be reported to the European Commission via the submission of the final DMP (deliverable 8.4, due in month 48).
2 General Principles
2.1 Open access
As a participant in the Horizon 2020 Open Data Research Pilot, one of the goals of the MuMMER project is to provide – wherever possible – accurate and high-quality data to the research community to enable the project to contribute to the growing field of social robotics. However, since the data that is collected may contain personal information about human participants, we will also ensure that all data is appropriately anonymised before being made available for open access.
2.2 Personal data/ethics 1
The MuMMER studies will be conducted according to universal ethical principles (for instance, The Charter of Fundamental rights of the EU, 2000) and, in particular, according to Directive 95/46/EC of personal data and data protection and to Directive 2002/58/EC of electronic data and e-privacy. The research will comply with applicable international, EU and national legislations for protection of personal data.
In the MuMMER project, adult, healthy volunteers will participate in the co-design and evaluation activities. Their data and contribution will be gathered through focused discussions (focus groups and workshops), questionnaires, interviews and observations (real time and video). In all cases, it is emphasized that participation is voluntary and it is possible to quit at any time. Whenever applicable, formal ethical approval will be required from the corresponding partners' ethics boards and committees.
During the research, personal data – as it is defined in EU Data Protection Directive (95/46/EC) – will be collected. The data may include age, gender, area of living (no address), education, profession etc. Names or any personal identification data such as social security number are not collected for research purposes.
1 This section is adapted from the MuMMER grant agreement, Part B, Section 5.1.
However, photographs or videos may be taken. Our principle is to always ask the participating volunteers to sign a written informed consent form in which they give their permission for participating the study, photo/video data collection and use of the data. We will also request separate consent for archiving the data collected to ensure that the participants are aware of and consent to the long term storage of the data.
Some research activities such as evaluation of proof of concepts and the field study will be carried out in the field. Possible arenas are shopping centres (of which at least Ideapark), airports, theatre and cinema lobbies, hotel receptions etc. To understand, design and validate the human-robot interaction in these evaluations, and to reliably provide it to the developers, observation, tracking, photographing and recording video/audio data of the interaction situations is necessary.
In public places, the presence of by-standers and occasional, unplanned interaction events is unavoidable and even desirable. If the place is crowded, it may be impossible to get everyone's written, signed informed consent for recording. Therefore, we will inform all visitors in the entrances (doors, gates) of the place with the following announcement:
* research and recording is carried out in the place (dates and duration given)
* the purposes of the project, research and data collection
* the project name and partners
* how the collected data will be used
* contact information for further questions.
* that the collected data will be protected appropriately
This information is the same as in the informed consent forms used in this project.
We interpret that the visitors, given the chance to get the information, give their informed consent by entering the place. The data will be anonymised before possible publication or sharing outside the MuMMER project.
However, the data needs to include some identifiable information about individuals (faces, recognisable physical properties etc) during the analysis within the project, because they are an essential part of the research and development of the robot behaviour. All identifiable data will be anonymised or deleted after the research goals are met or the project ends.
In all situations, we pay specific attention in anonymising material including children or persons unable to give informed consent. The main research and analysis is based on the data collected from healthy, adult volunteers. However for some research goals, children's opinions and behaviour are of particular importance for the research. When children (of any age) are participants in a study (their opinions are collected or their interaction with the robot is recorded), a specific procedure is applied as follows.
Children participate only if they volunteer (by verbal response, clear nodding or other clear gesture or expression) AND their guardian/legal representative volunteers. The guardian/legal representative is asked to sign a fully informed consent for the child's participation and possible video or other recording for research purposes. Specific attention is paid that the child is not in a risk of any harm during the study. The guardian/legal representative is invited to monitor and supervise the study situation with the researcher. Both the child and the guardian/legal representative are told that the child can withdraw from the study any time. Also the guardian/legal representative can withdraw the child from the study any time. The collected data is always anonymised unless necessary for the research purpose (e.g. facial expression analysis) and this is made clear in the informed consent. The data is deleted after the research goals are met or the project ends.
Research data, which may include personal data as described above, is planned to be transferred between MuMMER project members. The consortium includes Switzerland, which has been considered to be a third country offering an adequate level of protection (on the Commission list of countries offering adequate protection http://ec.europa.eu/justice/data-protection/document/internationaltransfers/adequacy/index_en.htm) in accordance with Article 25 of the Directive 95/46/EC and so the transfer may take place.
We will ask for ethical opinion from relevant institutional ethical committees, e.g. the Ethical committee of social sciences of Tampere area (Tampereen alueen ihmistieteiden eettinen toimikunta, http://www.uta.fi/tutkimus/etiikka/arviointitmk/kokoonpano.html, in Finnish only) to ethically evaluate the planned research or relevant parts of it. VTT is represented in the Ethical committee.
2.3 Storage and access provision
All data created and collected during MuMMER will be stored internally on a private gitlab server hosted at Softbank Robotics, to which only project partners will have access. All data in gitlab will be private by default; where appropriately anonymized and processed data is to be made openly available, we will make use of the University of Glasgow's Enlighten Research Data repository at http://researchdata.gla.ac.uk/.
2.4 File formats
Wherever possible, we will use open and/or archival formats for all MuMMER data. This includes TIFF for images, FLAC for audio files, MPEG-4 for video, RTF for text, and CSV for spreadsheet data.
3 Description of MuMMER Datasets
3.1 Dataset naming Conventions
With regards to the naming convention MuMMER datasets, each name will be created as follows:
a. Dataset number containing prefix "DS" followed by a unique identifier number, e.g. DS1
b. Partner short name who will be managing the dataset, e.g. VTT
c. Short title of the dataset summarising the data contained within the dataset, e.g. Consumer Research
E.g. "DS1.VTT.Consumer Research"
3.2 Summary of Datasets
The following table provides the name and a short description of each dataset. In total we envisage three high-level datasets to be collated during the MuMMER project, encompassing a wide variety of data files.
| | Name | Description |
|---|---|---|
| DS1.VTT. Consumer Research | | All data collected as part of the co-design activities |
| | | carried out by VTT throughout the project. |
| DS2.Partner. Interaction with Robot | | All data collected during interactions with the |
| | | MuMMER robot, at all partner sites. |
| DS3.Partner. Software Development | | All data collected for the purposes of developing |
| | | and training the software models included in the |
| | | MuMMER system. |
In the remainder of this document, we provide an initial DMP for each of these datasets. Note that the canonical version of the DMPs are stored in DMPonline at https://dmponline.dcc.ac.uk/; please contact the MuMMER administrator to be given access to the online DMPs.
4 MuMMER Datasets
4.1 Consumer Research DMP
The canonical version of this DMP is stored in DMPonline (https://dmponline.dcc.ac.uk/). Please contact the MuMMER administrator if you require access to the online DMP.
4.1.1 Data set description
WP1: Use scenarios, acceptance and success metrics will be led by VTT. The objective of this WP is to ensure that the MuMMER robot and its implemented and foresighted future applications will be user-driven in terms of (Human-Robot Interaction) HRI, socially and ethically accepted, and interesting to commercial end users. This goal will be achieved through an intensively applied co-design approach that engages consumer users and other relevant stakeholders in the technical development throughout the design. Consumers will be engaged using several forms of market research including demonstrations, workshops, discussion events, interviews and surveys. The co-design activities will produce use scenarios to guide the development, increase user acceptance toward robotic applications in consumer markets and develop success metrics for human-interactive mobile robots. This DMP aims to address the storage of MuMMER consumer research data in line with H2020 guidelines.
Origin of data
Data collected by VTT at the following events:
* Demonstrations
*
* Workshops with consumers
Discussion events
* Interviews
In addition VTT will collect data from the following:
* Surveys/questionnaires
* Consent Forms
Nature and scale of data
* Demonstrations – photos and video recordings in Finnish. Summary of results in English to be shared with Partners
* Workshops with consumers - video recordings in local language. Summary of results in English to be shared with Partners
* Interviews - video/audio recording in Finnish. Summary of results in English to be shared with Partners
* Surveys and questionnaires – Internet questionnaire as well as paper questionnaires in word format or via digital feedback screens
* Consent Forms – paper questionnaires in RTF format
To whom the dataset could be useful
Raw data in local language will be assessed and by VTT a summary of results (in English) will be shared with the consortium.
Some pictures and videos may be used for dissemination purposes
Related scientific publications
The summary data derived from these studies will be used as the basis for scientific publications. Pictures may also be used as part of scientific publication, where appropriate consent has been obtained.
4.1.2 Standards and metadata
The following metadata will be recorded regarding the consumer research data:
* Demonstrations - metadata required: demonstration host, group size, location, date and time, duration
* Workshops with consumers - metadata required: workshop host, workshop attendees, location, date and time, duration
* Interviews - metadata required: interviewer, interviewee, location, date and time, duration
* Photos - saved in TIFF format with location, description and date in the title
* Surveys/questionnaires – metadata required: location, date and time
4.1.3 Data sharing
Data will be shared internally with project partners using the MuMMER gitlab server. Where appropriate, reusable data such as log files or (where permission has been obtained) video data will be shared using the University of Glasgow's Enlighten Research Data server.
4.1.4 Archiving and preservation (including storage and backup)
During the course of the MuMMER project, all data will be stored on the MuMMER project gitlab server, which is backed up regularly. Public data will be released through the University of Glasgow's Enlighten Research Data server, where it will persist after the end of the project.
4.2 Human-Robot Interaction DMP
The canonical version of this DMP is stored in DMPonline (https://dmponline.dcc.ac.uk/). Please contact the MuMMER administrator if you require access to the online DMP.
4.2.1 Data set description
This data set will encompass all system logs, video recordings, and user questionnaire responses arising from users interacting with the MuMMER robot, both in lab settings and in the public deployment locations (including but not necessarily limited to Ideapark). It will also include any after-the-fact annotations of the video data that is gathered.
Within the project, this data will be useful for analysing the success of all robot deployments throughout the project: this information will then be used to inform the development and refinement of the robot scenarios, as well as to help the developers to enhance the system for future deployments.
The data will also be used as the basis for scientific publications describing the robot deployments.
Outside of the MuMMER project, this data could also be useful to guide the work of other developers of similar public-space robot systems.
4.2.2 Standards and metadata
System logs:
* Timestamped entries for every system event, internal state update, and message exchanged among the system components
* Every log includes a synchronisation signal to allow it to be matched up later with video data
Videos:
* High-quality HD videos, compressed with a useful codec such as H.264
* If multiple videos are included of a session, they will be synchronised with each other using a synchronisation signal
Questionnaires:
* Every questionnaire annotated to indicate the date, time, and location of the session it relates to, in order to allow questionnaire responses to be correlated with videos and/or logs
Annotations:
* Any annotated data will be stored alongside the raw data.
4.2.3 Data sharing
Data will be shared internally with project partners using the MuMMER gitlab server. Where appropriate, reusable data such as log files or (where permission has been obtained) video data will be shared using the University of Glasgow's Enlighten Research Data server.
4.2.4 Archiving and preservation (including storage and backup)
During the course of the MuMMER project, all data will be stored on the MuMMER project gitlab server, which is backed up regularly. Public data will be released through the University of Glasgow's Enlighten Research Data server, where it will persist after the end of the project.
4.3 Software Development Data DMP
The canonical version of this DMP is stored in DMPonline (https://dmponline.dcc.ac.uk/). Please contact the MuMMER administrator if you require access to the online DMP.
4.3.1 Data set description
This data set will encompass all audiovisual recordings specifically designed to help in the development of the technical components of MuMMER. Note that this dataset is distinct from the Human-Robot Interaction dataset: while the data in that set is related to interactions with the deployed robot system, the data in this set is specifically gathered and designed to help in developing and training the software components of the system.
Within the project, this data will be useful for ensuring that the components of the robot system function appropriately in the target environment: for example, this will include recordings made with the robot's own sensors of users interacting in the target deployment locations within Ideapark.
The data will also be used as the basis for scientific publications describing the technical development.
Outside of the MuMMER project, this data could also be useful to guide the work of other developers of similar technical components, both as training and as test data.
4.3.2 Standards and metadata
Videos:
* High-quality HD videos, compressed with a useful codec such as H.264
* If multiple videos are included of a session, they will be synchronised with each other using a synchronisation signal
4.3.3 Data sharing
Data will be shared internally with project partners using the MuMMER gitlab server. Where appropriate, reusable data such as log files or (where permission has been obtained) video data will be shared using the University of Glasgow's Enlighten Research Data server.
4.3.4 Archiving and preservation (including storage and backup)
During the course of the MuMMER project, all data will be stored on the MuMMER project gitlab server, which is backed up regularly. Public data will be released through the University of Glasgow's Enlighten Research Data server, where it will persist after the end of the project.
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PENSION PLAN FOR NON-UNIONIZED EMPLOYEES OF QUEBECOR MEDIA INC. AND ITS PARTICIPATING SUBSIDIARIES
Effective December 31, 2012
Certified to be a true and complete copy of the text of the Pension Plan for the Non-Unionized Employees of Quebecor Media Inc. and its Participating Subsidiaries as at December 31, 2012.
Isabelle Leclerc Vice President Human Resources
Date
TABLE OF CONTENTS
Page
i
PART C – PROVISIONS APPLICABLE TO FORMER MEMBERS OF THE SUN MEDIA CORPORATION PLAN
PART A
PROVISIONS APPLICABLE TO ALL MEMBERS
PART A – SECTION I
INTRODUCTION
Article 1.01 Plan Text
This document constitutes the plan text of the "Pension Plan for NonUnionized Employees of Quebecor Media Inc. and its Participating Subsidiaries", effective December 31, 2012.
Article 1.02 Merger of the Quebecor Plan and Sun Media Corporation Plan
With effect from June 30, 2003, Quebecor Media Inc. and Sun Media Corporation have decided to merge into the present Plan the following pension plans sponsored by Quebecor Media Inc. and Sun Media Corporation:
* the pension plan known as the "Régime de rentes pour les employés non assujettis à une convention collective de travail de Quebecor Inc. et ses filiales" (herein called the "Quebecor Plan");
* the pension plan known as "The Pension Plan for Employees of Sun Media Corporation" (herein called the "Sun Media Corporation Plan").
The approval of the merger was received on June 22, 2007 from the Financial Services Commission of Ontario and on April 14, 2008 from the Régie des rentes du Québec. The effective date of the merger is April 14, 2008 as these governmental authorities considered the later of the above-mentioned two dates.
Article 1.03 Provisions of the Quebecor Plan
The Quebecor Plan was established on January 1, 1986. Following the transfer of the assets and liabilities of the Quebecor Plan to the present Plan, the benefits accrued by members under the Quebecor Plan and all other rights and entitlements with respect to such benefits continue under the present Plan and the registration of the Quebecor Plan with the Régie des rentes du Québec ceased. For greater certainty, the same applies to benefits accrued since July 1, 2002 by Employees of Sun Media Corporation, as the case may be, who have joined, on that date or any January 1, thereafter, the Quebecor Plan.
Article 1.04 Provisions of the Sun Media Corporation Plan
The Sun Media Corporation Plan was established on January 1, 1973. Following the transfer of the assets and liabilities of the Sun Media Corporation Plan to the present Plan, the benefits accrued by members under the Sun Media Corporation Plan and all other rights and entitlements with respect to such benefits continue under the present Plan and the registration of the Sun Media Corporation Plan with the Financial Services Commission of Ontario ceased.
Article 1.05 Payment of Benefits and Protection of Accrued Benefits
Benefits payable to Employees who retired before December 31, 2012 and benefits payable to their Spouses or beneficiaries and all deferred pensions payable to Members who terminated their employment with the Employer before December 31, 2012 shall continue to be paid or payable, as applicable, under the provisions of the previous plan text, except as stipulated by the present Plan text.
Notwithstanding the foregoing, the following provisions apply as of the effective dates specified below:
* The changes made in this restated Plan text for Alberta Members at Article 6.14 d) Part A (as indicated in that Article): November 1, 2006;
* The changes made in this restated Plan text to Articles 5.03 Part B and 4.03 Part C: January 1, 2007;
* The changes made in this restated Plan text for Manitoba Members at Articles 4.02 h) Part A, 6.14 c) Part A, 12.01 Part A and 7.03 Part B: May 31, 2010;
* The changes made in this restated Plan text for Ontario Members at Articles 6.14 a) Part A, 7.01 Part B, 7.05 Part B, 6.03 (1) Part C, 6.04 Part C and 7.01 Part C and addition of Articles 8.05 Part B and 7.04 Part C: July 1, 2012.
As the assets and liabilities of the merging plans were consolidated, all benefits payable to Employees who retired before June 30, 2003 and all benefits payable to their Spouses or beneficiaries and all deferred pensions payable to Members who terminated their employment with the Employer before June 30, 2003 became payable from the consolidated assets held under the present Plan.
Should a member or former member of the Quebecor Plan or the Sun Media Corporation Plan have retired, terminated or died prior to the transfer of assets and liabilities of his pension plan to this Plan, all benefits with respect to his entitlements were paid from the assets held under the applicable pension plan. Furthermore, in order to determine eligibility for and vesting of benefits prior to the transfer of assets and liabilities, all service and membership including service and membership under the present Plan after June 30, 2003 was taken into account. Once the assets and liabilities of the merging plans have been consolidated, all benefits accrued for employees not represented by a bargaining unit under either the present Plan, the Quebecor Plan or the Sun Media Corporation Plan became payable from the consolidated assets held under the present Plan.
Article 1.06 Members represented by a Bargaining Unit
In the event that Members become employees represented by a bargaining unit, their benefits accrued under the present Plan and all other rights and entitlements with respect to such benefits will continue under the present Plan until any agreement concluded between the Employer and the bargaining unit which represents the Members.
Article 1.07
Notwithstanding the foregoing, effective December 27, 2008, the following employees are not eligible to participate in the Plan:
(a) Employees hired or rehired on or after December 27, 2008; and
(b) Employees transferred on or after December 27, 2008 to employment of the Employer from the employment of a subsidiary, affiliated or associated company not designated as a participating employer under the Plan or transferred from an Other Plan.
Unless the context otherwise require, words designating the masculine gender shall also be construed as designating the feminine gender and words designating the plural number shall also be construed as designating the singular number, and vice-versa. A reference to an Article or a Section without the mention of the applicable Part A, B or C is a reference to an Article or a Section within that Part.
PART A - SECTION II
DEFINITIONS
For the purpose of the Plan, the following terms and expressions have the meaning given below, unless a different meaning is required by the context.
Article 2.01 Active Member
An Employee who has joined the Plan in accordance with Section IV and who is in the Service of the Employer or who is suffering from a Disability.
Article 2.02 Actuarial Equivalent
An actuarially equivalent value computed using actuarial tables and such other methods and assumptions as recommended by the Actuary for the purposes of the Plan, subject to the laws and regulations of the relevant jurisdiction and the Income Tax Act.
Article 2.03 Actuary
A person qualified as a Fellow of the Canadian Institute of Actuaries, or a firm employing such person, appointed as the Actuary for the Plan by the Sponsor.
Article 2.04 Applicable Pension Benefits Act
In Ontario, the Pension Benefits Act (R.S.O., 1990, c. P.8) and Regulations thereunder and any other similar legislation, as amended or replaced from time to time.
Article 2.05 Authorized Leave of Absence
An absence from employment duly authorized by the Employer.
Article 2.06 Beneficiary
An individual designated in writing by the Member who is entitled to receive benefits on the death of the Member if:
(1) the Member has no Spouse,
(2) the Member's Spouse has waived an entitlement to that benefit, or
(3) the Member's Spouse has no entitlement to that benefit in accordance with the Applicable Pension Benefits Act.
A Member may revoke or amend a designation in the form and manner prescribed by the administrator from time to time, subject to the terms of the Plan and any applicable laws governing the designation of beneficiaries. If there is no Beneficiary at the date of the Member's death, "Beneficiary" shall mean the estate of the Member.
Article 2.07 Commissions
The amount of commissions earned by the Member in the Fiscal Year, as determined by the Employer.
Article 2.08 Commuted Value
In relation to benefits that a person has a present or future entitlement to receive, a lump sum amount which is the actuarial present value of those benefits determined, as of the time in question, using actuarial tables and such other methods and assumptions as recommended by the Actuary for the purposes of the Plan, subject to the Applicable Pension Benefits Act and the Income Tax Act.
Article 2.09 Compensation
Earnings as defined in this section, with the addition of overtime hours, bonuses, commissions, gratuities, employee benefits and any other amount to be included in the Member's income as employment income under the Income Tax Act and the deemed earnings used in calculating the Pension Adjustment limit.
Article 2.10 Defined Benefit Limit
Maximum annual pension payable to the Employee for each year of participation in the Plan, as defined in Section 8500(1) of the Income Tax Act.
Article 2.11 Disability
A disability certified by a qualified medical doctor licensed to practice in Canada, or where the Member resides, as being such as to prevent a Member from performing the duties of employment in which the Member was engaged before the commencement of the Disability, provided that the Member is entitled to benefits under a long term disability insurance plan sponsored by the Employer. Such a Disability shall be considered to cease on the earliest of the date at which the Member ceases to be entitled to long term disability benefits under the Employer's insurance plan, the date that the Member returns to the active service of the Employer or the Member's normal retirement date.
If a Member is not entitled to benefits under the Employer's long term disability plan, but is entitled to workers' compensation benefits in respect of an injury incurred on or after January 1, 1990 or any disability program sponsored by any government, as applicable, the Member shall be considered to suffer from a Disability until the earliest of:
(1) any period of time following the injury, as prescribed by the applicable worker's compensation legislation;
(2) the date on which the Member ceases to be entitled to workers' compensation benefits; and
(3) the date on which the Member returns to active employment with the Employer.
Article 2.12 Earnings
The normal remuneration paid by the Employer for actual or deemed Services, excluding overtime, bonuses, gratuities, employee benefits, premiums of any nature, expense allowances or other special payments. Earnings means, in the case of sales representatives paid in whole or in part on a commission basis, 80% of Commissions, or advances on Commissions if that amount is higher, paid during the previous year, to which is added, if applicable, the normal remuneration as defined above, subject to an annual maximum equal to 50 times the Defined Benefit Limit that may be credited for the year plus 30% of YMPE; the above earnings shall be annualized if the Member has fewer than 12 months of Service. However, in the case of the Non-contributory Option, the annual maximum may not be less than $104,561.
For designated management employees, Earnings as defined above include the bonus paid to a Designated Member.
For the purpose of calculating the benefits and contributions of a part-time Employee, Earnings are the amount the Employee would have received if the Employee was working full time.
From January 1, 1991, Earnings also includes, for the purpose of calculating the credited pension, deemed earnings for unpaid Temporary, Family or Disability leave included in Pensionable Service. The presumed earnings for a period of Temporary or Maternity Leave are calculated in accordance with Articles 12.01 and 12.03, or as above at the start of the leave period, as applicable. The presumed earnings for a period of disability are determined in accordance with Article 12.02.
Notwithstanding the preceding, for purposes of Article 4.07 of Part A and Article 1.03 of Part C, Earnings mean the basic salary and wages, including Commissions or bonuses to the extent appropriate for pension purposes, received by a Member from the Employer.
Article 2.13 Employee
A person connected to the Employer by a contract of lease and hire of services, not subject to a collective agreement, who works full or part time and is hired and regularly compensated by the Employer, including sales representatives paid wholly or partially on a commission basis.
Notwithstanding the foregoing, "Employee" does not include any person hired or rehired by the Employer on or after December 27, 2008 or any employee transferred on or after December 27, 2008 to employment of the Employer from the employment of a subsidiary, affiliated or associated company not designated as a participating employer under the Plan or transferred from an Other Plan.
Article 2.14 Employer
Quebecor Media Inc. as well as each participating employer listed in Appendix I of the Plan.
Article 2.15 Family Leave
Leave that starts at the birth of a child of a Member who is the biological mother or father of that child, or upon the adoption of a child by the Member, and ending no later than the period provided for under the applicable employment standards legislation which permits the Employee to maintain his membership in the Plan and subject to the requirements of the Income Tax Act .
Article 2.16 Fiscal Year
The 12-month period from January 1 of one calendar year to December 31 of the same year.
Article 2.17 Former Member
A former Employee or an Employee who has terminated membership in the Plan and is entitled to a deferred pension.
Article 2.18 Fund
The Fund created for the payment of benefits payable under the Plan, including the funds and securities transferred thereto.
Article 2.19 Funding Agent
An insurance company or trust company and includes any combination or successors thereof appointed by the administrator to hold, administer and invest the Fund.
Article 2.20 Funding Agreement
Any agreement or agreements now or thereafter executed between the administrator and the Funding Agent for the purposes of this Plan.
Article 2.21 Income Tax Act
The Income Tax Act, Statutes of Canada and the Regulations thereunder, and where applicable includes the provisions of Information Circular 72-13R8 issued by Canada Revenue Agency, as amended or replaced from time to time.
Article 2.22 Maternity Leave
Leave granted by the Employer to a female Member of the Plan in case of pregnancy or the birth of a child.
Article 2.23 Member
An Active Member, and may include, where applicable, a Former Member.
Article 2.24 Other Plan
Any other supplemental pension plan or registered pension plan in which the Employer participates or has participated and under which an Employee is entitled to pension benefits.
Article 2.25 Pensionable Service
With respect to a full-time Employee, the period of years of Service as an Active Member, and shall include periods of Temporary Leaves and of Disability in accordance with Section XII. Periods of Temporary Leave and of short-term disability will be included in accordance with Article 12.01, unless the Member has elected in writing not to continue accruing years of Pensionable Service.
With respect to a part-time Employee, Pensionable Service for each Fiscal Year shall be the ratio of that part-time Employee's actual hours worked to the hours regularly scheduled to be worked by full-time Employees during the Fiscal Year.
For the purpose of Pensionable Service determination, total unpaid Temporary Leave, except for periods of disability, is limited to 5 years. However, if Temporary Leave includes Family Leave, the 5 year limit shall be increased to 8 years, with only Family Leave being counted above the 5 year limit.
In addition, for benefits accruing under Part C, Pensionable Service will be expressed in years and complete calendar months as 1/12ths of a year. Any period of Pensionable Service of less than a full calendar month will be disregarded.
Article 2.26 Plan
The "Pension Plan for Non-Unionized Employees of Quebecor Media Inc. and its Participating Subsidiaries", as it may be amended from time to time.
Article 2.27 Plan Anniversary
The first day of each Fiscal Year.
Article 2.28 Prior Service
The Employee's Service before the date his Employer joined the Plan.
Article 2.29 Quebecor Plan
The "Régime de rentes pour les employés non assujettis à une convention collective de travail de Quebecor Inc. et ses filiales", as it read on June 30, 2003.
Article 2.30 Retired Member
An Active or a Former Member becomes a Retired Member upon having terminated his employment or membership in the Plan if the Member was an Active Member and is receiving a pension from the Fund, subject to Applicable Pension Benefits Act.
Article 2.31 Service
With respect to an Employee, years of Service are calculated from the latest date of employment irrespectively of any period of paid or unpaid Temporary Leaves, Disability Periods, Family Leave, part-time periods of employment and temporary interruption of Service.
Article 2.32 Sponsor
Quebecor Media Inc.
Article 2.33 Spouse
a) For an Ontario Member, the Spouse is:
the person who, on the Member's death or on the date payment of the Member's pension commences if he dies after his retirement:
i) is married to the Member; or
ii) is not married to the Member and has been living with the Member in a conjugal relationship continuously for a period of not less than 3 years whether the person is of the opposite or the same sex; or
iii) has been living in a conjugal relationship with the Member of some permanence if this person and the Member are jointly the natural or adoptive parents of at least 1 child, both as defined in the Ontario Family Law Act whether the person is of the opposite or the same sex.
Notwithstanding the preceding, a person may not achieve Spousal status if the person lives separate and apart from the Member.
b) For a Quebec Member, the Spouse is:
the person who, on the date a determination of spousal status is required:
i) is married to or in a civil union with the Member;
ii) has been living in a conjugal relationship with the Member, whether the person is of the opposite or the same sex,
a. for a period of not less than 3 years; or
b. for a period of not less than 1 year if at least one child is born, or to be born, of this person and the Member's union, this person and the Member have adopted, jointly, at least one child while living together in a conjugal relationship or one of them has adopted at least one child who is the child of the other, while living together in a conjugal relationship.
Spousal status is determined on the first of the following dates:
1. the day preceding the date of death of the Member; or
2. the date payment of the Member's pension commences, it being understood that payment of the Member's pension has not commenced if the Member has only received payments under a phased retirement program.
In Quebec, a person may not qualify as a Spouse under subsection ii) above if the Member is already married or in a civil union.
Notwithstanding subsection i) above, a person who is legally separated from bed and board with the Member on the day on which spousal status is established is not entitled to a death benefit, unless that person is the Member's Beneficiary or the Member has advised the administrator in writing that the death benefit shall be paid to the spouse despite the separation from bed and board.
Subject to the last paragraph of b) below, the right of a Member's spouse to death benefits under the Plan is terminated upon divorce, annulment of marriage, separation from bed and board, dissolution or annulment of the civil union or upon cessation of conjugal relationship.
Notwithstanding the preceding, upon death of the Member, a person has to meet the requirements to be recognized as a spouse in accordance with the Income Tax Act in order to be entitled to the death benefits payable to the spouse in accordance with the Plan.
Notwithstanding the preceding, the Member may advise the administrator in writing to pay the death benefit normally paid to the spouse under the Plan to the person who has ceased to be the Member's spouse, despite the divorce, annulment of marriage, dissolution or annulment of civil union, separation from bed and board or cessation of the conjugal relationship, to the extent that no other person has spousal status under the Applicable Pension Benefits Act.
c) For a Manitoba Member, the Spouse is:
the person who, on the Member's death or on the date payment of the Member's pension commences if he dies after his retirement:
i) is married to the Member; or
ii) is not married to the Member but has been living in a conjugal relationship with the Member, whether the person is of the opposite or the same sex, for a period of:
a. at least 3 years, if either of them is married; or
b. at least 1 year, if neither of them is married.
iii) registered, with the Member, a common-law relationship under section 13.1 of The Vital Statistics Act.
d) For an Alberta Member, the Spouse is:
the person who, on the Member's death or on the date payment of the Member's pension commences if he dies after his retirement:
i) is married to the Member and has not been living separate and apart from that other person for 3 or more consecutive years; or
ii) if paragraph i) does not apply, a person who, whether the person is of the opposite or the same sex, immediately preceding the relevant time, was living with the Member in a conjugal relationship for a continuous period of at least 3 years, or of some permanence, if there is a child of the relationship by birth or adoption.
e) For a British Columbia Member, the Spouse is:
the person who, on the Member's death or on the date payment of the Member's pension commences if he dies after his retirement:
i) is married to the Member and who is not living separate and apart from the Member for more than 2 years immediately preceding the relevant time, or
ii) if paragraph i) does not apply, the person who was living and cohabiting with the Member in a marriage-like relationship, including a marriage-like relationship between persons of the same gender, and who has been living and cohabiting in that relationship for a period of at least 2 years immediately preceding the relevant time.
Article 2.34 Sun Media Corporation Plan
The Pension Plan for Employees of Sun Media Corporation, as it read on June 30, 2003.
Article 2.35 Suspended Member
An Active Member who has elected to suspend his membership in the Plan in order to participate to the Group RRSP forming part of the Quebecor Media retirement program.
Article 2.36 Temporary Leave
Period during which an Active Member is not in the Service of the Employer because the Active Member is on leave or for the reasons set out in Article 12.01, except for periods of disability.
Article 2.37 YMPE
The Year's Maximum Pensionable Earnings as defined under the Canada or Quebec Pension Plan.
Whenever in the Plan text a reference is made to an Article, Section or Appendix, such reference shall be to the Article, Section or Appendix of the Part of the Plan in which the reference is made, unless specifically stipulated otherwise.
PART A - SECTION III
EMPLOYER MEMBERSHIP
Article 3.01 Initial Participating Employers
An Employer who was participating in the Quebecor Plan and Sun Media Corporation Plan as of June 29, 2003 participates in this Plan on and after June 30, 2003.
Article 3.02 Membership Application
An employer may apply to participate in the Plan. Such application shall include the Employer's acceptance of all provisions of this Plan and its amendments, including any future amendments. Subject to the acceptance of the Sponsor, the application shall be accompanied, as applicable, by any special provisions included in the Plan specifying the pensions credited for Prior Service and a certificate from the Actuary.
Article 3.03 Resolution of the Board
An employer becomes a participating employer under this Plan upon acceptance of the employer's application by resolution of the Sponsor.
Article 3.04 Employer Contribution
The Employer Contribution required under Articles 5.01 and 5.02 shall be divided among participating Employers according to the actuarial certificate, on a basis determined from time to time by the Sponsor.
Article 3.05 Termination of Participation
A participating Employer may terminate participation in the Plan on any Plan Anniversary date, upon 3 months advance written notice to the Sponsor.
The Sponsor may also terminate the participation of an Employer on any Plan Anniversary date upon 3 months advance written notice or on any other date, if in the opinion of the Sponsor the continuation of such participation might be prejudicial to the interests of other participating Employers and their Employees who are Members of the Plan. In such event, the active membership of the Employees of such an Employer is terminated and therefore, the termination of active membership shall, upon the Member's request, be treated as a termination of employment for the purpose of the Plan and that the Member's benefits shall be established as at that date, unless the Member requests that the benefits be established at a later date, which may be no later than the employment termination date.
PART A - SECTION IV
EMPLOYEE ELIGIBILITY AND MEMBERSHIP
Article 4.01 Plan Closure to New Hires
Notwithstanding the foregoing, effective December 27, 2008, the following employees are not eligible to participate in the Plan:
a) Employees hired or rehired on or after December 27, 2008; and
b) Employees transferred on or after December 27, 2008 to employment of the Employer from the employment of a subsidiary, affiliated or associated company not designated as a participating employer under the Plan or transferred from an Other Plan.
Article 4.02 Eligibility Requirements
A full-time Employee is eligible to join the Plan on the first day of the month following the date on which:
a) the Employee has earned at least 35% of YMPE or has worked at least 700 hours in the calendar year, subject to the requirement of Applicable Pension Benefits Act, and
b) the Employee's Employer has joined the Plan pursuant to Section III.
A part-time Employee is eligible to join the Plan on the first day of the month following the date on which:
c) the Employee has earned at least 35% of YMPE or has worked at least 700 hours during each of 2 consecutive calendar years, and
d) the Employee's Employer has joined the Plan pursuant to Section III.
Notwithstanding the preceding, in Quebec, a part-time Employee is eligible to join the Plan on the first day of the month following the date on which:
e) the Employee has earned at least 35% of YMPE or has worked at least 700 hours in the calendar year, and
f) the Employee's Employer has joined the Plan pursuant to Section III.
Notwithstanding the preceding, in Manitoba, a part-time Employee shall join the Plan on the first day of the month following the date on which the Employee has fulfilled the following 3 conditions:
g) completed 2 full years of Service;
h) earned at least 25% of YMPE in each of 2 consecutive calendar years; and
i) the Employee's Employer has joined the Plan pursuant to Section III.
Article 4.03 Membership in the Plan
An Employee who is eligible to join the Plan may join on the first day of the month in which the Employee fulfils the requirements under Article 4.02 and shall join the Plan on such date if he works in Manitoba unless he elects to be a Suspended Member.
An Employee who does not join the Plan upon becoming eligible is entitled to join the Plan on January 1 of any subsequent calendar year, providing the Employee fulfils the requirements in Article 4.02. An Employee may not, however, defer Plan membership any later than the January 1 following the fifth anniversary of the Employee's date of hire. As of that date, the Employee shall become a Member of the Plan.
An Employee who defers Membership in the Plan is not entitled to any benefits under the Plan for Service prior to the date of Plan membership, unless otherwise stipulated in any special provisions specific to an Employer included in the Plan.
Article 4.04 Transfer from a Quebecor Media Inc. Other Plan
Subject to Article 4.01, if an employee was a member of an Other Plan and becomes an Employee under Article 2.13, the Employee's membership in the Other Plan is terminated and he joins this Plan unless he elects to be a Suspended Member.
The Employee's Other Plan benefits shall be determined on the date of termination in the Other Plan and are subject to the provisions of Section IX.
Article 4.05 Obligations of the Employee
Upon becoming a Member, the Employee shall provide the Employer with the information that the administrator requires to apply Plan provisions and the information that the Employer requires to make at-source deductions and Plan contributions, as applicable. An Employee's participation in the Plan means that the Employee is definitively and irrevocably subject to all Plan
provisions, unless the Employee terminates active membership in the Plan by electing to be a Suspended Member as provided by Article 3.03 of Part B.
An Employee who becomes eligible to join the Plan shall fill out the Option Election form in accordance with Article 3.02 of Part B, indicating the options selected and whether he wishes to commence or delay participation.
Notwithstanding the above paragraph, when the form is not completed within 30 days of the date the Employee becomes eligible to join the Plan, the following rules apply:
a) an eligible Employee who has not reached the mandatory membership date is presumed to have decided to delay participation; and
b) all Employees who have reached the mandatory membership date are presumed to have decided to join the Contributory Option under Part B of the Plan.
Specific Provisions with respect to Members of the Sun Media
Article 4.06 Corporation Plan
Any Employee who is not participating on June 29, 2003 in the Sun Media Corporation Plan shall not be eligible to join Part C of the present Plan.
Notwithstanding Article 4.05, an Employee who is an Active Member of the Sun Media Corporation Plan on June 29, 2003 continues, on and after June 30, 2003, to participate in the Plan in accordance with the provisions of Part C.
Notwithstanding the preceding, on July 1, 2002 or on any January 1 thereafter, an Employee who participates in the Plan in accordance with the provisions of Part C may choose to participate, from the date of his election, in the Noncontributory Option or the Contributory Option of the Plan. If the Employee makes such an election, benefits and entitlements to benefits in respect of his years of Service on and after the effective date of his election are determined in accordance with the provisions of Part B. The Employee may also elect to become a Suspended Member of the Plan in accordance with Article 3.03 of Part B.
Article 4.07 Financial Post Employees
Each Member of the Sun Media Corporation Plan who was an employee of the Financial Post Company as of September 4, 1998 shall:
a) cease to accrue benefits under the Sun Media Corporation Plan in respect of service after September 4, 1998. For greater certainty, the Member's Earnings and Pensionable Service shall be frozen as at September 4, 1998. However, service with a successor employer of the
Financial Post Company shall count for purposes of determining eligibility for an entitlement to benefits under Part C of the Plan.
b) for greater clarity, each Member who was an employee of the Financial Post Company as of September 4, 1998 shall be entitled to receive benefits payable under Part C of the Plan on the Member's subsequent termination of employment, retirement or death, as applicable, with the successor employer of the Financial Post Company.
Article 4.08 Termination of Membership
No Active Member may terminate membership in the Plan while still an Employee, unless that Active Member has elected to be a Suspended Member. When an Employee leaves the Service of one Employer and enters the Service of another employer or loses the status of Employee without leaving the Service of the Employer, this does not constitute termination of Service or termination of active membership, subject to the provisions of the following paragraph. If the Member is not designated as an Employee by the new employer or if the Member loses the status of Employee, the period of absence shall be considered a period of unpaid Temporary Leave. Plan membership may only be terminated upon application of the relevant Plan provisions.
If an Active Member terminates his membership before employment termination because the Active Member no longer satisfies the definition of Employee or because the Active Member has elected to be a Suspended Member, the termination of active membership shall, upon the Active Member's request or as required by Applicable Pension Benefits Act, be treated as a termination of employment for the purpose of the Plan and the Active Member's benefits shall be established as at that date, unless the Active Member requests that the benefits be established at a later date, which may be no later than the employment termination date, subject to the provisions of Applicable Pension Benefits Act.
Article 4.09 Discretion of the Sponsor
The Sponsor reserves the right, in exceptional circumstances, to override the above conditions in order to allow an Employee to join the Plan as of the date of hire or any subsequent date.
Article 4.10 Winnipeg Sun, a division of Sun Media Corporation
Employees who work for the Winnipeg Sun are not eligible to join the Plan.
Notwithstanding the preceding and subject to Article 4.01, a senior management employee of the Winnipeg Sun is considered an Employee for the purposes of the present Plan. For the purpose of determining eligibility and membership in the Plan of such a senior management employee, Articles 4.02 and 4.03 apply making the necessary adaptations.
PART A - SECTION V
EMPLOYER CONTRIBUTIONS
Article 5.01 Employer Contributions
(1) Subject to Articles 5.01(2) and 5.02, the Employer shall pay to the Funding Agent for deposit to the Fund such amounts certified by the Actuary as being sufficient to provide:
a) the normal cost of the benefits currently accruing to Members under the Plan; and
b) the proper amortization of any unfunded liability or solvency deficiency, both in accordance with the Ontario Pension Benefits Act (R.S.O., 1990, c. P.8), after taking into account any surplus assets of the Fund, in accordance with Article 5.02 and all relevant factors.
(2) No contribution shall be made by the Employer to the Fund, in accordance with paragraph 5.01(1), unless it is an eligible contribution as defined by the Income Tax Act.
(3) The payments referred to in paragraph 5.01(1) shall be remitted to the Funding Agent as follows:
a) Employer contributions in respect of current service costs for any period, in monthly instalments within 30 days following the month for which contributions are payable;
b) all other special payments, in equal monthly instalments throughout the Fiscal Year, or
such greater period of time as may be permitted under the Ontario Pension Benefits Act (R.S.O., 1990, c. P.8) and Regulations thereunder, as amended or replaced from time to time.
(4) Subject to the prior approval of the Financial Services Commission of Ontario and the Canada Revenue Agency, excess contributions made in the Fiscal Year or payments made by the Employer that should have been paid out of the Fund may be returned to the Employer out of the Fund, but only where such return is necessary to avoid revocation of the registration of the Plan under the Income Tax Act.
(5) Contributions made by the Employer shall not constitute an improvement of the amount of any benefit defined in the Plan and shall not at any time create for any person other than the Employer any right, title or interest in the assets of the Employer or the Fund, except as specifically provided in the Applicable Pension Benefits Act.
Article 5.02 Contribution Holiday
Notwithstanding Article 5.01, the Employer may suspend his contributions, in whole or in part, to the extent that the last actuarial valuation filed with the Financial Services Commission of Ontario shows that the Plan funding and solvency are sufficient to allow a contribution holiday.
PART A – SECTION VI
GENERAL PROVISIONS
Article 6.01 Unseizability and Unassignability
Unless otherwise provided for by law, contributions, as well as the interest accrued thereon, pensions, refunds or other benefits payable under the Plan are unseizable and unassignable. Also, any amounts attributed to the Member's Spouse following the splitting or assigning of rights, as mentioned herein, plus the accrued interest and benefits purchased with these amounts are unassignable and unseizable.
The right of any person under this Plan shall not be assigned, charged, anticipated, given as security or surrendered.
An assignment is not:
i) that which is carried out by a deceased Member's legal representative, when the estate is being settled;
ii) that which is pursuant to an order, judgment or decision by a competent court or a written settlement, following a marriage breakdown or similar situation in a conjugal relationship between the Member and his Spouse or former Spouse of the rights resulting from the marriage or similar situation, in accordance with the Applicable Pension Benefits Act.
Article 6.02 Amendment or Termination of the Plan
The Sponsor intends to maintain this Plan in force but reserves the right to amend or terminate the Plan without the consent of Members, should future circumstances so require. Such amendment or termination shall not reduce the Members' vested benefits arising from Employee and Employer contributions to the date of the amendment or termination. If this Plan is terminated, the Fund shall be used first to pay the pension for any Retired Member or Former Member, and for any Active Member as if that Member's Service had terminated on the date the Plan was terminated, all in accordance with applicable legislation. Where applicable, any surplus not necessary to fulfill the commitments of the Plan will be refunded to the Employer.
Article 6.03 Employer's Commitment
The Fund makes no commitment to pay benefits over and above the funds available and the Plan's obligations are not obligations of the Employer. The Employer's obligations are limited to the contributions payable under the provisions of the Plan in effect at that time.
Article 6.04 Right to Employment
The creation and continuation of this Plan shall not be interpreted as granting any right whatsoever to an Employee with respect to continued employment, nor will it hinder the Employer's rights to dismiss any Employee and to deal with him regardless of the consequences an Employee could be subject to as a Member.
Article 6.05
Transfer Agreement
The administrator may conclude an agreement, subject to the approval of the Employer, with any other registered supplemental pension plan, in order to count, for the purpose of this Plan, all or part of the period from the time an Employee started working for his former employer until he joined the Plan and to allow the Fund to receive the amounts or values from that other plan, as well as to provide for the payments to be made by the Fund to another fund for Employees who start working for a new employer in return for similar treatment.
The provisions of the transfer agreement and the amount to be transferred shall be determined by the Sponsor after consultation with the Actuary.
Article 6.06 Primary Purpose of the Plan
The primary purpose of the Plan is to fund and pay regular lifetime pension benefits to Members for their years of Pensionable Service under the Plan.
Article 6.07 Effective Date
Except where another effective date is stipulated for a specific clause, the provisions of this Plan text take effect on December 31, 2012.
Article 6.08 Information to be Provided before the Administrator Pays Benefits
Payment of benefits shall not be made until the person entitled to payment of the benefit delivers to the administrator,
(1) satisfactory proof of age of the person or persons who may become entitled to payment of the benefit and such other information as may be required to calculate and pay the benefit, and
(2) a signed declaration as to the marital status of the Member.
Article 6.09 Provision of Benefits
All benefits shall be paid out of the Fund. At the discretion of the administrator and subject to any restrictions in the Applicable Pension Benefits Act, benefit obligations may be discharged by using the assets of the Fund to purchase annuities from an Employer authorized to carry on a life insurance business in Canada.
Article 6.10 Non-Duplication of Benefits
Benefits payable under the Plan shall be reduced by the amount of any benefit paid under any other superannuation or pension plan of the Employer or under such plan of affiliated, associated or related companies in respect of the same period of employment.
Article 6.11 Beneficiary
A Member may designate in writing a Beneficiary to receive any amount payable in the event of the Member's death and shall be permitted to change the Beneficiary by making the change in writing provided there is no statutory restriction. If no Beneficiary has been designated or is surviving at the Member's death, any payment due shall be made in a lump sum to the executors and administrators, if any, of the Member's estate and otherwise such amounts shall be paid and distributed in accordance with the law of the Province in Canada which governs the estate.
Article 6.12 Incompetent
If the administrator receives satisfactory evidence that any person receiving a benefit or entitled to receive any benefit under the Plan is physically, mentally or legally incompetent to receive the benefit and to give a valid receipt therefor and that no guardian, committee or other representative of the estate of that person has been duly appointed, the benefit may be paid, at the discretion of the administrator,
a) where an individual or an institution is then maintaining or has custody of the person, to that individual or institution; or
b) to the court of proper jurisdiction for the credit of the person pursuant to the laws governing such payments into court;
and any such payment will be deemed a payment for the account of the person and will constitute a complete discharge for the payment of the benefit.
Article 6.13 Shortened Life Expectancy
Notwithstanding Article 6.14, a pension or deferred pension entitlement payable under this Plan shall be capable of being commuted, as permitted in accordance with the Applicable Pension Benefits Act, in the event that the life expectancy of the Member is likely to be considerably shortened by reason of his mental or physical disability.
Article 6.14 Refund
A pension required to be paid hereunder shall not be surrendered or commuted, in accordance with the Applicable Pension Benefits Act, except if:
a) the annual amount of the benefit is not greater than 4% of the YMPE or the Commuted Value of the benefits is less than 20% of the YMPE (or such other percentage or amount as may be prescribed by Applicable Pension Benefits Act), in the year in which the Ontario Member terminates employment with the Employer. In such event, the Commuted Value of the pension is paid in a lump sum in lieu of such pension. The Ontario Member may elect to transfer such lump sum to a non locked-in registered retirement savings plan or registered retirement income fund by delivering a direction to the administrator within the prescribed period.
Notwithstanding the preceding, an Ontario Member who terminates employment while a Member of the Plan, may elect to receive 25% of the Commuted Value of his vested pension accrued and granted prior to January 1, 1987 in a lump sum or as a transfer to a non locked-in registered retirement savings plan or registered retirement income fund by delivering a direction to the administrator within the prescribed period.
b) the Commuted Value of the benefits is less than 20% of the YMPE in the year for which the Quebec Member terminates employment with the Employer. In such event, the Quebec Member may request that the Commuted Value of the benefits be payable in a lump sum.
The preceding paragraph also applies to Quebec Members who ceased to be active prior to January 1, 2001 and Quebec Members whose pension benefits have not yet commenced.
The administrator may pay a Quebec Member's pension benefits in a lump sum when the Commuted Value is within the limit set out in the first paragraph herein, if the administrator has not received instructions regarding the method of refund within 30 days of mailing a request to that effect.
A Quebec Member who is no longer active and whose Service has terminated may request a refund of the Commuted Value of his pension benefits if he has not lived in Canada for at least 2 years.
If the Commuted Value of the benefits assigned to the Spouse in the event of marriage breakdown, dissolution or annulment of civil union, or cessation of conjugal relationship is less than 20% of the YMPE for the year in which the benefits are split, the Commuted Value of his benefit entitlement shall be paid to the Spouse in a single lump sum.
c) the annual amount of the benefit at normal retirement date is not greater than 4% of the YMPE or the Commuted Value of the annual amount of the benefit is not greater than 20% of the YMPE in the year in which the Manitoba Member terminates employment with the Employer. Moreover, the administrator shall authorize payment of the Commuted Value of the pension in a lump sum in lieu of such pension, if the Manitoba Member's retirement, termination of employment or death occurs on or after January 1, 1998. The Manitoba Member may also elect to make a transfer to a registered retirement savings plan; and
the Commuted Value of the pension is 25% or less in respect of Plan membership from July 1, 1976 to December 31, 1984 and the Manitoba Member is at least 45 years old but has not reached the normal retirement date under the Plan, has ceased to be an Active Member and, has completed a period of continuous employment under the Plan of at least 10 years, or was an Active Member for a continuous period of 10 years. In such event, the Manitoba Member may withdraw such amount as a lump sum in partial payment of the pension.
A Manitoba Member who is no longer active and whose Service has terminated and whose pension has not commenced may request a refund of the Commuted Value of his pension benefits if he is a non resident of Canada as defined in the Income Tax Act.
d) the annual amount of the benefit at normal retirement date is not greater than 4% of the YMPE or the Commuted Value of the annual amount of the benefit is not greater than 20% of the YMPE in the year in which the Alberta Member terminates employment with the Employer. Moreover, the administrator may, in its sole discretion, force payment of the Commuted Value of the pension in a lump sum in lieu of such pension, if the Commuted Value of the annual amount of the benefit is not greater than 20% of the YMPE in the year in which the Alberta Member terminates employment with the Employer.
An Alberta Member who is no longer active and whose Service has terminated and whose pension has not commenced may request a refund of the Commuted Value of his pension benefits if he is a non resident of Canada as defined in the Income Tax Act.
Effective November 1, 2006, an Alberta Member who has attained age 50 but not age 55 and who elects, within the 90 day period after receipt of the termination option statement provided by the Employer, to transfer the Commuted Value of his deferred pension to a life income fund pursuant to paragraph i) of Article 6.16, or to purchase a life annuity from a life insurance company pursuant to paragraph iv) of Article 6.16, shall be permitted at the time of such transfer or purchase, to make a one time election to unlock and take up to 50% of the Commuted Value of such pension in a lump sum payment or alternatively, transfer such Commuted Value to a registered retirement savings plan or registered retirement income fund. If the Alberta Member has a Spouse, the information required to be furnished by the Alberta Member's Spouse for this purpose must be completed in the prescribed time and in the prescribed manner as required under the Applicable Pension Benefits Act.
e) the annual amount of the benefit at normal retirement date is not greater than 10% of the YMPE or the Commuted Value of the annual amount of the benefit is not greater than 20% of the YMPE in the year in which the British Columbia Member terminates employment with the Employer. Moreover, the administrator may, in its sole discretion, force payment of the Commuted Value of the pension in a lump sum in lieu of such pension, if the Commuted Value of the annual amount of the benefit is not greater than 20% of the YMPE in the year in which the British Columbia Member terminates employment with the Employer.
A British Columbia Member may request a refund of the Commuted Value of his pension benefits if he is a non resident of Canada as defined in the Income Tax Act for at least 2 years, subject to the requirements of the Applicable Pension Benefits Act.
Article 6.15 Pension Commencement
Any pension is payable on the first day of each month starting on the first day of the month coincident with or next following the retirement date, the amount of each payment being equal to 1/12 of the annual pension.
Article 6.16 Transfer of Pension Entitlements
A Member who terminates employment with the Employer prior to 10 years before his normal retirement date and who is entitled to a deferred pension as described in the relevant Articles of Part B and C, as the case may be, may elect to have one of the following options:
i) to transfer the Commuted Value of his deferred pension to a locked-in or a non locked-in eligible prescribed retirement savings vehicle; or
ii) to transfer the Commuted Value of his deferred pension to another registered pension plan of which he is a member, providing the administrator of the other pension plan accepts such transfer; or
iii) to leave the Commuted Value of his deferred pension in this Plan, and receive a pension from this Plan commencing on his normal retirement date; or
iv) to transfer the Commuted Value of his deferred pension to purchase from a life insurance company licensed to transact business in Canada, an immediate or deferred life annuity, in accordance with the Applicable Pension Benefits Act.
In lieu of an immediate or deferred pension payable under this Plan and subject to Article 7.03 of Part C, the administrator may at its discretion, extend the transfer option set out in Article 6.16 above to a Member whose termination of employment with the Employer occurred within 10 years of his normal retirement date.
A Member's entitlement shall not be transferred pursuant to subsection (i), (ii) or (iv) above until the financial institution receiving the transfer agrees to administer the transferred monies as being locked-in in accordance with applicable federal and provincial legislation.
Transfers shall be subject to any legislation or regulations limiting such transfers when the solvency of the Plan may be impaired. Upon transfer of a Member's entitlements pursuant to subsection (i), (ii) or (iv) of this Article 6.16, the Member shall have no further entitlement under the Plan.
Article 6.17 Maximum Value Eligible for Transfer
Amounts transferred in accordance with Article 6.16 to a registered defined contribution pension plan and amounts transferred to a locked-in or a non locked-in eligible prescribed retirement savings vehicle shall not exceed the maximum amount prescribed for this purpose by the Income Tax Act. The excess of the Commuted Value, plus credited interest, if any, over the amount transferred shall be paid to the Member as a lump sum payment or in a prescribed retirement savings vehicle in accordance with Applicable Pension Benefits Legislation.
PART A - SECTION VII
ADMINISTRATOR OF THE PLAN
Article 7.01 Administrator of the Plan
The administrator of the Plan is the Sponsor.
The administrator shall be responsible for all matters relating to the administration, interpretation and application of the Plan.
The administrator shall make reasonable efforts to ensure that the Plan and the Fund are administered in accordance with the Applicable Pension Benefits Act and the Income Tax Act.
The administrator may employ one or more agents to exercise any of the powers conferred hereunder.
Article 7.02 Rules for Administration
The Sponsor may enact rules and regulations relating to the administration of the Plan that are necessary to properly carry out the terms hereof and may amend such rules and regulations from time to time. Such rules and regulations shall not conflict with any provision of this Plan.
Article 7.03 Plan Summary
The administrator shall provide each Employee with a written explanation of the terms and conditions of the Plan and amendments thereto applicable to him, together with an explanation of the rights and duties of the Employee with reference to the benefits available to him under the terms of the Plan.
Article 7.04 Notice of Amendment
The administrator shall provide a notice and written explanation of an amendment to the Plan to each Member, or other persons entitled to payment from the Fund who are affected by the amendment, within the time prescribed under the Applicable Pension Benefits Act.
Where an amendment results in a past service event which results in a certifiable past service pension adjustment (as defined under the Income Tax Act) in respect of a Member, the amendment shall not apply to such Member prior to certification of the past service pension adjustment in accordance with the Income Tax Act.
Article 7.05 Annual Statement
The administrator shall provide annually to each Member and to any other person, as prescribed by the Applicable Pension Benefits Act, a written statement containing the information prescribed under the Applicable Pension Benefits Act in respect of the Plan, the Member's pension benefits and any ancillary benefits.
Article 7.06 Statement of Termination of Employment
When an Active Member of the Plan terminates employment or otherwise ceases to be an Active Member, the administrator shall give to the Active Member, or to any person who as a result becomes entitled to a payment under the Plan, a written statement setting out the information prescribed under the Applicable Pension Benefits Act in respect of the benefits, rights and obligations of the Active Member or other person.
Article 7.07 Inspection of Documents
Within 30 days of written request or any period that may be prescribed under the Applicable Pension Benefits Act, the administrator shall make available the documents and information prescribed under the Applicable Pension Benefits Act in respect of the Plan and the Fund for inspection without charge by,
a) a Member;
b) a Former Member;
c) the Spouse of a Member or Former Member;
d) any other person entitled to pension benefits under the Plan; or
e) an agent authorized in writing by a person mentioned in clause a), b) and c).
An individual set out above in this Article 7.07 is entitled to make such an inspection not more than once in a calendar year.
The administrator shall permit the person making the inspection to make extracts from or to copy the prescribed documents and information. On request, the administrator shall provide the person making the inspection with copies of any of the prescribed documents or information upon payment to the administrator of a reasonable fee, subject to Applicable Pension Benefits Act.
PART A - SECTION VIII
PENSION PLAN AND FUND ADMINISTRATION
Article 8.01 Authority to Administer the Pension Plan and the Fund
Subject to the terms of the Plan, the provisions of the Applicable Pension Benefits Act, the Income Tax Act and any other applicable legislation governing the administration, investment or maintenance of pension funds eligible for registration under the Income Tax Act, the Fund shall be administered by the Funding Agent in accordance with the Funding Agreement.
Article 8.02 Rules, Policies, Procedures and Investments
The administrator shall adopt rules, policies and procedures for making decisions and proving such decisions and any other matters that shall be settled to properly administer the Plan.
Subject to the provisions of the Applicable Pension Benefits Act and the Income Tax Act the administrator shall direct the investment of the Fund in the manner provided in the Funding Agreement.
Article 8.03 Expenses
All normal and reasonable fees and expenses incurred in the operation of the Fund and the Plan shall be paid from the Fund. The Sponsor may, however, decide to pay, for one or several Fiscal Years, any fee or expense that the Sponsor determines to pay. Fees and expenses of the Sponsor and its agents are payable from the Fund unless prohibited under the Applicable Pension Benefits Act.
Article 8.04 Designation of a Trustee or Custodian
The administrator may entrust all funds in the Fund to one or more financial institutions, authorized to act as trustee or custodian, and may delegate to any such trustee or custodian its powers and responsibilities in the area of securities safekeeping and execution of investments.
Article 8.05 Insurance
The administrator may purchase liability insurance against errors or omissions made by the administrator or its employees, principals, representatives or appointees while administering the Plan. The administrator may also be insured against any liability with regard to a third party or the Plan. Insurance premiums paid to cover these risks comprise part of the Plan's administration expenses.
Article 8.06
Actuarial Valuation
At least once every 3 years, or more frequently if required by the Ontario Pension Benefits Act (R.S.O., 1990, c. P.8), the administrator shall commission an actuarial valuation of the Plan's assets and obligations and a report on this actuarial valuation.
Article 9.03
PART A - SECTION IX
TRANSFERS BETWEEN EMPLOYER'S PLANS
Article 9.01 Application
The provisions of this section apply to Employees who are Members of this Plan pursuant to Article 4.04 or who terminated their membership in this Plan to join an Other Plan and who did not avail themselves of any other transfer right they had under the Plan or, with respect to joining this Plan, the equivalent Article in the source plan.
Article 9.02 Employee's Benefit Entitlement
The Employee's benefit entitlement under one or the other of the plans in question shall be established according to the provisions of the respective plans.
Years of service in the plans shall be taken into consideration for the purpose of establishing eligibility for benefits under each plan. However, only Pensionable Service in this Plan shall be taken into consideration for the purpose of calculating benefits under this Plan.
Indexing after the Transfer Date
When a transfer occurs, the credited pension under the first plan shall be dealt with under the terms of that plan.
Article 9.04 No Earnings Increase after the Transfer Date
Pension credits under the first plan that were based on Final Average Earnings, as defined in Article 2.02 of Part B, shall be computed without regard to any changes in the Employee's Earnings, as defined in Article 2.12, or in the year's YMPE after the transfer date.
Article 9.05 Payment of Benefits
When a transfer occurs, there is no transfer of assets between the correspondent Funds; each fund shall remain the source of funds to pay the Employee's benefits under each respective plan.
PART A - SECTION X
MAXIMUM PENSION
Article 10.01 Maximum Pension
A) The annual pension for any Member, whether upon retirement, termination of employment, death or Plan wind-up, upon the first of these events to occur, including the allocated surplus where applicable, may not exceed the lesser of the following amounts:
a) the product of:
i) 2% multiplied by the number of years of Pensionable Service;
ii) the average annual compensation for the 3 consecutive bestcompensated years of Service; however if the Member has fewer than 3 years of Service, this average shall be established, on an annualized basis, for the entire period of Service;
b) the Defined Benefit Limit for the year in which retirement, termination of employment, death or Plan wind-up occurs, multiplied by the number of years of Pensionable Service.
B) Moreover, if the lifetime retirement benefits are payable for years of Pensionable Service completed before January 1, 1990 for which no portion of a year was credited before June 8, 1990 but credited to the Member, in whole or in part after June 7, 1990, the annualized amount of the life pension bought back may not exceed, whether upon retirement, termination of employment, death or Plan wind-up, the lesser of the following amounts:
a) the higher of:
i) 2/3rds of the Defined Benefit Limit for the year in which retirement, termination of employment, death or Plan windup occurs, multiplied by the number of years bought back;
ii) the amount of $1,150 multiplied by the number of years bought back;
b) 2% of the average annual compensation for the 3 consecutive bestcompensated years of Service, multiplied by the number of years of Service bought back.
Article 10.02 Maximum pension upon early retirement
The annual pension paid on the early retirement date will be reduced, as applicable, including the allocated surpluses, if any, so as not to exceed the lesser of the following amounts:
a) the maximum pension as set out in Article 10.01; and
b) the annual pension as set out in the relevant Articles of Part B or C of the Plan, as the case may be
reduced by 0.25%, multiplied by the number of months remaining between the effective date of retirement and the first of the following events:
i) the Member's 60th birthday;
ii) the date on which the Member would have completed 30 years of Service;
iii) the date on which the sum of the Member's age and number of years of Service would have equalled 80.
Article 10.03 Maximum Pension following a Transfer of Benefits to an Ex-Spouse
If the pension has been split with an ex-spouse, under no circumstances may it be adjusted to replace all or part of the pension transferred to the ex-spouse. Moreover, the transferred pension shall be taken into account in the calculation of the maximum pension payable to the Member.
Article 10.04 Additional Income Tax Requirements
For each calendar year from 1990 onwards, no pension adjustment may exceed the lesser of:
a) 18% of the Member's Compensation, or
b) the money purchase dollar limit defined in the Income Tax Act,
and where necessary benefits will be reduced accordingly.
PART A - SECTION XI
OPTIONAL FORMS OF PENSION
Article 11.01 Election of Optional Forms of Pension
A Member who has no Spouse, or a Member whose Spouse has duly waived his right to a joint and survivor pension provided under the relevant Articles of Part B and C, as the case may be, may, upon written notice to the administrator, choose to receive, instead of the normal retirement pension that would otherwise be payable to the Member under the relevant Articles of Part B and C, as the case may be, a pension in a different amount established on an Actuarial Equivalent basis, in an optional form provided under Article 11.02 and in accordance with the Applicable Pension Benefits Act and with the Income Tax Act.
The election of an optional form of pension is limited to forms that do not increase the pension adjustment for all Members.
Article 11.02 Optional Forms of Pension
If a Member elects to receive, instead of the pension that would otherwise be payable to the Member, a pension in a different amount established on an Actuarial Equivalent basis in accordance with Article 11.01, the Member may receive the pension in one of the following forms, subject to Article 11.03:
a) an Actuarial Equivalent pension payable for the Member's lifetime only;
b) an Actuarial Equivalent pension guaranteed to continue for a period of 10 years certain or 15 years certain and as long thereafter as the Member lives;
c) an Actuarial Equivalent joint and survivor pension, payable as long as the Member lives and continuing at the same or a reduced level after his death to the Member's Spouse for as long as such person shall survive the Member;
d) any other form of pension, payable on an Actuarial Equivalent basis, approved by the administrator and which conforms with the requirements, as amended from time to time, of the Applicable Pension Benefits Act and with the Income Tax Act.
Article 11.03 Other Considerations
(1) Guarantee Annuities-Limitations
The maximum guaranteed period that may be provided under the terms of a life annuity, to which a Member or a surviving Spouse may become entitled under this Plan, shall not exceed 15 years.
(2) Joint and Survivorship
a) Under this option, a Member will receive a reduced amount of pension which will be payable monthly during the Member's lifetime, with the full amount or a specified lesser percentage of the reduced pension being continued after his death to a joint annuitant(s) designated in writing by the Member. The Member may only designate as a joint annuitant(s) his spouse, former spouse or dependent in accordance with the requirements of the Income Tax Act. The survivor benefit payable to a single joint annuitant who is not a Spouse or former Spouse shall not exceed 66-2/3% of the amount payable to the Member before his death. The aggregate survivor benefit paid to all joint annuitant(s) shall not exceed 100% of the amount payable to the Member before his death.
b) Benefit payments under this option shall terminate with the payment for the month in which the death of the Member occurs, or if the designated joint annuitant(s) outlives the Member, the full amount or specified lesser percentage of the reduced pension, as applicable, will be paid to the joint annuitant(s) for a period not to exceed the period permitted by the Income Tax Act.
c) If the designated joint annuitant dies before the Member's pension commences, the election of this option shall be void, and the Member's retirement benefit shall be payable as if such election had not been made.
d) Before pension payments begin, the Member may also choose to guarantee payment of the pension for 10 years. In that case, the amount of the Member's pension shall be calculated on an Actuarial Equivalent basis with reference to the pension normally payable, providing for the 60% surviving spouse pension if the Member dies after the end of the guarantee period and if the Member has a Spouse who has not waived the right to the annuity.
(3) Pension Integrated with Government Sponsored Pensions
Any Member who retires before becoming eligible to receive government sponsored pension benefits may elect to receive a pension which shall be in a greater amount up to his date of becoming eligible for such benefits decreasing to a lesser amount after such date, and shall provide for, as far as possible, a level income from pension benefits under the Plan, the pension payable under the Old Age Security Act and/or the pension payable under the Canada or Quebec Pension Plan.
(4) Statutory Levelling Option for Quebec Members
Any person (hereinafter called "eligible person") who:
* is at least age 55 but not yet age 65, and
* is entitled to an immediate pension under the Plan, whether that person is a retiring Quebec Member, a Quebec Member who has left the Service of the Employer and is entitled to a deferred pension and is at least age 55 at the time of the request; or a surviving Spouse of such a Quebec Member,
is entitled to elect to receive a temporary pension. This option may take one of the following forms:
a) the eligible person is entitled to request, before commencement of any pension, that such pension be replaced, in whole or in part, by a temporary pension the amount of which is set by the Member or surviving Spouse, as the case may be, before commencement of the pension payment and which meets the following conditions:
i) the annual amount of the temporary pension may not exceed 40% of the YMPE for the year in which the temporary pension commences, reduced by the amount of the bridge benefit, if any;
ii) the annual amount of the temporary pension, including the bridge benefit, if any, may not exceed the maximum bridge benefit allowable under the Income Tax Act and its regulations;
iii) payment of the temporary pension shall end no later than the last day of the month following the month in which the eligible person reaches age 65.
The Commuted Value of the temporary pension shall be equal to the value, on an Actuarial Equivalent basis, at the time of replacement, of the pension or portion of the pension it is replacing.
To benefit from the provisions of sub-paragraph a), an eligible person cannot be receiving a temporary pension from another registered pension plan or one that is established by law or from an annuity contract for which the capital comes directly or not from such a plan and shall provide the administrator with a statement to that effect on the appropriate form.
Despite any provision to the contrary, a Member may select the temporary pension option under sub-paragraph a) without the consent of the Spouse. In such case, however, the Spouse is entitled to a surviving spouse pension equal to 60% of the pension payable to the Member.
b) Upon application to the administrator, an eligible person may request, not more than once a year and before the pension to which he is entitled commences, that the pension to which he is entitled be replaced, in whole or in part, by a lump sum equal to:
i) 40% of the YMPE for the year in which the request is made;
minus
ii) the total of all temporary income payable during the year under another registered pension plan or a plan established under the Applicable Pension Benefits Act, or an annuity contract purchased using funds from a pension plan or not, or a life income fund.
The application to the administrator shall be accompanied by a statement regarding the other sources of temporary income payable to the eligible person.
The amount of the annual payment is limited to the Commuted Value of the eligible person's benefits under the Plan at the time of the request.
The pension payable to the eligible person shall be reduced, on an Actuarial Equivalent basis, to take into account any payment made under sub-paragraph b) herein.
Article 11.04 Revocation of Waiver
The election of an optional form of pension under Article 11.01 may be revoked at any time before the pension commences. If the Member or, in the case of a joint and survivor form of pension, the Member's Spouse, dies before the pension commences, the election is automatically revoked.
Article 12.01
Article 12.02
PART A - SECTION XII
TEMPORARY LEAVES AND DISABILITY
Temporary Leave and Short-term Disability
Temporary Leave, Authorized Leave of Absence, periods of absence or leave during which any applicable employment standards legislation permits the Employee to maintain his membership in the Plan, including Family Leave, periods of disability during which the Member receives benefits under a group short-term disability insurance plan contracted by the Employer or interruptions in Service of up to 2 years or up to 54 weeks for a Manitoba Member do not terminate Plan membership for the purpose of determining a Member's benefits under Section VIII of Part B or Section VII of Part C. The period in question shall be included in the calculation of the credited pension provided the Employee continues to pay required contributions under the Plan and therefore accrues years of Pensionable Service, based on the Member's last option election in the Plan, if applicable, and on the Member's Earnings and the YMPE at the beginning of the period of absence.
However, subject to the requirements of any applicable employment standards legislation, temporary or unpaid leave taken after December 31, 1990 cannot be recognized except to the extent provided for in Article 2.25 of Part A.
Long-term Disability
Membership in the Plan shall continue during a Disability period. Such Disability period shall be included in the calculation of the credited pension based on the Employee's last option election in the Plan and on the Member's Earnings and the YMPE at the beginning of such period of absence. Furthermore, payments of contributions from the Employee are suspended during such Disability period.
Article 12.03 Maternity Leave
Membership in the Plan shall continue during Maternity Leave, subject to the time limit prescribed under any applicable employment standards legislation. The period in question shall be included in the calculation of the credited pension based on the Member's last option election in the Plan and on the Member's Earnings and the YMPE at the beginning of the period of absence. Furthermore, payments of contributions, where applicable, from the Employee are suspended during the period in question.
PART A - SECTION XIII
RETURN AFTER TERMINATION OF EMPLOYMENT
Article 13.01 New Employee
A Member who ceased to be a Member for a reason other than retirement or death and who withdrew his contributions plus interest or requested the transfer of his deferred pension pursuant to Article 8.04 of Part B and is subsequently rehired shall be deemed a new Employee.
Article 13.02 Discretion of the Sponsor
Notwithstanding the provisions of Article 13.01, the Sponsor may recognize a Member's years of Service and Pensionable Service accrued prior to the Member's termination of employment. In this case, the Member shall transfer to the Fund an amount equal to the amount that was refunded to the Member in a lump sum or as a transfer, plus accrued interest, at the interest rate and under terms of payment set by the Actuary.
Such a transfer shall be made from a registered retirement savings plan, a deferred profit-sharing plan, or another registered pension plan.
PART B
PROVISIONS APPLICABLE TO THE NON-CONTRIBUTORY AND CONTRIBUTORY OPTIONS OF THE PLAN
PART B – SECTION I
INTRODUCTION
Article 1.01 Application of Part B
The provisions of Part B apply to all persons who elect to participate under the Contributory Option or the Non-Contributory Option of the Plan.
PART B - SECTION II
DEFINITIONS
For the purpose of Part B of the Plan, the following terms and expressions have the meaning given below, unless a different meaning is required by the context.
Article 2.01 Designated Member
Management employee as designated by the Sponsor.
Article 2.02 Final Average Earnings
Average Earnings for the best 5 consecutive Years of Pensionable Service, under no circumstances to include any period after the date of termination of membership. If a Member has less than 5 Years of Pensionable Service, the real number of Years of Pensionable Service is used.
Article 2.03 Final Average Maximum Pensionable Earnings
The average of the YMPEs for the years used to calculate the Final Average Earnings.
Article 2.04 Financial Indicator
The average over 5 years ending the prior September 30 of the average yield on long-term (10 or more years) Government of Canada bonds (series B14013 of the Bank of Canada Review).
Article 2.05 Interest on Contributions
The interest corresponds to the rate of return on Plan assets, net of investment and administration fee; the terms for calculating and applying such interest are established by the Actuary.
Interest accrues from the first day of the month following the date on which at-source payroll contributions commence to the day the Employee terminates membership in the Plan or starts to receive a pension under the Plan.
PART B - SECTION III
PLAN OPTIONS
Article 3.01 Options
The Plan has 2 options:
a) the Non-contributory Option provides a retirement benefit under the Plan and the Employee does not contribute to the Plan;
b) the Contributory Option provides a retirement benefit under the Plan to the extent that the Employee makes the contributions required under Articles 4.01 and 4.02.
Article 3.02 Option Election
The Employee chooses an option in the manner described in Article 4.05 of Part A.
The Employee may elect a new option on each January 1 after completion of 3 years of Service under the same option. An Employee may make such election only if he is under age 50.
Article 3.03 Specific Provisions with respect to Suspended Members
When an Employee elects to suspend his membership under the Plan after participating in the Non-contributory Option or the Contributory Option of the Plan to become a Suspended Member, the pension credited to that Employee under the Non-contributory Option or the Contributory Option, as applicable, is determined on the election date, without taking into account any future changes in the Employee's Earnings or the YMPE. The Employee's retirement benefit is however determined, as applicable, upon the Employee's termination of Service, retirement or death.
If an Active Member terminates his membership in the Plan before employment termination because the Member no longer satisfies the definition of Employee or because the Active Member has elected to be a Suspended Member, the termination of membership shall, upon the Active Member's request, be treated as a termination of employment for the purpose of the Plan and the Active Member's benefits shall be established as at that date, unless the Active Member requests that the benefits be established at a later date, which may be no later than the employment termination date.
A Suspended Member is entitled to the following benefits:
a) in case of early retirement, to the early retirement reduction set out in Article 5.02;
b) in case of death after retirement, to the death benefit set out in Article 7.04.
Article 3.04 Specific Provisions with respect to the Non-contributory and
Contributory Options
When an Employee switches to the Non-contributory Option or the Contributory Option of the Plan immediately after having been a Suspended Member, only the portion of the Employees' credited pension benefit for the new period of participation in the Non-contributory Option or the Contributory Option shall take into account any future changes in the Employee's Earnings or the YMPE.
PART B - SECTION IV
EMPLOYEE CONTRIBUTIONS
Article 4.01 Regular Employee Contribution
The regular contribution of a Member under the Contributory Option of the Plan is determined as follows:
a) 3.5% of the Member's Earnings up to the YMPE, plus
b) 5.0% of the portion of the Member's Earnings that exceed the YMPE.
However, as required under the Income Tax Act, no such Member shall contribute, pursuant to this Article 4.01, to the Plan in any Fiscal Year an amount exceeding the lesser of:
a) 9% of the Member's total Compensation received from the Employer; and
b) $1,000 plus 70% of the pension credit for the calendar year as defined under the Income Tax Act.
The Earnings used for the purpose of this Article shall, however, be limited to 50 times the Defined Benefit Limit that may be credited for the year, plus 30% of the YMPE.
Article 4.02 Designated Members
Notwithstanding the provisions of Article 4.01, a Designated Member shall pay regular contributions equal to 5% of the Member's Earnings.
However, as required under the Income Tax Act, no such Member shall contribute, pursuant to this Article 4.02, to the Plan in any Fiscal Year an amount exceeding the lesser of:
a) 9% of the Member's total Compensation received from the Employer; and
b) $1,000 plus 50% of the pension credit for the calendar year as defined under the Income Tax Act.
The Earnings used for the purpose of this Article shall, however, be limited to 50 times the Defined Benefit Limit that may be credited for the year.
Article 4.03 Payment of Contributions
The Employer shall pay the Employee contributions into the Fund within the time limit prescribed in the Ontario Pension Benefits Act (R.S.O., 1990, c. P.8).
The administrator shall keep a register for each Member to record the contributions and other amounts received or paid on the Member's behalf.
PART B - SECTION V
RETIREMENT DATES
Article 5.01 Normal Retirement Date
A Member's normal retirement date is the first day of the month coincident with or next following the Member's 65th birthday.
Except when payment of a Member's pension is postponed because the Member is still in the Employer's service, the Member is entitled to begin the payment of the normal retirement pension credited to the Member on the Member's normal retirement date.
Article 5.02 Early Retirement Date
An Active Member may retire before the normal retirement date as of the age of 55.
The pension payable to a Member who has attained age 61 or more at his retirement is the pension credited at his retirement date.
The pension payable to a Member who has not attained age 61 at his retirement is the pension credited at his retirement date, reduced by 1/2 of 1% for each full month between the effective retirement date and the first day of the month coincident with or next following the Member's 61st birthday.
However, the reduction applied may not be greater than that obtained on an Actuarial Equivalent basis nor lesser than the reduction set out in Article 10.02 of Part A.
Article 5.03 Postponed Retirement Date
If a Member remains in the service of the Employer after the Member's normal retirement date, the Member's credited pension is then postponed to the Member's effective retirement date or no later than December 31 in the year in which the Member reaches age 71 or such other age limit or date as may be provided under the Income Tax Act.
Subject to Applicable Pension Benefits Act, the Member may, upon request, receive all or part of the Member's pension during the postponement period, but only to the extent required to compensate for any permanent reduction in remuneration that occurs during the postponement period. Upon commencement of part of the pension benefit, the Member's contributions and pension amounts shall no longer accumulate, but the indexing as provided under Article 6.03 shall apply. The Member may exercise this right only once in any 12-month period. If such pension is equal to the Member's total pension entitlement, the pension commencement date shall constitute the end date of the postponement period.
Subject to Applicable Pension Benefits Act, upon agreement with the Employer, the Member may receive the full pension benefit without reference to the limit set in the second paragraph in this Article. The date this pension commences shall constitute the end date of the postponement period.
At the end of the postponement period, the pension payable to the Member is equal to the sum of:
a) the adjusted normal pension
This pension is adjusted on an Actuarial Equivalent basis and reduced to take into account, as applicable, amounts paid during the postponement.
The adjusted pension is equal to the amount such that the present value of future payments of such a pension is equal to the sum of the following 2 values:
i) the Commuted Value of the normal pension payments that would have been made after the postponement period if the Member had retired on the normal retirement date, plus
ii) the value, plus interest to the end of the postponement period, of the normal pension payments that would have been made from the normal retirement date to the end of the postponement period if the Member had retired on the normal retirement date, such payments being reduced to take into account, as applicable, the amounts that were paid during the postponement period under the second paragraph herein.
b) the pension credited during the postponement period
This pension is equal to the pension credited under Section VI for membership from the normal retirement date to the end of the postponement period. The Commuted Value of this pension may not be less than the contributions made by the Member during the postponement period, plus interest as provided under Article 2.05.
The present and accrued values in a) ii) shall be calculated using the same assumptions as are used to compute the Commuted Values.
Article 5.04 Phased Retirement
A Quebec Member or an Alberta Member whose working time is reduced pursuant to an agreement with the Employer and who is age 55 or older is entitled to request, in each year covered by the agreement, the lump-sum payment of a benefit equal to the lesser of the following amounts:
a) 70% of the reduction in Earnings related to the reduction in the Member's working time during the year;
b) 40% of the YMPE for the year in question, reduced proportionate to the number of months covered by the agreement;
c) the value of the Member's benefits under the Plan established as if the Member's Service had terminated on the date on which the Member requests payment of the benefit.
The pension eventually payable to the Member shall be reduced, on an Actuarial Equivalent basis, to take into account payment of the benefit specified herein. However, the Commuted Value of the pension reduction may not be higher than the amount of such benefit. Any other benefit that may be paid by the Plan after payment of the benefit provided for herein shall also be reduced accordingly.
The Member shall remain an Active Member and the Member's pension benefits shall continue to accrue in the Plan during the period covered by the agreement, in accordance with Section VI, even if the Member receives a lump-sum under this Article.
PART B - SECTION VI
PENSION BENEFITS
Article 6.01 Normal Retirement Pension
a) Non-contributory Option
The credited pension for years of Pensionable Service in the Noncontributory Option of the Plan is equal to 0.80% of the Final Average Earnings up to the Final Average Maximum Pensionable Earnings plus 1.25% of the Final Average Earnings in excess of the Final Average Maximum Pensionable Earnings, multiplied by the number of years of Pensionable Service in the Non-contributory Option of the Plan.
For the purpose of applying the provisions herein for the Non-contributory Option, Earnings are limited to an annual maximum of 50 times the Defined Benefit Limit that can be credited for the year plus 30% of the YMPE. However, the annual maximum may not be less than $104,561.
b) Contributory Option
The credited pension for years of Pensionable Service in the Contributory Option of the Plan is equal to 1.4% of the Final Average Earnings up to the Final Average Maximum Pensionable Earnings plus 2.0% of the Final Average Earnings in excess of the Final Average Maximum Pensionable Earnings, multiplied by the number of years of Pensionable Service in the Contributory Option of the Plan.
c) Designated Member
The credited pension for years of Pensionable Service as a Designated Member equals 2% of the Final Average Earnings multiplied by the number of years of Pensionable Service as a Designated Member.
For Years of Pensionable Service between January 1, 1986 and December 31, 1991 as a Designated Member, the Commuted Value of the credited pension under Article 6.01 b) may not be less than the accrual plus interest, of an amount equal to 5% of the Designated Member's Earnings subject to a maximum of $3,500 by the number of years of Pensionable Service in the Contributory Option of the Plan. The interest is calculated at the rate and in the manner set out in Article 2.05.
In accordance with Article 2.12 of Part A, the earnings used to calculate the Final Average Earnings in the previous paragraph include the bonus paid to a Designated Member.
d) Service before January 1, 1989
The provisions of Articles 6.01 b) apply to years of Pensionable Service before January 1, 1989 for all Active Members.
Notwithstanding the preceding, the credited pension for Pensionable Service at December 31, 1985 may not be less than 1.4% of the average Earnings for the years 1987, 1988 and 1989 up to the average of the YMPE for these same years plus 2.0% of the excess of the average Earnings for the years 1987, 1988 and 1989 over the average of the YMPE for these same years, multiplied by the number of years of Pensionable Service at December 31, 1985. The credited pension thus calculated may not be less than the credited pension at December 31, 1985 under the provisions of the "Régime de rentes pour les employés de Quebecor inc. et ses filiales", as it read on December 31, 1985.
Article 6.02 Pension Buy-Back
The Sponsor reserves the right to permit an Active Member to buy back the years of Service during which the Active Member was employed by an Employer who participates in the Plan. The amount to be paid and the methods of payment are determined by the Actuary at the request of the Sponsor and are subject to the Income Tax Act.
Article 6.03 Indexing
On February 1 of each year, the pensions of Retired Members as at December 31 of the previous year shall be increased by a percentage equal to the amount, if any, by which the Financial Indicator for the year in question exceeds 7%; however, for a Member who becomes a Retired Member during the 12 months prior to February 1 of the year in question, the percentage will be prorated based on the months that have elapsed since the Member's retirement.
The indexing in the preceding paragraph may not be less than the indexing calculated based on the most generous formula, if any, prescribed by the Applicable Pension Benefits Act.
Notwithstanding the preceding, the pension payable to a Retired Member, excluding the adjustment set out in Article 5.03 if applicable, may not exceed the maximum pension described in Article 10.01 of Part A indexed to reflect increases in the Consumer Price Index since the retirement, termination of employment or Plan wind-up. Under no circumstances may the indexing exceed the maximum permitted by the Income Tax Act.
Article 6.04 Excess Contributions
Upon termination of employment, death or retirement, the excess of the regular contributions made by the Member and accrued plus interest on 50% of the Commuted Value of the credited pension for participation under which these contributions were made, shall be refunded to the Member or, if the Member is deceased, to the Beneficiary of the other death benefits provided under Section VII or, if provided for by Applicable Pension Benefits Act, shall be transferred to the Member's registered retirement savings plan or registered retirement income fund.
However, if the Member is subject to an Applicable Pension Benefits Act that does not permit the refund of the excess for some or all of the Pensionable Service, the credited pension under Article 6.01 for said participation shall be increased by the pension that the excess amount may provide on an Actuarial Equivalent basis, such increase being determined in the manner and at the time prescribed by the Applicable Pension Benefits Act.
Article 6.05 Bridge Benefit
A Designated Member who retires before age 65 and who has at least 10 years of Pensionable Service in the Plan shall receive a bridge benefit equal to the annual pension as determined under Article 5.02 minus the annual pension as determined under Article 10.02 of Part A. This difference cannot be negative and cannot exceed the interim benefit established according to the following rules:
a) the interim benefit shall be equal to the maximum benefit payable under the terms of the Old Age Security Act plus the benefit payable under the Canada Pension Plan or the Quebec Pension Plan for which the Designated Member would be eligible had the Designated Member reached age 65 when the payment of these benefits began;
b) when the interim benefit becomes payable, it shall be reduced as necessary to comply with the stipulations of the Income Tax Act;
c) the payment of interim benefits shall cease at the end of the month following the month in which the Designated Member reaches age 65.
Notwithstanding the preceding, the bridge benefit set forth in this Article shall be reduced, if necessary, so that the total of the annual lifetime pension plus the bridge benefit does not exceed the total of:
a) the Defined Benefit Limit times the years of Pensionable Service in the Plan, and
b) the Canada Pension Plan/Quebec Pension Plan benefit times the years of Pensionable Service in the Plan, with a maximum of 35 years;
where the Canada Pension Plan/Quebec Pension Plan benefit is equal, for each year of Pensionable Service, to 1/35th of the benefits payable under the Canada Pension Plan or the Quebec Pension Plan to which the Designated Member would be entitled had he reached age 65 upon commencement of such benefit payments.
Should the Designated Member die before payment of this bridge benefit ends, the Member's Spouse shall receive a bridge benefit equal to 60% of the bridge benefit the Member was receiving before death. This benefit shall be paid to the end of the month in which the Spouse dies or in which the Designated Member would have turned 65, whichever comes first. If there is no Spouse, or if the Spouse has signed a waiver, the benefit shall terminate at the end of the month in which the Designated Member dies or turns 65, whichever comes first.
Article 6.06 Minimum benefits in the event of termination of employment, death
before retirement, and retirement
The Commuted Value of the credited pension cannot be less than 2 times the accrued contributions plus interest for years of Pensionable Service as a Designated Member.
PART B - SECTION VII
DEATH BENEFITS
Article 7.01 Death before Retirement
Subject to the paragraphs below, if a Member dies before retirement, the Commuted Value of the credited pension under Section VI and including, if any, the additional pension benefit provided under Article 8.02 shall be paid to the Member's Spouse or, if there is no Spouse or the Spouse has signed a waiver, to the Beneficiary.
If the beneficiary is the Spouse of an Ontario Member, the benefit shall be paid, at the Spouse's election, in the form of an immediate or deferred pension, in a lump sum payment equal to the Commuted Value of the benefit or as a transfer to a non locked-in registered retirement savings plan or registered retirement income fund, within 90 days of being informed of these options. Payment of the deferred pension shall commence on the first day of the month coincident with or next following the Spouse's attainment of age 65.
If the beneficiary is the Spouse of a Manitoba Member, of an Alberta Member, or of a British Columbia Member, the benefit shall be paid in the form of an immediate pension unless the Spouse requests that it be transferred to a locked-in RRSP, another registered pension plan, if such plan allows this, or to an annuity contract or such other retirement vehicules as may be permitted under the Applicable Pension Benefits Act.
Provided that a waiver is permitted by the Applicable Pension Benefits Act, the Spouse may waive the benefit entitlement set out in this Article or in Article 7.02, in the manner and in the form prescribed by the Applicable Pension Benefits Act. Such waiver shall be in writing and sent to the administrator before the date of the Member's death in accordance with Applicable Pension Benefits Act. The Spouse may revoke the waiver, provided the administrator receives written notice thereof before the date of the Member's death.
Article 7.02 Death when Eligible for Retirement
Notwithstanding the provisions of Article 7.01, if a Member dies before retirement at a time when he could have been retired under Articles 5.01, 5.02 or 5.03, the Member is deemed to have retired on the day before his death, and his Spouse shall be entitled to the benefit set out in Article 7.04. If there is no Spouse or the Spouse has signed a waiver in accordance with Article 7.01, the Member's accrued regular contributions, if any, plus interest shall be paid to the Beneficiary.
In any case, the amount provided under the preceding paragraph shall not be less than the Commuted Value of the benefit set out in Article 7.01.
If the beneficiary is the Spouse of an Ontario Employee, the same pension payment options apply as specified in the second paragraph of Article 7.01.
Article 7.03 Death after the Normal Retirement Age
If a Member dies after the normal retirement age and at least part of the Member's pension is still deferred, the person who was the Member's Spouse on the date of death shall receive a pension, unless the Spouse has waived payment in the form of a pension, in which case the benefit shall be paid in a lump sum equal to the value of the benefit otherwise payable to the Spouse or at the option of the Spouse of a Manitoba Member, as a transfer to a registered retirement savings plan. The Spouse of an Ontario Member has the same pension payment options as those specified in the second paragraph of Article 7.01.
The pension shall take the form of a surviving spouse pension payable under the terms and conditions set out in Article 7.05 as if the Member had retired on the day before his death. The Actuarial Equivalent value of the pension payable may not be less than the Actuarial Equivalent value of the benefit payable under Article 7.01. Any required adjustment shall be prorated on the basis of the Commuted Values.
If the Member is receiving a partial pension under Article 5.03, the death benefit payable under the above provisions shall be based solely on the portion of the pension that has not yet been paid.
The death benefit payable for the portion of the pension that has already been paid shall take the form of a surviving spouse pension subject to the terms and conditions of payment set out in Article 7.05.
If there is no Spouse or if the Spouse has signed a waiver, the benefit shall be paid to the Beneficiary in a lump sum equal to the value of the benefit otherwise payable to the Spouse.
Article 7.04 Death after Retirement
Upon the death of a Retired Member, his Spouse shall receive a pension equal to 60% of the pension payable to the Retired Member at that time.
If a Member has a Spouse at the time of retirement and the Member and/or Spouse has not signed a waiver as described below, failure to elect to receive a form of payment other than the joint and survivor pension shall be deemed an implied election of the joint and survivor pension.
Article 7.06
The Member's Spouse (and the Member, if required under the Applicable Pension Benefits Act) may waive this right or revoke such waiver, provided the administrator receives written notice thereof before pension payments commence in accordance with the Applicable Pension Benefits Act.
However, if the Member has no eligible Spouse or if there is a signed waiver as described above, the benefits payable on the death of a Retired Member shall be subject to Article 7.06.
Article 7.05 Pension Paid to Surviving Spouse
The pension payable to the surviving Spouse under Article 7.02 or 7.04 or, if applicable, Article 7.01 shall be paid on a monthly basis beginning the first day of the month next following the Member's death. The final payment shall be made on the first day of the month in which the Spouse dies.
Notwithstanding the above, if the annual amount of the benefit payable to the surviving Spouse of an Ontario Member under Section 7.04 is not greater than 4% of the YMPE or the Commuted Value of such benefit is less than 20% of the YMPE (or such other percentage or amount as may be prescribed by Applicable Pension Benefits Act), in the year in which the Ontario Member dies, the Commuted Value of the benefit is paid in a lump sum in lieu of such pension.
The surviving Spouse of an Ontario Member may also elect to transfer such lump sum to a non locked-in registered retirement savings plan or registered retirement income fund by delivering a direction to the administrator within the prescribed period.
Minimum Benefits
If the total benefits paid to the Retired Member and, where applicable, to the Member's Spouse are less than the Member's accrued regular contributions plus interest to the Member's retirement date, the Member's Beneficiary shall receive the balance in the form specified by the administrator and consistent with Article 8503(4)(d) of the Income Tax Act.
PART B - SECTION VIII
TERMINATION BENEFITS
Article 8.01 Deferred Pension
When active Membership is terminated for a reason other than death or retirement, the Member shall receive a deferred pension that becomes payable on the normal retirement date, and is equal to the credited pension as at the termination date pursuant to Section VI.
Article 8.02 Additional Pension Benefit
A Quebec Member who ceases to be an Active Member before age 55 is entitled to an additional pension benefit, determined as set forth in the Quebec Regulation respecting supplemental pension plans. The value of this additional pension benefit is equal to the difference between A and B below, where:
A is the value of the pension determined in accordance with the second paragraph of this Article and its related benefits, increased by the excess contributions determined as set forth in the Regulation respecting supplemental pension plans.
B is the value of the benefit to which the Member would have been entitled irrespective of this Article and its related benefits, increased by the excess contributions determined as set forth in this Plan.
For the purpose of calculating A above, the value of a pension with the same characteristics as the normal pension is calculated as if the pension payment were to begin on the Member's normal retirement date and as if it were indexed from the time the Member ceased to be active to the date the Member turns 55. The indexing rate is 50% of the change in the seasonally unadjusted All-items Consumer Price Index for Canada published by Statistics Canada between the month in which the Member ceased to be active and the month in which indexing ends; the annualized rate of this indexing may not be less than 0% or more than 2%.
When a Quebec Active Member dies, the value of the additional pension benefit shall be established as if the Quebec Member had ceased to be a Quebec Active Member on the date of death for a reason other than death.
The additional pension benefit shall be calculated based on years of Pensionable Service.
The additional pension benefit is payable as a lump sum.
Article 8.03 Early Retirement
A Member who is entitled to a deferred pension under Article 8.01 may start to receive it at age 55, in which case the pension shall be reduced on an Actuarial Equivalent basis and subject to the limitations set out in Article 10.02 of Part A.
Notwithstanding the preceding, a Designated Member who is entitled to a deferred pension under Article 8.01 may begin receiving this pension at age 55. In this case, the pension shall be reduced in accordance with Article 5.02, and subsequently shall be subject to the provisions of Article 10.02 of Part A.
Article 8.04 Transfer of Pension Entitlements
A Member who is no longer active is entitled to transfer the Commuted Value of his pension entitlements in accordance with Article 6.16 of Part A.
Article 8.05 Ontario Special Early Retirement Grow in Rights
For the purpose of this Section, an "activating event" is:
a) The termination of employment of the Ontario Member by the Employer on or after July 1, 2012 when termination of employment is not due to wilful misconduct, disobedience or wilful neglect of duty by the Ontario Member that is not trivial and has not been condoned by the Employer;
b) The Plan wind up if the effective date of wind up is on or after April 1, 1987;
c) The occurrence of such other events as may be prescribed in such circumstances as may be specified by the Applicable Pension Benefits Act.
From July 1, 2012, an Ontario Member whose combination of age plus years of Service or years of participation in the Plan equals at least 55 on the effective date of an activating event is entitled to:
a) An immediate pension in accordance with the terms of the Plan, if the Ontario Member is eligible for immediate payment of the pension, and calculated using years of Pensionable Service up to the activating event;
b) A pension in accordance with the terms of the Plan, calculated using years of Pensionable Service up to the activating event, beginning at the earlier of:
i) the normal retirement date; or
ii) the date on which the Ontario Member would be entitled to an unreduced pension under the Plan if the activating event had not
occurred and if the Ontario Member's membership continued up to that date; or
c) A reduced pension in the amount payable under the terms of the Plan, calculated using years of Pensionable Service up to the activating event, beginning on the date on which the Ontario Member would be entitled to the reduced pension under the Plan if the activating event had not occurred and if the Ontario Member's membership continued up to that date.
d) If his years of Service or years of participation in the Plan equal at least 10 on the date of the activating event, any bridging benefits offered under Part B of the Plan to which the Ontario Member would be entitled if the activating event had not occurred and if his membership were continued.
A benefit described above for which the Ontario Member has met all eligibility requirements under this Article shall be included in calculating the Ontario Member's pension benefit or the Commuted Value of his pension benefit.
PART C
PROVISIONS APPLICABLE TO FORMER MEMBERS OF THE SUN MEDIA CORPORATION PLAN
PART C - SECTION I
INTRODUCTION
Article 1.01 Application of Part C
The provisions of Part C apply to persons who were covered by the Sun Media Corporation Plan on June 29, 2003.
Therefore, benefits in respect of any year of Service are determined solely in accordance with the provisions of Part C of the Plan. Entitlements to benefits in respect of any year of Service are determined in accordance with the entitlement rules included in the provisions of Part C of the Plan, but taking into account all years of Service and the continuation of membership under the Plan.
Article 1.02 Election to participate to Part B
Notwithstanding Article 1.01, if Employees elect to participate in the Noncontributory Option or the Contributory Option of the Plan in accordance with Article 4.05 of Part A, benefits and entitlements to benefits in respect of their years of Service on and after the effective date of their election are determined in accordance with the provisions of Part B. For greater certainty, Pensionable Service under Part C shall be frozen on the date of effect of the member's election.
Article 1.03 Specific Provisions with respect to Suspended Members
When an Employee elects to be a Suspended Member after participating under Part C of the Plan, the pension credited to that Employee under Part C of the Plan is determined on the election date, without taking into account any future changes in the Employee's Earnings or the YMPE. The Employee's retirement benefit is however determined, as applicable, upon the Employee's termination of Service, retirement or death.
In addition, Pensionable Service under Part C shall be frozen on the date of effect of the Member's election.
If an Active Member terminates his membership before employment termination because the Active Member no longer satisfies the definition of Employee or because the Active Member has elected to be a Suspended Member, the termination of membership shall, upon the Active Member's request, be treated as a termination of employment for the purpose of the Plan and the Active Member's benefits shall be established as at that date, unless the Active Member requests that the benefits be established at a later date, which may be no later than the employment termination date, subject to the provisions of Applicable Pension Benefits Act.
A Suspended Member is entitled, in case of early retirement, to the early retirement reduction set out in Article 4.02.
PART C - SECTION II
DEFINITIONS
For purposes of Part C of the Plan, the following terms and expressions shall have the meanings given below, unless a different meaning is clearly required by the context.
Article 2.01 Plan Earnings
The Member's basic annual rate of remuneration in effect on June 30th of the Fiscal Year, multiplied by the Member's number of month of Pensionable Service in the Fiscal Year then divided by 12, plus Commissions, all as determined by the Employer, and does not include any bonus, overtime, or any other compensation received from the Employer, except as noted below:
(1) For an Employee who ceases to be an Active Member in the Plan due to termination of employment, transfer to a non-participating subsidiary, affiliated or associated Employer, death or retirement prior to June 30th of the Fiscal Year, Plan Earnings shall mean the Member's basic annual rate of remuneration in effect on June 30th of the year immediately preceding the Fiscal Year, multiplied by the Member's number of months of Pensionable Service in the Fiscal Year then divided by 12, plus Commissions, all as determined by the Employer, and which does not include any bonus, overtime or any other compensation received from the Employer.
(2) For an Employee who becomes a Member after June 30th of the Fiscal Year, Plan Earnings shall mean the Member's basic annual rate of remuneration upon enrolment in the Plan multiplied by the Member's number of months of Pensionable Service in the Fiscal Year then divided by 12, plus Commissions, all as determined by the Employer, and which does not include any bonus, overtime or any other compensation received from the Employer.
PART C – SECTION III
EMPLOYEE CONTRIBUTIONS
Article 3.01 Employee Contributions Not Required
Employee contributions to Part C of the Plan are not required or permitted.
PART C – SECTION IV
RETIREMENT DATES
Article 4.01 Normal Retirement Date
A Member's normal retirement date is the first day of the month coincident with or next following the Member's 65th birthday.
Article 4.02 Early Retirement Date
A Member who completes 2 years of Service while a Member of Part C of the Plan may elect to retire from employment with the Employer on an early retirement date, which for purposes of the Plan, means the first day of any month following the month in which the Member attains age 55 and preceding the month in which the Member's normal retirement date occurs and on which the Member retires pursuant to this Article 4.02.
Each Member who retires on the early retirement date may elect to receive his pension benefits commencing on the first day of any month following the Member's early retirement date and preceding the normal retirement date. Such pension shall be calculated in accordance with Article 5.01, subject to the maximum pension as provided in Article 10.02 of Part A, and shall be reduced by:
(1) 1/4 of 1% for each of the first 60 months by which the payment commencement date precedes the normal retirement date, and
(2) 1/2 of 1% for each of the next 60 month by which the payment commencement date precedes the normal retirement date;
provided that the benefits payable shall be at least the Actuarial Equivalent of the pension deferred to the Member's normal retirement date.
Notwithstanding any provision to the contrary, an Alberta Member who has elected to suspend his membership in the Sun Media Corporation Plan to participate in a group RRSP sponsored by the Employer and whose age plus years of Service or membership in the Sun Media Corporation Plan was at least 55 on the effective date of the partial wind-up (June 30, 1997), shall be entitled to receive a reduced pension payable in accordance with this Article 4.02 beginning on the date on which the Member would be entitled to the reduced pension if the partial wind-up was not declared and his membership in the Plan continued to that date.
Article 4.03 Postponed Retirement Date
If a Member remains in the employ of the Employer beyond his normal retirement date he may retire on a postponed retirement date. Postponed retirement date means the earliest of:
(1) the first day of the month following the Member's normal retirement date and upon which the Member retires pursuant to this Article 4.03, and
(2) December 31 of the calendar year in which the Member attains age 71 or such other age limit or date as may be provided under the Income Tax Act.
Each Member who retires on a postponed retirement date shall receive a benefit payable in equal monthly instalments commencing on the postponed retirement date equal to the greater of:
a) the benefit accrued to the postponed retirement date calculated in accordance with Article 5.01, and
b) the Actuarial Equivalent of the benefit accrued to the Member's normal retirement date.
PART C – SECTION V
PENSION BENEFITS
Article 5.01 Normal Retirement Pension
Each Member who retires on the normal retirement date shall receive an annual pension, payable in equal monthly instalments, in an amount equal to:
(1) For executive Members so designated by the Employer prior to January 1, 1991:
a) 2% of the Member's basic annual rate of pay on June 30, 1994, plus 1994 Commissions, all multiplied by his period of Pensionable Service from January 1, 1973 to December 31, 1994, plus
b) 2% of total Plan Earnings during the period of Pensionable Service on and after January 1, 1995.
(2) For executive Members so designated by the Employer on and after January 1, 1991:
a) 1% of the Member's basic annual rate of pay on June 30, 1994, plus 1994 Commissions, all multiplied by his period of Pensionable Service from January 1, 1973 Date to December 31, 1994, plus
b) 1% of the Member's basic annual rate of pay on June 30, 1994, plus 1994 Commissions, all multiplied by his period of Pensionable Service from the January 1st coincident with or next following the date on which the Member became an executive Member, as designated by the Employer, to December 31, 1994; plus
c) 1% of the total Plan Earnings during the period of Pensionable Service on and after January 1, 1995 and prior to the January 1st coincident with or next following the date on which the Member became an executive Member as designated by the Employer; plus
d) 2% of total Plan Earnings during the period of Pensionable Service on and after the January 1, 1995 and on and after the January 1st coincident with or next following the date on which the Member became an executive Member as designated by the Employer.
(3) For each other full-time Member:
a) 1% of the full-time Member's basic annual rate of pay on June 30, 1994, plus his 1994 Commissions, all multiplied by his period of Pensionable Service from January 1, 1973 to December 31, 1994; plus
b) 1% of total Plan Earnings during the period of Pensionable Service on and after January 1, 1995.
(4) For each other part-time Member:
a) 1% of the part-time Member's Plan Earnings in 1994, multiplied by his period of Pensionable Service to December 31, 1994; plus
b) 1% of total Plan Earnings during the period of Pensionable Service on and after January 1, 1995.
Notwithstanding the above, the amount of benefit under Article 5.01(1)a), 5.01(2)a) and b), 5.01(3)a) and 5.01(4)a) shall not be less than the Member's accrued benefit as at December 31, 1994, pursuant to the provisions of the Sun Media Corporation Plan then in effect.
PART C – SECTION VI
DEATH BENEFITS
Article 6.01 Normal Form of Pension
Subject to Article 6.02, if a Member does not have a Spouse on the date on which pension payments commence, his pension shall be payable in equal monthly instalments for the life of the Member. If the Member dies before having received 120 monthly payments, then such payments will continue to his Beneficiary until a total of 120 payments have been made to the Member and his Beneficiary.
Article 6.02 Joint and Survivor Pension
(1) If a Member has a Spouse, on the date on which pension payments commence, his pension shall be payable in equal monthly instalments until the first date of the month in which the Member dies, and 60% of the amount payable to the Member shall continue to be paid to such surviving Spouse of the Member, commencing on the first day of the month following the month in which the death of the Member occurs and ending on the first day of the month in which such Spouse dies.
(2) The benefit payable under this Article 6.02 shall be equal to the Actuarial Equivalent of the benefit described in Article 6.01.
(3) A Member who has a Spouse may not elect any other form of pension payment unless:
a) the amount of the pension payable to the survivor of the Member and the Member's Spouse is at least equal to 60% of the benefit that was payable to the Member during the Member's lifetime, or
b) the Member delivers to the administrator, within the 12 month period immediately preceding the date upon which payment of the pension is to commence or such other period as may be prescribed by Application Pension Benefits Act, the written consent of the Member's Spouse, in the form prescribed under the Applicable Pension Benefits Act.
Article 6.03 Death Before Retirement
(1) If a Member or Former Member dies before payment of his pension benefit commences, the Spouse of the Member or Former Member, shall receive a death benefit having a Commuted Value equal to the benefit to which the Member or Former Member had a vested entitlement under Article 7.01, if applicable. In the case of the Member, the benefit shall be calculated as if he had terminated employment on the date of death.
The Spouse of an Ontario Member may elect to receive the death benefit as a lump sum payment or in the form of an immediate or deferred life annuity or as a transfer to a non locked-in registered retirement savings plan or registered retirement income fund by delivering a direction to the administrator within the prescribed period. Payment of the deferred annuity shall commence on the first day of the month coincident with or next following the Spouse's attainment of age 65.
However, if the beneficiary is the Spouse of an Alberta Member or of a British Columbia Member, the benefit shall be paid in the form of an immediate pension unless the Spouse requests that it be transferred to a locked-in RRSP, another registered pension plan, if such plan allows this, or to an annuity contract or such other retirement vehicules as may be permitted under the Applicable Pension Benefits Act.
The Spouse may waive his right to the death benefit or revoke such waiver, provided the administrator receives written notice thereof before the Member's or Former Member's death in accordance with the Applicable Pension Benefits Act.
(2) If a Member or Former Member dies before payment of a pension benefit commences and has no Spouse or is living separate and apart from his or her Spouse at the date of death, within the meaning of the Applicable Pension Benefits Act, the Beneficiary of the Member or Former Member shall receive a lump-sum payment of the benefit as determined in this Article 6.03.
Article 6.04 Death after Retirement
If a Retired Member dies after payment of benefits commence, the Spouse, Beneficiary or joint annuitant of the Retired Member shall receive a death benefit, if any, in accordance with the form of pension to which the Retired Member became entitled under Articles 6.01, or 6.02 or Section XI of Part A, as the case may be, while a Member of Part C of the Plan.
Notwithstanding the above, if the annual amount of the death benefit payable to the surviving Spouse of an Ontario Member is not greater than 4% of the YMPE or the Commuted Value of such benefit is less than 20% of the YMPE (or such other percentage or amount as may be prescribed by Applicable
Pension Benefits Act), in the year in which the Ontario Member dies, the Commuted Value of the benefit is paid in a lump sum in lieu of a pension.
The surviving Spouse of an Ontario Member may also elect to transfer such lump sum to a non locked-in registered retirement savings plan or registered retirement income fund by delivering a direction to the administrator within the prescribed period.
Article 6.05 Death of the Surviving Spouse
If the surviving Spouse, who is entitled to a benefit under Article 6.03(1), dies before electing the form of payment of the benefit, or before commencement of any annuity or payment of the benefit, or before commencement of any annuity or payment of any lump sum amount, a lump sum payment of the benefit determined in Article 6.03(1) shall be made to the Spouse's beneficiary.
PART C – SECTION VII
TERMINATION BENEFITS
Article 7.01 Deferred Pension
An Ontario Member who terminates employment while a Member of the Plan shall be entitled to receive a deferred pension, commencing on his normal retirement date, in the amount accrued and granted under the Plan, calculated in accordance with Article 5.01.
Notwithstanding the above, a British Columbia Member who terminates employment and who has completed 2 years of continuous membership in the Plan shall be entitled to receive a deferred pension, commencing on his normal retirement date, in the amount accrued and granted under the Plan, calculated in accordance with Article 5.01.
Notwithstanding the above, an Alberta Member who terminates Service for any reason other than death, disability or retirement after the earlier of the completion of 24 months of continuous membership in the Plan and 5 years of Service is entitled to receive a deferred pension that becomes payable on the normal retirement date, in the amount accrued or granted subsequent to December 31, 1986, calculated in accordance with Article 5.01.
Article 7.02 Early Retirement
A Member who is entitled to a deferred pension under Article 7.01 may elect to receive it following the attainment of age 55, in which case the pension shall be reduced on an Actuarial Equivalent basis and subject to the limitations set out in Article 10.02 of Part A.
Article 7.03 Transfer of Pension Entitlements
A Member who is no longer active is entitled to transfer the Commuted Value of his pension entitlements in accordance with Article 6.16 of Part A.
Notwithstanding Article 6.16 of Part A, a Member who is a member of the Sun Media management committee, who terminates employment on or after September 1, 2000 and after attainment of age 55, may elect to have the Commuted Value of any pension he is entitled to under Part C of the Plan transferred in the manner set out in Article 6.16 of Part A, provided that the Member has not already commenced receipt of this pension.
Article 7.04 Ontario Special Early Retirement Grow in Rights
For the purpose of this Section, an "activating event" is:
a) The termination of employment of the Ontario Member by the Employer on or after July 1, 2012 when termination of employment is not due to wilful misconduct, disobedience or wilful neglect of duty by the Ontario Member that is not trivial and has not been condoned by the Employer;
b) The Plan wind up if the effective date of wind up is on or after April 1, 1987;
c) The occurrence of such other events as may be prescribed in such circumstances as may be specified by the Applicable Pension Benefits Act.
From July 1, 2012, an Ontario Member whose combination of age plus years of Service or years of participation in the Plan equals at least 55 on the effective date of an activating event is entitled to:
a) An immediate pension in accordance with the terms of the Plan, if the Ontario Member is eligible for immediate payment of the pension, and calculated using years of Pensionable Service up to the activating event;
b) A pension in accordance with the terms of the Plan, calculated using years of Pensionable Service up to the activating event, beginning at the earlier of:
i) the normal retirement date; or
ii) the date on which the Ontario Member would be entitled to an unreduced pension under the Plan if the activating event had not occurred and if the Ontario Member's membership continued up to that date; or
c) A reduced pension in the amount payable under the terms of the Plan, calculated using years of Pensionable Service up to the activating event, beginning on the date on which the Ontario Member would be entitled to the reduced pension under the Plan if the activating event had not occurred and if the Ontario Member's membership continued up to that date.
A benefit described above for which the Ontario Member has met all eligibility requirements under this Article shall be included in calculating the Ontario Member's pension benefit or the Commuted Value of his pension benefit.
APPENDICES
APPENDIX I
LIST OF PARTICIPATING EMPLOYERS
* Quebecor Media Inc.
* Groupe Librex Inc.
* Groupe Archambault Inc.
* Imprimerie Mirabel Inc.
* Groupe Ville-Marie Littérature Inc.
* Messageries ADP Inc.
* Sun Media Corporation
* Réseau Québecor Média inc.
* Groupe Sogides inc.
APPENDIX II
SPECIAL PROVISIONS WITH REGARD TO CERTAIN MEMBERS
1. Daniel Paillé
The annual pension in the amount of $30,310.64 paid to Mr. Daniel Paillé for his years of Pensionable Service prior to February 21, 1992 in a prior pension plan that was subject to a transfer agreement between the CARRA and QUEBECOR INC. shall be increased in accordance with the provisions of Article 6.03 of Part B except that the prescribed percentage shall equal the amount by which the Financial Indicator exceeds 3.6%, rather than 7% as stipulated in Article 6.03 of Part B. In the event that the Commuted Value of this adjustment to the benefit settlement amount under the Plan is less than $66,628 plus interest accrued since February 21, 1992 at the rate set out in Article 2.05 of Part B, the difference shall then be transferred to a locked-in retirement savings vehicle. The value of the benefits so granted may not, however, exceed any acceptable maximum value under applicable income tax legislation.
2. Jacques Girard
The annual pension in the amount of $29,041.81 paid to Mr. Jacques Girard for his years of Pensionable Service prior to August 29, 1988 in a prior pension plan that was subject to a transfer agreement between the CARRA and QUEBECOR INC. shall be increased in accordance with the provisions of Article 6.03 of Part B except that the prescribed percentage shall equal the amount by which the Financial Indicator exceeds 2.6%, rather than 7% as stipulated in Article 6.03 of Part B. In the event that the Commuted Value of this adjustment at the time benefits are settled under the Plan is less than $50,980 plus interest accrued since June 1, 1989 at the rate set out in Article 2.05 of Part B, the difference shall then be transferred to a locked-in retirement savings vehicle. The value of the benefits so granted may not, however, exceed any acceptable maximum value under applicable income tax legislation.
APPENDIX III
ADDITIONAL RIGHTS AND BENEFITS WITH REGARD TO TORONTO SUN PRESSES REORGANIZATION ON SEPTEMBER 30, 2007
All employees affected by the Toronto Sun Presses reorganization on September 30, 2007 are granted additional rights and benefits provided by Appendix III.
Employees eligible are all employees who lost their job (voluntary or involuntary) from August 29, 2005, date of the first announcement of the reorganization up to September 30, 2007 and without restriction any other date thereafter if related to the event.
Additional rights and benefits
1. Transfer of Pension Entitlements (rights of portability) provided by Article 6.16 of Part A are not restricted to Member who terminates employment with the Employer prior to 10 years before his normal retirement date, except for a Retired Member.
2. The Deferred Pension entitlement under Article 7.01 of Part C are fully granted even for a Member who terminates employment and who has not completed 2 years of Service.
3. Members are granted Grow In benefits under Section 74 of the Pension Benefits Act.
A Member whose age plus Service or Pensionable Service equals 55 or more when he terminates employment is eligible to receive:
a) For pension entitlement under Part B: Notwithstanding Article 8.03, a Member who is entitled to a deferred pension under Article 8.01 may begin receiving this pension at age 55. In this case, the pension shall be reduced in accordance with Article 5.02, and subsequently shall be subject to the provisions of Article 10.02 of Part A.
b) For pension entitlement under Part C: Notwithstanding Article 7.02, a Member who is entitled to a deferred pension under Article 7.01 may begin receiving this pension at age 55. In this case, the pension shall be reduced in accordance with Article 4.02, and subsequently shall be subject to the provisions of Article 10.02 of Part A.
A Member whose age plus Service or Pensionable Service equals 55 or more and has at least 10 years of Service or Pensionable Service when he terminates employment is eligible to receive for pension entitlement under Part B the bridge benefit under Article 6.05 of Part B.
Without any restriction, all pension entitlement under this Article 3 are included in transfer rights described in Article 1 above.
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GILLIANBEHNKE
LIFE & BUSINESSCOACH FOR MOMSFOUNDER, MOM CAMP
BIO
As a busy mom of two, Gillian cares deeply about helping other moms feel better both mentally and physically. She believes that motherhood does not equal with exhaustion, and that is is possible to thrive mentally, emotionally, physically and professionally. Gillian is the founder of Mom Camp, a media and events company that empowers moms to live their best lives. She is the creator of The Fill Your Bucket Method, which teaches moms how to create a solid health foundation, set personal priorities and establish boundaries. It's all about filling your own bucket first so you are able to pour into others.
Gillian has worked in marketing and event management for over 15 years. She is a skilled problem solver and her passion is connecting people with the right solutions that will improve their lives and work.
INTERVIEW TOPICS
Why "busy" is not a badge of honour
Time management for working moms with a side hustle
How to grow a business while managing a family
Health and self-care ideas for the busy working mom
How to find your personal priorities and set boundaries to protect them
How to ask for what you need to get the life you want
The elusive concept of balance for a working mom
Reducing overwhelm and increasing joy
CONTACT
604-505-2267 [email protected] www.momcamplife.com @momcamplife
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January 7, 2008
Mr. Gary Rappleye, Financial Secretary
Electrical Workers UE
Local 329
318 Lake Street
Elmira, New York, 14901-2805
Re: Case Number: [redacted]
Dear Mr. Rappleye:
This office has recently completed an audit of Electrical Workers Local 329 under the Compliance Audit Program (CAP) to determine your organization’s compliance with the provisions of the Labor-Management Reporting and Disclosure Act of 1959 (LMRDA). As discussed during the exit interview with you, President Kevin Elmquist, Recording Secretary Kenneth Leupelt, and Treasurer Randy Bertelson on December 19, 2007, the following problems were disclosed during the CAP. The matters listed below are not an exhaustive list of all possible problem areas since the audit conducted was limited in scope.
**Recordkeeping Violations**
Title II of the LMRDA establishes certain reporting and recordkeeping requirements. Section 206 requires, among other things, that labor organizations maintain adequate records for at least five years by which each receipt and disbursement of funds, as well as all account balances, can be verified, explained, and clarified. As a general rule, labor organizations must maintain all records used or received in the course of union business.
For disbursements, this includes not only original bills, invoices, receipts, vouchers, and applicable resolutions, but also documentation showing the nature of the union business requiring the disbursement, the goods or services received, and the identity of the recipient(s) of the goods or services. In most instances, this documentation requirement can be satisfied with a sufficiently descriptive expense receipt or invoice. If an expense receipt is not sufficiently descriptive, a union officer or employee should
write a note on it providing the additional information. For money it receives, the labor organization must keep at least one record showing the date, amount, purpose, and source of that money. The labor organization must also retain bank records for all accounts.
The audit of Local 329’s 2007 records revealed the following recordkeeping violations:
**General Expenses**
Local 329 did not retain adequate documentation for reimbursed expenses totaling at least $1,488.35. Although the union records contained a voucher made out for the disbursement, original receipts were not submitted. For example, check # [redacted] for Horseheads Beverages on January 14, 2006 for $98.58 did not include a receipt. The voucher only indicated “refreshments” but did not specify what was purchased. Additionally, no documentation for a hotel stay at the Holiday Inn from Monroeville, PA for $437.52 in April 2006 was retained.
Local 329 also did not maintain any records of members receiving store gift cards that were given away during the summer outing and/or Christmas gifts. The union did retain a Christmas gift request form that is used for purchasing gifts for union member’s children, grandchildren, step-children, or foster children. However, the union does not adequately document if the member’s child received the gift.
Furthermore, no documentation was retained when Local 329 provided death benefits to union members. A copy of the obituary or other verifying information should be retained in the union records documenting the authenticity of the benefit.
As previously noted above, labor organizations must retain original receipts, bills, and vouchers for all disbursements. The president and treasurer (or corresponding principal officers) of your union, who are required to sign your union’s LM report, are responsible for properly maintaining union records.
Other Issue
Internal Controls
To strengthen internal controls, it was recommended that Local 329 keep itemized deposit slips to verify the deposits being made into the union’s checking account, especially when combining several checks or checks and cash. Also, it was recommended that each voucher be signed by two officers to establish a system of checks and balances for disbursements from the union accounts.
I want to extend my personal appreciation to Electrical Workers Local 329 for the cooperation and courtesy extended during this compliance audit. I strongly recommend that you make sure this letter and the compliance assistance materials provided to you are passed on to future officers. If we can provide any additional assistance, please do not hesitate to call.
Sincerely,
[Redacted]
Investigator
cc: Kevin Elmquist, President
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UNIVERSA MEDICINA
January-April, 2012
Vol.31 - No.1
Ethanolic extract of Anredera cordifolia (Ten.) Steenis leaves improved wound healing in guinea pigs
Isnatin Miladiyah* and Bayu Rizky Prabowo**
ABSTRACT
*Department of Pharmacology, Faculty of Medicine, Indonesian Islamic University **Professional Study Program, Faculty of Medicine, Indonesian Islamic University
Correspondence
dr. Isnatin Miladiyah, M.Kes. Department of Pharmacology, Faculty of Medicine, Indonesian Islamic University Jl. Kaliurang Km 14.5 Sleman, Jogjakarta 55564 Phone: +62274-898444 ext. 2002
Fax: +62274-898444 ext. 2007
Email: [email protected]
Univ Med 2012;31:4-11
BACKGROUND
Wound healing is a normal biological process in response to skin injury. Anredera cordifolia (Ten.) Steenis is used traditionally to treat various diseases, including skin disease, hypertension, inflammation and gout. The aim of this study was to evaluate the wound healing activity of the leaves of binahong or Anredera cordifolia (Ten.) Steenis in guinea pigs.
METHODS
Thirty guinea pigs (1.5-2 kg, 3-4 months old) were randomly divided into 5 groups. Group I was given distilled water (negative control), group II was treated with povidone iodine 10% (positive control), while groups III-V were treated with ethanolic extract of binahong leaves at concentrations of 10%, 20%, and 40%, respectively. Before treatment, a 2 cm long excision wound was made on each animal. All interventions were given by the topical route, twice daily for 15 days. At the end of 15 th day, the wound lengths in each group were measured and compared to baseline wound lengths. Data were analyzed with one-way Anova to compare wound healing activity between groups.
RESULTS
This study showed that groups treated with ethanolic extract of binahong leaves at concentrations of 20% and 40% experienced better wound healing activity than negative and positive controls. There were significant differences (p=0.000) between treatments and negative and positive controls.
CONCLUSIONS
This research has succesfully show significance of the Binahong leaf extract has a potential for wound healing in guinea pig.
Keywords : Anredera cordifolia (Ten.) Steenis, wound healing, guinea pigs
Univ Med Vol. 31 No.1
Ekstrak etanol daun Anredera cordifolia (Ten.) Steenis (Basellaceae) memperbaiki penyembuhan luka pada marmut
ABSTRAK
LATAR BELAKANG
Penyembuhan luka merupakan suatu proses normal sebagai respon adanya cidera pada jaringan kulit. Secara tradisional Anredera cordifolia (Ten.) Steenis sering digunakan untuk mengobati berbagai jenis penyakit, termasuk penyakit kulis, hipertensi, peradangan dan gout. Penelitian ini bertujuan untuk menilai aktivitas penyembuhan luka daun binahong atau Anredera cordifolia (Ten.) Steenis terhadap luka eksisi buatan pada marmut.
METODE
Sebanyak 30 ekor marmut (umur 3-4 bulan, berat 1,5-2 kg dikelompokkan secara acak menjadi 5 kelompok perlakuan yaitu kelompok I diberi olesan akuades (kontrol negatif), kelompok II diberi povidone iodine 10% (kontrol positif), kelompok III-V diberi ekstrak etanol daun binahong dengan konsentrasi masing-masing 10%, 20%, dan 40%. Pada seluruh hewan uji dibuat luka eksisi sepanjang 2 cm, dan dioleskan perlakuan sesuai kelompoknya, dua kali sehari selama 15 hari. Pada akhir hari ke-15, diukur penyembuhan luka dari tiap kelompok (dalam persen, dibandingkan dengan luka awal). Data persen penyembuhan luka dianalisis dengan Anova satu jalan untuk melihat adanya perbedaan antar kelompok perlakuan.
HASIL
Studi menunjukkan bahwa ekstrak etanol daun binahong mampu menyembuhkan luka mulai konsentrasi 20%. Semakin tinggi konsentrasi ekstrak, efek penyembuhan luka semakin besar. Uji statistik menunjukkan bahwa pada kelompok ekstrak etanol konsentrasi 20% dan 40%, terdapat perbedaan signifikan dengan kontrol negatif (akuades) (p=0,000), maupun kontrol positif (p=0,000).
KESIMPULAN
Ekstrak etanol daun binahong mampu menyembuhkan luka lebih baik daripada povidone iodine. Daun binahong berpotensi pada penyembuhan luka.
Kata kunci : Anredera cordifolia (Ten.) Steenis., penyembuhan luka, marmut
INTRODUCTION
A wound comprises damage to anatomic structures and functions of the skin, thus resulting in loss of epithelial continuity with or without loss of surrounding connective tissue. (1) The effects of a wound may be in the form of partial ot complete organ dysfunction, sympathetic activation, bleeding, bacterial contamination and cell death. (2)
The wound healing process is a normal biological response to injury, but the underlying biological factors are extremely complex. It is a dynamic process, where the factors involved are regeneration and repair of tissue damage. (3) Briefly, the wound healing process may be divided into 4 phases, i.e. (i) hemostasis, (ii) inflammation, (iii) proliferation, and (iv) remodelling. (4) The remodelling phase is associated with the tensile or breaking strength of the skin, where 1 week after wounding the tensile strength is 3% of that of normal dermis, increasing within 3 weeks to 20%, and attaining after 3 months 80% of the breaking strength of normal dermis. (5) The factors playing a role in wound healing include bacterial infection,
nutritional deficiencies, use of certain medications, obesity, movement of the wound site, and location of the wound. (6) The surrounding tissues also affect the rate of healing, such as aseptic conditions, disposal of dead tissue, apposition of wound edges, and regular application of dressings. (7) The utilization of traditional medicinal plants for wound healing is based on their antiseptic, adstringent, antiinflammatory, and antibacterial properties. (8) The plants increase the rate of wound healing by supplying substances required in the tissue regeneration and proliferation phases, (7) because they contain saponins, alkaloids, tannins, steroids, and glycosides. (6) Among the plant parts used for wound healing, roots account for 27% and leaves 20%, while the remainder is made up of stems, seeds, whole plants, fruits, flowers, tubers, and other parts. (9)
One of the plants frequently used by local communities for wound healing is the binahong plant, its scientific name being Anredera cordifolia (Ten.) Steenis. (10,11) The plant belongs to the Basellaceae family and is also known as Boussingaultia gracilis var. pseudobaselloides or Boussingaultia baselloides. (12) It has been used by local communities for a number of healing applications, e.g. following surgery or delivery, and for diabetes and typhoid fever. The parts of the plant used for these purposes are the roots, stems, leaves, and flowers. (10) Pharmacological tests conducted on Anredera spp. include the following: antibacterial, (13) antiobesity and antihypoglicemic, (14) cytotoxic and antimutagenic, (15) antiviral, (16,17) antidiabetic, (18) antiulcer, (19) and antiinflammatoy. (17,20) In vitro tests of wound healing activity is currently viewed to be inappropriate, since these tests are incapable of demonstrating the efficacy of a substance, such that animal experiments and human clinical trials are being increasingly used. (21)
Phytochemical analyses of binahong indicate that the leaves contain considerable amounts of saponins, alkaloids, and flavonoids. (22) Thus far, there has been only one study conducted on the wound healing activity of binahong , involving hematomas in rats. (23) In the group receiving binahong there was macroscopic edema, but no infiltration of inflammatory cells on histopathological examination. The present study differs from the previous one in the plant parts used (leaves vs tubers), type of wound (excision wound vs hematoma), test animal (guinea pigs vs rats), and in the type of observation of the effects (macroscopic vs microscopic). Based on several preliminary studies, including studies on the phytochemical content of binahong leaves , the present study was performed to determine whether or not an ethanolic extract of the leaves of Anredera cordifolia (Ten.) Steenis showed wound healing activity on excision wounds in guinea pigs.
METHODS
Research design
This was a pure experimental controlled laboratory study to test the effect of binahong leaves on wound healing in guinea pigs.
Binahong leaves
Binahong leaves were obtained in April 2011 from the Kotagede region of Yogyakarta City, consisting of the fresh green leaves of plants that were at least 4 months old. Identification of the leaves was performed at the Plant Taxonomy Laboratory, Faculty of Biology, Gajah Mada University. Preparation of leaf extract was perfomed at the Pharmaceutical Biological Laboratory, Faculty of Mathematics and Natural Sciences, Indonesian Islamic University. The study was conducted at the Integrated Research and Testing Laboratory of Gajah Mada University.
Equipment and materials
Equipment and materials for the study were obtained from the last-mentioned laboratory, while povidone iodine for the
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positive controls was from Kimia Farma. For anesthesia ketamine (Ketalar®) from Pfizer was used.
Preparation of binahong leaf ethanolic extract
Binahong leaf ethanolic extract was prepared by maceration as follows: Binahong leaves in the amount of approximately 1.5 kg was cleansed, cut up into small pieces and dried in a drying cabinet at 38 o C for 5 days, then pounded and blenderized into a dry powder. Subsequently maceration was performed by putting the dry powder into an erlenmeyer flask containing 500 ml of 70% ethanol and leaving the mixture stand at room temperature for 24 hours. The maceration process was performed up to three times, after which the resulting solution (ethanolic phase) was filtered and concentrated in an evaporator at 50 o C, yielding an ethanolic binahong leaf extract of 100%.
Experimental animals
The experimental animals used were 30 adult 3-4 months old guinea pigs weighing from 1.5 to 2 kg. The animals were obtained from the Integrated Research and Testing Laboratory of Gajah Mada University, with the provision of being in healthy condition (active and wellformed). Management and care of the animals before, during, and after the intervention was according to the standards of the Integrated Research and Testing Laboratory of Gadjah Mada University.
The numbers of test animals were based on previous studies, where with 5 types of intervention the minimum number of animals in each group was 5. (24) The use of guinea pigs in this study was based on the similarity of their characteristics to those of humans, with regard to general physiology of their cells, tissues and organs, thus being an appropriate animal model for several human diseases. (25)
The test animals were assigned to intervention 5 groups, viz. negative controls (distilled water), positive controls (povidone iodine 10%), and 3 groups treated with binahong leaf ethanolic extract at concentrations of 10%, 20%, and 40%, respectively (by dilution of the full extract with distilled water). The treatment consisted of topical application of the agent on the wounds, twice daily (morning and evening) for 15 days.
Determination of binahong leaf ethanolic extract concentrations
The determination of binahong leaf ethanolic extract concentrations was based on preliminary tests, where among the 5 concentrations used (5%, 10%, 20%, 40%, and 80%), all concentrations from 10% upwards had an effect.
Preparation of excision wounds
Before excision, the animals were anesthesized with Ketalar. The fur in the dorsal region was shaved, then a 2-cm long excision wound was made. During the study, the wounds were left open and exposed to the environment without topical or systemic antibiotic cover. Wound healing was recorded as the percentage of wound closure, calculated according to the formula: [(initial wound length – wound length on a given day)/initial wound length] x 100%. (26,27)
Statistical analysis
The percentages of wound healing on day 15 were analyzed by one-way Anova (SPSS for Windows version 15), at significance level of p<0.05.
RESULTS
Wound lengths were measured on days 6, 9, and 15, and converted to percentages of wound healing, as shown in Table 1. It is apparent that on the last day (day 15), wound healing in the group receiving binahong leaf extract 40% had attained 100%, which was higher than in the negative control group (59.17%), positive control group (68.33%),
Table 1. Mean percentages of wound healing on days 6, 9, and 15
*EEB = Ethanolic Extract of Binahong Leaves
binahong leaf extract 10% group (81.67%) and binahong leaf extract 20% group (86.67%). Results of the Anova test indicated that these differences were significant (p=0.000), thus it may be stated that the ethanolic extract of binahong leaves was effective in wound healing. Post-hoc Anova showed that differences in wound healing expression were significantly differences (p=0.000) between binahong leaf extract 40% with Povidone iodine and binahong leaf 10% (Table 2).
DISCUSSION
Assessment of the effect of a drug on wound healing may be performed by means of various models. One of the models commonly used in experimental studies is the excison wound. (6,26-31) This model is used to obtain information on duration of wound contraction and wound closure after administration of an extract in comparison to controls. (26-27) The use of povidone iodine as positive control was based on previous studies, (31-35) from which it was assumed that the wound healing effect was due to the property of iodine as an effective broadspectrum antimicrobial. (36)
The binahong leaf ethanolic extract groups excellent results were found, where increasing the extract concentration led to better wound healing, as compared to the povidone iodine and the distilled water groups. Therefore it may be stated that binahong leaf ethanolic extract was effective in wound healing and better than povidone iodine 10%.
This study also shows that wound healing in the povidone iodine group gave no satisfactory results, being similar to the results in the negative control group. The use of povidone iodine as a topical drug on wounds is currently subject to debate among clinicians, because iodine may be systemically absorbed and thus cause damage and even toxicity in various tissues and cells, (37) including granulocytes, monocytes, and fibroblasts. (36) Povidone iodine is more effective as an antiseptic, (37) and thus more appropriately used as a wound dressing, particularly for infected wounds, (38-40) and not for recent clean uninfected wounds. Therefore this study supports previous views that povidone iodine is not effective in wound healing.
This study demonstrates that administration of binahong leaf ethanolic
Table 2. Post-hoc Anova results on wound healing on day 15
*EEB = Ethanolic Extract of Binahong Leaves; asignificant difference; bnon-significant difference
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extract was capable of promoting wound healing to a high degree, which may be due to the anti-inflammatory, antioxidant, antibacterial, and analgesic effects of the extract. (8) These effects may be caused by the saponin, alkaloid, and flavonoid content of binahong leaf ethanolic or aqueous extract. (22) A number of previous studies showed that the presence of saponins, alkaloids, polyphenols, flavonoids, glycosides, and triterpenes in the various parts of a plant may may have a wound healing effect. (41-47)
The mechanism of action of saponins in wound healing is to stimulate the production of type I collagen, which has an important role in wound closure and increases epithelialization of tissues. (42) Flavonoids act by inhibiting the lipid peroxidation process (48) and are responsible for free radical scavenging, (45) thus preventing and retarding cell necrosis, and increasing vascularization at the wound site. Inhibition of lipid peroxidation is believed to enhance the viability of collagen fibrils by increasing collagen fibers and vascularization, preventing cellular damage, and promoting DNA synthesis. (48) Flavonoids, glycosides, and tannins are known to act as adstringents and antibacterials. (43,48) Polyphenols, being compounds with antioxidant properties, also play a role in wound healing, through inhibition of lipid peroxidation, as in the case of flavonoids. (49) The use of antioxidants in wound healing is due to the fact that cell proliferation, suppression of inflammation, and contraction of collageneous tissues are inhibited by the presence of free radicals.
It is the presence of saponins, alkaloids, and flavonoids in binahong leaves (22) that presumably plays a role in the wound healing process of the guinea pigs in the present study. However, which of these compounds is the most responsible for wound healing, has to be investigated in future studies, including testing of each of the isolated active compounds. A limitation of the present study is that it only involved macroscopic observation of the wound healing effect, without in-depth investigations into the wound healing process and the cells involved.
CONCLUSIONS
Binahong leaf ethanolic extract is effective in the healing of excision wounds in guinea pigs. Povidone iodine is less effective in wound healing and should preferably not be used as a wound dressing, particularly in infected wounds.
ACKNOWLEDGMENTS
Thanks are due to dr. Farida Juliantina Rachmawaty, M.Kes for corrections to this report and to Mr. Riyanto (laboratory technician at the Faculty of Mathematics and Natural Sciences, Indonesian Islamic University) and Mr. Bayu and Mr. Wasino (laboratory technicians at Integrated Research and Testing Laboratory of Gajah Mada University) for their assistance before, during and after realization of the study.
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17. Li TSC. Taiwanese native medicinal plants, phytopharmacology and therapeutic values Raton FL. Boca Raton, Florida: Taylor and Francis Group;2006.
18. Anh MJ, Kim JW. Identification and qualification of steroidal saponins in polygonatum species by HPLC/ESI/MS. Arch Pharm Res 2005;28:592-7.
19. Lin WC, Wu SC, Lin YH, Hou WC. Prevention of ethanol-induced gastric lesions in rats by ethanolic extracts of Boussingaultia gracilis. Clin Pharm J 1997;56:89-93.
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30. Dalazen P, Molon A, Biavatti MW, Kreuger MRO. Effects of the topical application of the extract of Vernonia scorpioides on excisional wounds in mice. Brazilian J Pharmacog 2005;15: 82-7.
31. Dhumal SV, Kulkarni SR. Antibacterial and wound healing activity of roots of Sesamum indicum. Indian Drugs 2007;44:937-44.
32. Beukelman CJ, van den Berg AJJ, Hoekstra MJ, Uhl R, Reimer K, Mueller S. Anti-inflammatory properties of liposomal hydrogel with povidoneiodine (Repithel®) for wound healing in vitro. Burns 2008;34:845-55.
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34. Roy K, Shivakumar H, Sarkar S. Wound healing potential of leaf extracts of Ficus Religiosa on
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wistar albino strain rats. Int J Pharm Tech Res 2009;1:506-8.
42. MacKay D, Miller AL. Nutritional support for wound healing. Alt Med Rev 2003;8:359-77.
35. James O, Friday ET. Phytochemical composition, activity, and wound healing potential of Euphorbia heterophylla (Euphorbiaceae) leaf extract. Int J Pharm Biomed Res 2010;1:54-63.
36. Boothmann S. The use of iodine in wound therapy;2009. Available at: http://www. systagenix.de/cms/uploads/Iodine_White_ Paper.pdf. Accessed August 6, 2011.
37. Angel DE, Morey P, Storer JG, Mwipatayi BP. The great debate over iodine in wound care continues: a review of the literature. Wound Pract Res 2008;16:6-21.
38. Shukrimi A, Sulaiman AR, Halim AY, Azril A. A comparative study between honey and povidone iodine as dressing solution for Wagner type II diabetic foot ulcers. Med J Malaysia 2008; 63:44-6.
39. Yakubu AS, Abubakar AA, Salihu MD, Jibril A, Isah I. Comparative analysis of chlorhexidine gluconate, povidone iodine, and chloroxylenol as scrubbing solution. British J Pharmacol Toxicol 2010;1:93-5.
40. Boateng JS, Matthews KR, Stevens HNE, Eccleston GM. Wound healing dressings and drug delivery systems: a review. J Pharmaceutic Sci 2008;97:2892-923.
41. Ekpo M, Mbagwu H, Jackson C, Eno M. Antimicrobial and wound healing activities of Centroma pubescens (Leguminosae). JPCS 2011;1:1-6.
43. Vinothapooshan G, Sundar K. Wound healing effect of various extracts of Adhatoda vasica. Int J Pharm Bio Sci 2010;1:530-6.
44. Sasidharan S, Nilawaty R, Xavier R, Latha LY, Amala R. Wound healing potential of Elais guinensis Jacq Leaves in an infected Albino rat model. Molecules 2010;15:3186-99.
45. Anitha S, Suresh GS, Ramaiah M, Vaidya VP. Extraction, isolation, and wound healing activity of flavonoid from Coscinium fenestratum. Res J Pharmaceutic Biol Chem Sci 2011;2:1090-5.
46. Ayyanar M, Ignacimuthu S. Herbal medicines for wound healing among Tribal people in Southern India: ethnobotanical and scientific evidences. Int J Appl Res Nat Prod 2009;2:2942.
47. Nayak BS, Raju SS, Ramsubhag A. Investigation of wound healing activity of Lantana camara L. in Sprague Dawley rats using a burn wound model. Int J Appl Res Nat Prod 2008;1:15-9.
48. Nayak S, Nalabothu P, Sandiford S, Bhogadi V, Adogwa A. Evaluation of wound healing activity of Allamanda cathartica L. and Laurus nobilis L. extract on rats. BMC Complement Alt Med 2006;6:12. doi:10.1186/1472-6882-6-12.
49. Neves ALA, Komesu MC, Di Matteo MA. Effects of green tea on wound healing. Int J Morphol 2010;28:905-10.
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Pathways that physically connect different CH assets, interconnected by a common theme (e.g., the storage of materials passing through the port) or a narrative that conceptually unites them (e.g., being built in the same historical period thus providing relevant insights on the relation between port and territory in that specific period). This CP provides the chance to connect the port related CH assets to the city center by including one or more of the city center CH assets in the imagined route.
It is suggested to identify no more than 3 routes and to design each route aiming at the greatest narrative effectiveness possible.
Digital storytelling mainly enables two distinct operations:
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- To Narrate the Natural Heritage, clarifying any connections between NH and CH, and giving guidance on how to enjoy the NH. In this way, NH assets can be part of the overall narrative
The thematic areas include all the CH assets involved in the pursuit of a specific priority.
description
Symbol on the map
Reconstruction of CH assets that are not visible (e.g., archaeological sites not excavated to date), not accessible (e.g., privately owned and not visitable), or that no longer exist in their original form (because they were partially demolished or modified in different historical periods). This activity may also lead to the creation of virtual tours
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Traut Core Knowledge School
Character-Based Bullying
Prevention and Education
Program
Parent Handbook
Character Education Committee April 2005
Page 1
Parent Handbook: Table of Contents
1. Letter to Parents
2. Vision Statement
3. Reality and Impact of Bullying Behavior: Summary of Research
4. The Traut Experience
5. The Purpose of The Handbook
6. Definition of Bullying
7. Glossary of Bullying PreventionTerms
a. Staff and Parent List
b. Student List
8. Cooperation Statements
a. Purpose
b. Samples of Cooperation Statements
9. Empathy and Strategies for Development
a. Role of Empathy
b. Strategies for Developing Empathy
c. Inclusion of Empathy in the Character Education Matrix
10. Recognizing Bullying Behavior
a. Recognizing Bullying: Types of Bullying
b. Recognizing Bullies
c. Recognizing Victims
d. Recognizing Bystanders
11. Strategies for Managing Bullying Situations
a. Strategies from the Research
b. Strategies from Traut Staff
c. Strategies from Traut Students
12. If Your Child Is Involved in a Bullying Incident
13. Healthy Homes
14. Discipline Policy for Bullying
15. Suggestions for Discipline and Consequences
a. Punishment vs. Discipline
b. Intervene Immediately with Discipline
c. Suggestions for Disciplinary Assignments
16. Bullying Incident Log and Principal's Discipline Report
17. Recommended Reading
March 1, 2005
Dear Parents,
Whew!! What a job it is raising our children! Probably one of the more frustrating issues that a parent can have to deal with is the issue of bullying. While we like to think that it doesn't happen as often in our school as it does in other schools, the fact of the matter is, the phenomenon is present at TCKS as well. And we're determined as a school to continue striving for the best for our children, not in comparison to other schools, but in pursuit of the highest standards to provide the finest education possible for our children.
Our children can come home complaining about another child, and at times, we're not sure what to say or do. We hesitate to label it bullying, but it may seem like more than just two children not getting along. Well, the Character Education Committee has some help for you. We just spent 3 years researching bullying and developing strategies to address its variety of forms—and this handbook is the result. It will help you recognize bullying situations and what role your child may be playing in them, as well as offering you steps you can take at home to contribute to a safe school environment.
We believe that bullying is not an acceptable part of growing up. It causes immense damage to all involved and reduces the ability of the children involved to be successful in the future. Bullying behavior also affects our families, and as parents, we have a huge impact on how our children treat others. This handbook encompasses the approach that TCKS is taking to make our school a safer place—both physically and emotionally.
Please read this handbook and join us in making bullying at TCKS a problem no one ever has to endure.
The TCKS Character Education Committee
2. The Vision
"Imagine a school that openly, directly enforces a zero-tolerance, [bullying prevention] policy, instructing and encouraging children to call witnesses and to back each other up when a bullying incident occurs. Imagine students being instructed that they are responsible for their fellow human beings and that it is right and noble to get involved when someone is being hurt. Imagine a student being able to attend school knowing that his or her classmates, whether friend or stranger, are there for them if the need should ever arise.
If the school leadership, from the outset, establishes a policy of mutual respect at all levels and backs it up with rules, instruction, procedures and example, we just might have a safer, more ennobling school environment and a few more compassionate human beings walking our streets after graduation."
Frank Peretti in No More Bullies
3. Reality and Impact of Bullying Behavior: Summary of Research
"The school's most powerful moral influence," observes psychologist and character educator Marvin Berkowitz, "is the way people treat each other." In many schools, most of the adults are making a conscientious effort to treat students with love and respect. But in those same schools, even schools that are ostensibly committed to character education, children are often devastatingly cruel to each other.
Survey results of 70 Traut 6 th graders:
When peer cruelty goes unchecked, it's a very serious problem for many reasons. The school is sending the message that the law of the jungle rules. This threatening atmosphere interferes with learning; students won't be focused on schoolwork if they're worried about getting cut down in their classroom, harassed in the hallway, ostracized at recess, or bullied on the bus. Cruelty at the hands of their schoolmates deprives them of what every child needs: the experience of being accepted and valued by peers. Peer rejection, one study found, is more likely to cause a child to leave school than academic difficulties.
Much more pervasive than classical bullying (a stronger child picking on a weaker victim) are the everyday emotional cruelties—teasing, taunts, gossiping, rumor-spreading, and exclusion. In a nationwide survey of nearly 70,000 students in grades 6-12, only 37% said "students in my school show respect for one another." The problem facing a great many schools is now a general peer culture where disrespect and meanness have become the norm.
Schools have no higher moral obligation to students and their parents than to do everything in their power to prevent peer cruelty and create a culture of kindness and respect. There is no more important measure of the effectiveness of a character education program than its progress toward this goal.
(Tom Lickona, author of Character Matters)
Studies reported in the book The Bully, The Bullied, And The Bystander, by Barbara Coloroso have the following information about the effects of bullying:
* 160,000 students skip school every day because they feel threatened.
* 70% of students believe that teachers handle bullying poorly.
* Children who are bullied are five times more likely to be depressed than other children.
* Bullied boys are four times more likely to be suicidal.
* Bullied girls are eight times more likely to be suicidal.
29% stated physical bullying occurs.
66% stated verbal bullying occurs.
89% stated relational bullying occurs.
* Suicides by bullied children have become common enough to warrant its own name: "bullycide".
* Three-quarters of the attackers in the school shooting cases have been children who were seriously bullied.
* Nearly 60% of boys classified as bullies in grades six through nine were convicted of at least one crime by the age of 24; 40% of them had three or more convictions by age 24.
* Evidence suggests that without early intervention, emotional and behavioral problems in young children may become crystallized patterns of behavior by age eight (Enron,1990), beginning a trajectory of escalating academic problems, school drop outs, substance abuse, delinquency and violence. (Snyder, 2001; Tremblay, Mass, Pagani, & Vitaro, 1996)
* Research has shown that a significant relationship exists between poor peer relationships in early childhood, early onset conduct problems and long-term social and emotional maladjustment. (Loeber, 1985)
* Intervening at a young age can help children develop effective social skills early and reduce their aggressive behaviors before these behaviors and reputations develop into permanent patterns. (Carolyn Webster-Stratton & M. Jamila Reid, University of Washington)
4. The Traut Experience
Consistently in annual surveys of Traut parents, positive marks reflect on most of what is happening at school. One area where some parents have expressed a desire for improvement is in the children's behavior during less structured times, notably in the lunchroom, at recess, and after school. The concern expressed was that these are times when students are more apt to be verbally aggressive or hurtful. While it is true that, at Traut, there are not many instances of physical aggression, that is not the only kind of bullying that occurs. Studies show that verbal and relational bullying account for the majority of bullying behavior, and that is even truer here. Where our standards for behavior are so high, our deviations are more covert. Relational bullying includes spreading rumors, forming cliques, and excluding or isolating an individual.
The following survey results and studies support this belief:
1. Elementary Student Attitude Survey, Spring 2003
a. Forty percent of 70 sixth-grade students at Traut agreed or strongly agreed with the statement, "Students in my school treat each other with respect". Sixty percent strongly disagreed, disagreed, or were uncertain with this statement.
2. TCKS Parent Survey, Spring 2002
a. Thirteen percent of parents at Traut disagreed or strongly disagreed with the statement: "Based on my child's experience, the behavior of children towards each other is appropriate on the playground and in the cafeteria." This would imply that some students don't treat each other according to the high standards that are set when they are in less-structured and less-supervised settings. This indicates that there is a greater potential for verbally and relationally aggressive behavior in these settings. This question scored the most unfavorably of all 45 questions on the survey.
b. Of the five most unfavorable responses to questions in this survey, three of them have to do with student behavior, supervision, and discipline.
3. Student Advisory Board - In this unscientific survey, representatives of the SAB polled various classrooms in Spring 2003. Despite the informal nature, the students had important things to say about bullying.
a. Second graders said they know what bullying is and that it happens at school.
They said they would go to older students or adults for help.
b. Sixth Grade teachers took the time to ask several questions and had 70 students write their responses.
1. Do you know what to do if you see someone being bullied? 47% of students said they would tell an adult.
2. Would you know what to do if you were being bullied? 41% of students said they would tell an adult.
3.
Does physical bullying happen at Traut?
49% said "no." 23% said "sort of" or "a bit," 29% said "yes"
4. Does verbal bullying happen at Traut?
16% said "no," 17% said "sort of" or "sometimes," 66% said "yes" Does relational bullying happen at Traut?
5. 4% said "no," 6% said "sort of," and 89% said "yes"
6. Do you feel prepared to deal with possible bullying in the future?
13% students do not
5. The Purpose of the Handbook
In a 2003 meeting regarding the issue of bullying, TCKS staff had expressed a concern and a desire for bullying to be addressed in a systematic way. The response of the school to parent concerns is also a crucial factor. Tom Lickona writes:
"When a student is the victim of peer cruelty and the school does nothing to respond to a parent's complaints, it damages the partnership."
From CHARACTER MATTERS: How to Help Our Children Develop Good Judgment, Integrity, and Other Essential Virtues by T. Lickona (Touchstone, Feb., 2004)
Finally, 81% of the sixth grade students took the time to write their ideas about ways adults can and should help in response to the question "What do you need from adults in order to feel safe in reporting bullying or being bullied". This high response tells us that these students care about this issue and have ideas on solutions. Their thoughts are included in the strategies outlined in this handbook. The opportunity for students to help each other was another reason there was a need to teach all students skills and strategies for dealing with bullying behavior.
The Traut Core Knowledge School Character Education Committee was given the job of (1) determining TCKS compliance with state and local mandates regarding bullying prevention and safe-school environment and then (2) establishing anti-bullying language, strategies, and solutions within the healthy environment of Traut, its covenant, and its governing system.
We were motivated by two desires: the desire to operate a school of excellence which is in compliance with all state and district requirements, and the desire to offer the best achievable education for our children, academically, socially, and emotionally.
Therefore, this handbook is the result of three years of extensive research, spearheaded by parent partner, Heidi Baker. This research focused on bullying: the incidence, the impact on the students involved, and strategies for staff, parents, and students.
It is our hope that this is a viable document that impacts the Traut community and especially the students in a significant, life-long way. It is our goal that Traut students will acquire the knowledge and skills to confront bullying behavior in themselves and others in their school, neighborhoods, communities and eventually their workplace.
6. Definition of Bullying
The State of Colorado defines bullying as:
"Any written or verbal expression, or physical act or gesture, or a pattern thereof, that is intended to cause distress upon one or more students in the school, on school grounds, in school vehicles, at a designated school bus stop, or at school activities or sanctioned events."
Poudre School District defines bullying as:
"Any written or verbal expression, physical act or gesture, or a pattern thereof, that is intended to cause distress upon one or more students in the school environment. The school environment includes school buildings, grounds, vehicles, bus stops and all school sponsored activities and events."
Traut Core Knowledge School defines bullying as:
"Bullying" is a verbal or written expression or physical act, or a pattern of behavior, which lacks empathy and intentionally intimidates or causes distress to one or more members of the school community from door to door. Bullying is a willful, deliberate and hostile activity. It can include physical harm, verbal abuse and forms of exclusion.
7. Glossary of Bullying Prevention Terms
Term:
Working Definition:
1. anecdotal
2. anti-bullying
3. antidote
4. Appreciation of Individual Strengths &Cultural Backgrounds
5. assertive
6. assessments
7. bullied
8. bully
9. bullycide
10. bullying
11. (cyber) bullying
12. (physical) bullying
1. personal experiences
2. to be against the act of bullying
3. to relieve or lesson the severity
4. being considerate of others without compromising your own values (TCKS)
5. knowing what you need, asking for what you need, knowing where your limits are
6. a measurement used to determine rate/amount of effectiveness. Tools may include: statistics, surveys, observation, empirical data, written assignments and dialogue
7. "the victim", the one being assaulted
8. "the aggressor" in the act of bullying, predatory aggression
9. suicides by bullied children
10. a verbal or written expression or physical act, or a pattern of behavior which lacks empathy and respect and intentionally intimidates or causes distress to one or more members of the school community. It is about contempt. (TCKS Character Education Committee)
11. involving the use of cyberspace, the Internet, in the act(s) of bullying (verbal, relational, and possibility of threat
12. predatory aggression ranging from light to moderate pushing to extreme physical harm
28. discipline
28. age appropriate training which "gives life" to learning, restorative, invites reconciliation, goal oriented, constructive and compassionate
8. Cooperation Statements
Purpose
The following cooperation statements are part of the foundation to the Bullying Prevention program. Tom Lickona, author of Character Matters, refers to the importance of such a statement. He states that they are not all that is needed to elicit and strengthen moral commitment, but they can help to bridge the gap between knowing what is right and doing what is right. He reports that a student involved in an elementary-level character education initiative called BACKFIRE stated that "this isn't just about making good decisions ourselves—it's about influencing other people to make good decisions, too!"
The Cooperation Statements reflect both general character education values as well as statements specific to the prevention of bullying. All of the Traut community is encouraged to participate by signing the statements at the beginning of each school year.
Samples
The following pages contain samples of the staff, parent and student cooperation statements.
Cooperation Statement – Staff
We, the staff of Traut Core Knowledge School agree to join together to prevent bullying at our school.
I believe that everybody should enjoy our school, and feel safe, secure, and accepted regardless of color, race, gender, popularity, appearance, athletic ability, intelligence, religion and nationality.
"Bullying" is a verbal or written expression or physical act, or a pattern of behavior, which lacks empathy and intentionally intimidates or causes distress to one or more members of the school community from door to door. Bullying is a willful, deliberate and hostile activity. It can include physical harm, verbal abuse, and forms of exclusion. It is never justified.
The victim is never responsible for being the target. Responsible bystanders intervene by reporting the incident to an adult, reaching out to the victim, and/or trying to stop the bully.
Character qualities important to bullying issues are: integrity, respect, kindness, selfcontrol, responsibility, citizenship, humility, cooperation, honesty, and appreciation of individual strengths and cultural backgrounds. Another valuable character quality to the issue of bullying is empathy, "taking the perspective of another person and feeling what he or she feels".
By signing this Cooperation Statement, I, as a member of the staff of Traut Core Knowledge School, agree to:
1. Learn about bullies, victims, and bystanders, and our school's approach to dealing with bullying.
2. Integrate "empathy" into my lessons when appropriate.
3. Create an environment where students feel safe and confident reporting bullying incidents.
4. Teach students that all forms of bullying are unacceptable.
5. Provide support to victims and bystanders (listen, believe, affirm, protect).
6. Provide support to a bully to encourage improved behavior.
7. Encourage and empower all children to stand up for themselves and each other.
8. I will be a good example.
I will do my best to uphold these character qualities through my actions, words, and attitudes.
Signed by _____________________________________
Print name _____________________________________
Date
__________________________
Revised 1/25/05
Cooperation Statement – Parents
We, the parents of Traut Core Knowledge School agree to join together to prevent bullying at our school.
I believe that everybody should enjoy our school, and feel safe, secure, and accepted regardless of color, race, gender, popularity, appearance, athletic ability, intelligence, religion, or nationality.
"Bullying" is a verbal or written expression or physical act, or a pattern of behavior, which lacks empathy and intentionally intimidates or causes distress to one or more members of the school community from door to door. Bullying is a willful, deliberate and hostile activity. It can include physical harm, verbal abuse, and forms of exclusion. It is never justified.
The victim is never responsible for being the target. Responsible bystanders intervene by reporting the incident to an adult, reaching out to the victim, and/or trying to stop the bully.
Character qualities important to bullying issues are: integrity, respect, kindness, selfcontrol, responsibility, citizenship, humility, cooperation, honesty, and appreciation of individual strengths and cultural backgrounds. Another valuable character quality to the issue of bullying is empathy, "taking the perspective of another person and feeling what he or she feels".
By signing this Cooperation Statement, I, as a parent at Traut Core Knowledge School, agree to:
1. Be informed and aware of the Bullying Prevention policy.
2. Read and understand the Door-to-Door Handbook, which explains the expectations for behavior.
3. Work in partnership with the school to encourage and promote positive, pro-social behavior, including the consistent demonstration of empathy through integrity, respect, kindness, self-control, responsibility, citizenship, humility, cooperation, honesty, and appreciation of individual strengths and cultural backgrounds.
4. Encourage open communication with my child(ren) by discussing regularly his or her feelings about school and friendships.
5. Alert staff of bullying I become aware of.
6. Cooperate with the school in an atmosphere of mutual support if an incidence of bullying should involve my child.
7. Be a good example for my child(ren) and others.
I will do my best to uphold these character qualities through my actions, words, and attitudes.
Signed by ________________________ Signed by ________________________
Print name ________________________ Print name ________________________
Date
________________________ Date ________________________
Cooperation Statement – Older Students (Grades 3-6)
We, the students of Traut Core Knowledge School agree to join together to prevent bullying at our school.
I believe that everybody should enjoy our school, and feel safe, secure, and accepted regardless of color, race, gender, popularity, appearance, athletic ability, intelligence, religion or nationality.
"Bullying" is a verbal or written expression or physical act, or a pattern of behavior, which lacks empathy and intentionally intimidates or causes distress to one or more members of the school community from door to door. Bullying is a willful, deliberate, and hostile activity. It can include physical harm, verbal abuse, and forms of exclusion. It is never justified.
The victim is never responsible for being bullied.
I am responsible for intervening by telling an adult or trying to stop the bully. I will be helpful by being kind and empathetic to the victim.
Character qualities important for dealing with bullying are: integrity, respect, kindness, selfcontrol, responsibility, citizenship, humility, cooperation, honesty, and appreciation of individual strengths and cultural backgrounds. Another valuable character quality to the issue of bullying is empathy, "taking the perspective of another person and feeling what he or she feels".
By signing this Cooperation Statement, I, as a student at Traut Core Knowledge School, agree to:
1. Be part of the solution!
2. Refuse to be a bully. I have self-respect and integrity; I will stand up for myself and for others.
3. Value individuals and treat everyone with respect and kindness.
4. Eliminate taunting and exclusion from my behavior. I have self-control, and I am kind. I will do my best not to let my words, attitudes, or actions hurt others.
5. Try to stop bullying when I see it. I am a good citizen, and I am honest. I can talk to the bully, reach out to the victim, or tell an adult about the incident.
6. Not see myself as more important than anyone else. I am humble. I appreciate individual strengths and cultural backgrounds.
7. Be vigilant to prevent bullying when adults are not close by. I will participate positively in class and in all school-related settings. I will cooperate with adults and with classmates.
8. Show empathy. I will endeavor to understand how it feels to be bullied.
9. I will be a good example.
I will do my best to uphold these character qualities through my actions, words, and attitudes.
Signed by _____________________________________
Print name _____________________________________
Date
__________________________
Revised 1/25/05
Cooperation Statement – Younger Students (Grades K-2)
I am a student at Traut Core Knowledge School. I don't want any students acting like bullies at my school.
I think that everybody should enjoy our school and feel safe and accepted no matter what you look like, what you are good or bad at, or anything else.
Bullying is anything you say, write, or do to someone else to scare them, hurt them, or make them sad or lonely.
Bullying is a mean thing that someone chooses to do. It is not an accident. It is meant to hurt someone, scare someone, or make someone sad or lonely. It is never o.k. It is not ever the fault of the person who feels hurt, scared, or lonely.
If I see someone being bullied, I will help that person. I can tell a grown-up or I can ask the person being mean to stop. I will be kind.
Character qualities important for dealing with bullying are: integrity, respect, kindness, self-control, responsibility, citizenship, humility, cooperation, honesty, and appreciation of individual strengths and cultural backgrounds.
Another valuable character quality is empathy, "understanding how another person feels".
By signing this Cooperation Statement as a student at Traut Core Knowledge School, I agree to:
1. Refuse to be a bully. I have self-respect and integrity; I will stand up for myself and anyone else who needs help.
2. Treat everyone with respect and kindness.
3. Not let my words or actions hurt others. I have self-control.
4. Try to stop any bullying by asking the bully to stop, or by telling an adult. I am a good citizen, and I am honest. I am helpful and kind.
5. Not see myself as more important than anyone else. I have humility; I appreciate that everyone is good at something.
6. Show empathy. I will try to understand how it feels to be bullied.
7. Be helpful and kind to everyone around me. I will be a good example.
I will do my best to uphold these character qualities through my actions, words, and attitudes.
Signed by _____________________________________
Print name _____________________________________
Date
__________________________
Revised 1/25/05
9. Empathy and the Strategies for Development
Role of Empathy
The lack of empathy is a significant issue for the child who bullies.
* Barbara Coloroso states that the single most important character quality that determines a person's likelihood of becoming a bully is empathy.
* Thomas Lickona states that peer cruelty—especially toward children who are "different"—almost always reflects a lack of empathy.
In promoting empathy as a critical aspect of the Bullying Prevention program, we are endorsing the development of emotionally competent people.
* Empathy is the heart piece of the "head, heart and hands" philosophy in character education.
* Empathy connects us with others.
* It is what allows us to stand up for the threatened and the vulnerable.
In promoting empathy we are also supporting the cognitive development of the student.
* Program evaluation results have shown that schools where students are involved in programs designed to increase empathy and create "caring communities" have higher scores than comparison schools on measures of higher-order reading comprehension. (Kohn 1991)
* It is also a critical skill in making good decisions, as the ability to accurately interpret actions and behaviors of others, is a piece of good decision making.
* Empathy fosters the intellectual virtue of understanding and the capacity to fully consider another person and his or her circumstances.
* By the age of 8 or 9 years, children begin to focus on inner processes and can reflect on the other person's inner experience of emotion.
* The most advanced level of empathy occurs in late childhood (Hoffman, 1990). A child has the ability to see him/herself and others as having separate identities.
* Complex cognitive activity shapes the empathetic response.
* Researchers have identified significant correlations between student's scores on measures of empathetic understanding and their grade point averages.
* Review of research related to empathy training/instruction indicates that this instruction enhances both critical thinking skills and creative thinking.
Strategies for Developing Empathy in Students
* When seeking to increase the ability of children to assume another's perspective, it is most fruitful to have them focus first on their own feelings— the different kinds of feelings they have and what feelings are associated with what kinds of situations. (Black and Phillips 1982; and Dixon 1980)
* Activities which focus children's attention on similarities between themselves and another person are effective in increasing affective and cognitive empathy.
* Positive trait attribution—or "dispositional praise"—refers to the practice of emphasizing to children that the reason they exhibit prosocial behavior is that it is their nature to do so. Positive trait attribution has been shown to be a powerful means of enhancing empathetic understanding and behavior.
* The use of literature that depicts cruelty and the suffering it causes is a valuable tool for fostering empathy. The integration of empathy instruction as it relates to the existing 12 character traits in the TCKS Character Education Matrix, is one strategy for the development of empathy in students.
The following form is used by the Traut staff to document opportunities to teach empathy throughout the curriculum.
TCKS's Character Education
Bullying Prevention / Empathy Integration Log
10. Recognizing Bullying Behavior
By six weeks into the school year, bully-victim interaction patterns may have been established. Teachers sometimes have difficulty distinguishing between true bullying and normal peer conflict. Elementary children are generally not mature enough to handle real bullying situations independently. Research found that the single most effective deterrent to bullying is adult authority. Therefore, the staff must be able to recognize bullying behavior and intervene. Statistics state that in an average classroom, there are likely to be three children who are either a bully or a victim—and in need of adult intervention.
Recognizing Bullying: Teasing vs. Taunting
Teasing:
* Allows teaser and person being teased to swap roles easily.
* Is not intended to hurt
* Is meant to get both parties to laugh
* Maintains basic dignity of everyone involved
* Is discontinued when one becomes upset or objects to teasing
* Is instrumental in learning about relationship building and effective communication, builds community
* Leaves room for apologies
Taunting:
* Is intended to harm
* Is BASED on an imbalance of power and is one-sided
* Involves humiliating, cruel, demeaning, or bigoted comments thinly disguised as jokes
* Includes laughter directed at the target
* Continues especially when target becomes distressed or objects
* Is meant to diminish the self worth of the target
* Is intended to isolate
Recognizing Bullying: Types of Bullying
* Verbal – this accounts for 70% of bullying, involves both boys and girls
* Physical – usually involves boys
* Relational – includes cliques, rumors and exclusion, usually involves girls
Relational bullying can include:
* Destroying and manipulating relationships
* Destroying status within peer group
* Making someone look foolish
* Destroying reputations
* Public humiliation
* Gossiping, spreading nasty and malicious rumors and lies about someone
* Intimidation
* Hurtful graffiti
* Negative text messages
* Excluding someone from a group
* Negative body language (eye rolling, sighs, turning away or pretending not to see someone)
* Threatening gestures
* Notes passed around, anonymous notes
* Silent treatment
* Forming cliques, where others are excluded
Recognizing Bullies
Children likely to be bullies generally have some of these characteristics:
* Like the rewards that aggression brings (attention, control over someone, material possessions)
* Lack compassion/empathy for others
* Lack guilt
* Are bullied by a parent or sibling
* Like to be in charge, like to get their own way, to dominate others
* Misperceive how others treat him/her
* Has sense of entitlement
* Believe the victim provoked and deserves his/her attack
* Uses blame, criticism, and false accusations to project inadequacies on his/her target
* Intolerant of differences
* Fails to develop healthy relationships, but usually has peers who encourage, admire and model them; not loners
* Views him/herself as powerful and well-liked, an unrealistically positive selfimage
* Takes pleasure in excluding others
* Selfish; wants pleasures without regard to others' needs, feelings, wants or rights
* Use others to get their way
* Lack foresight to predict consequences of their behavior
* Act when not being supervised
* Crave attention
* Are at least average academically
* View weaker peers and siblings as prey
* Can be any size
When bullies are caught, they tend to:
* Deny any wrongdoing, refuses to accept responsibility
* Trivialize the event ("just playing")
* Counterattack the victim ("she/he started it")
* Counts on the support of bystanders to corroborate the story
* Claim victim status (cries or accuses) and tries to make victim look like the bully
Recognizing Victims
Children likely to be victims of bullying generally have some of these characteristics:
* Lack social skills
* Shy
* Isolated
* Use money or toys as bribes to protect themselves
* Learning disabled
* Survived past trauma
* Look different
* Are repeatedly bullied
Children who are being bullied will begin to show some of these changes:
* Show anxiety, fear, sadness, self-hatred, possible depression
* Drop in self-esteem, become self-defeating and fearful
* Disruption in academic performance
* Loss of interest in school
* Physical symptoms such as stomach aches, headaches, fatigue
* Excessive absences
* Panic, irrational retaliation
* Focus on revenge or else isolation
Becoming the victim of bullying is a loss experience for the victim; there is a loss of personal safety, self-esteem, of belonging, and/or control of his/her own life.
Why victims do not tell:
* Fear
* Shame
* Helplessness
* Belief that it is a normal part of growing up (NOT TRUE)
* Hopelessness
* Do not want to "tattle"
* An adult either is the bully or is minimizing the problem; therefore, adults aren't viewed as a possible solution.
Tattling vs. Telling
Tattling only gets someone in trouble, it does not relieve anyone else's pain.
Telling gets someone (self or other) out of a mess and will possibly get help for both the victim and the bully.
Recognizing Bystanders
"Thou shalt not stand idly by. The opposite of love is not hate, but indifference; indifference creates evil. Hatred is evil itself. Indifference is what allows evil to be strong, what gives it power."
- Holocaust Survivor
* Bullies – start it and take an active part
Types of bystanders:
* Followers – don't start it but take an active part
* Supporters – Support the bullying but don't take an active part
* Passive supporters – like the bully or the bullying but don't show open support
* Disengaged onlookers – watch and do nothing
* Possible defenders – dislike the bullying and think they ought to help, but don't
What happens to bystanders:
* Those who observe bullying are more likely to imitate bullying behavior if the bully is perceived as cool, strong, and popular.
* Bystanders are likely to become desensitized to cruelty; they begin to view prejudice and discrimination as an acceptable world view. These values hinder empathy and compassion.
* Bystanders' self-confidence and self-respect erodes as they struggle about whether to get involved and with moral responsibility to help the victim.
* In one study, peers reinforced the bully in 81% of cases, and were more respectful of the bully than the victim.
Why are so many children (who would not instigate bullying) willing to turn away from a victim??
* They are afraid of making the situation worse
* They are afraid of becoming a target (victim)
* The bully is a friend
* The victim is not my friend
* "Not my problem, not my fight"
* Victim is a loser, or deserved it
* They don't want to be blamed for getting the bully in trouble; don't want to be a tattler
* Bullying will "toughen up" the victim
* They have personal safety in the "in" group and don't want to risk defending an outcast
* It is too much trouble, too difficult, scary, painful to get involved
* And very often, they do not know what to do to handle it.
Even though these are legitimate reasons, they do not prevent erosion of the bystander's self-confidence and self-respect. These fears and inadequacies can turn a bystander towards apathy, which is "a potent friend of contempt" since contempt flourishes in a climate of indifference. We are mostly socialized to "mind our own business". Holocaust
experts note the inherent danger of this excuse: "Indifference finally goes lethal; the act of turning away, however empty-headed and harmlessly, remains nevertheless an act."
What Bystanders can do to become Witnesses:
* Support the victim (publicly or privately)
* Refuse to be part of the group
* Talk to the bully (publicly or privately)
* Be inclusive
* Don't repeat rumors
* Don't laugh at derogatory jokes
* Tell an adult
* Offer kindness and concern
* Stand up to the bully (with or without a group)
* Show courage and moral independence
* Share, care, help, serve
* Be altruistic
Bystanders: If you aren't a part of the solution, you are part of the problem!
Bibliography for Chapter 10
1. Coloroso, Barbara. The Bully, the Bullied and the Bystander. Harper Collins, 2003.
2. Short-Camilli, Garrity, Jens, Porter, and Sager. Bullying-Proofing Your School, A Comprehensive Approach for Elementary Schools. Sopris West, 1994.
3. Beane, Allan, PhD. The Bully Free Classroom. Free Spirit Publishing, 1999
4. Wellman, Susan (Founder of the Ophelia Project). www.opheliaproject.org.
11. Strategies for Managing Bullying Situations
Strategies from the Research
Barbara Coloroso states that the four antidotes to bullying are:
* A strong sense of self.
* Being a friend.
* Having a friend (at least one good friend).
* Being able to get into a group (and out of one that is behaving in ways that are not right).
The five personality factors that seem to protect children from being targets:
* Friendliness
* Willingness to share (and perhaps be the first to offer)
* Willingness to cooperate
* Skill in joining the play of others
* Possessing a sense of humor
These suggestions involve the development of friendship skills. This is an easy-to-use list of behaviors that will help in the development of the skills:
Top 10 Ways To Keep Your Friends
1. Show them kindness and respect.
2. Stick up for them.
3. Be supportive when they need help or advice.
4. Tell the truth. Be kind about it.
5. If you hurt a friend, say you're sorry.
6. If a friend hurts you and apologizes, accept the apology.
7. If you make a promise, keep it.
8. Put effort into your friendships.
9. Don't try to change your friends. Accept them for who they are.
10. Treat them the way you want to be treated.
* AND, always be thankful for your friends!
DO:
* Ask about your child's social skills at the parent conference.
* Become knowledgeable about bullying, especially the kinds that are more covert.
* Become involved at the school and take opportunities to observe your child in social situations.
* Use teachable moments to promote empathy and inclusion.
DON'T:
* Set up situations where your child publicly excludes another (i.e. the dreaded birthday party invitations. Please do not have your child pass out invitations or
* Assume your child would never be a bully.
give verbal invitations to an outside activity while at school. These are better done by phone or mail.).
The following is a list of ideas for strategies to be used when managing bullying situations. Much of this information came from Thomas Lickona's writing, as well as Barbara Coloroso's book on bullying.
Just as with other difficult issues that must be dealt with in the classroom, clear classroom rules and expectations are a prominent feature of success in addressing bullying. Barbara Coloroso writes that successful school (and home) environments are characterized by: warmth, positive interest, and involvement from adults. Firm limits must be asserted as to unacceptable behavior, with consequences for aggression that are inevitable, predictable, and escalating; and in case of violations of limits and rules, consistent application of non-hostile, non-physical sanctions is necessary (discipline as opposed to punishment).
If a child confides in you that he or she is being bullied, DO say:
* I believe you,
* I hear you,
* you are not alone,
* it is not your fault, and
* there are things you can do.
The child needs to be able to trust that you will treat the information seriously and confidentially (not secretly).
Antidotes to Bullying
* A strong sense of self
* Being a friend
* Being able to get into a group (and out of one that is behaving in ways that are not right)
* Having a friend (at least one good friend)
* Get help.
* Assert yourself – (such as "I am not up for this. I'm outta here. No more.") Victims are seldom effective by returning aggression; this excites the bully into further attacks. Assertion, rather than aggression, is more effective.
* Use humor – laugh with the bully, it defuses the power of the taunt.
* Avoid potential bullying situations.
* Positive self-talk (such as "I am a good person. I didn't deserve this. The bully has made a mistake and is trying to meet his/her needs in a mean way. I am OK")
* "Own the taunt." – (such as "Yes, my glasses do make me look like a bug, don't they! My Mom makes me wear them.")
Personality Factors That Seem To Protect Children From Being Targets
* Willingness to share (and perhaps be the first to offer)
* Friendliness
* Willingness to cooperate
* Possessing a sense of humor
* Skill in joining the play of others
* Kindness
* Have an older buddy
* Look for ways to be and do good for others
* Choose good friends. Choose a good group to be a part of.
Tips for Joining a Group
* Think about which children like the same things as you like.
* Think about which children are friendly.
* It is easiest to join one person or a group of four or more
* Remember that "No" does not always mean "Never". It could mean "not right now" or "try again later". So try at least three different times to join a group of children (not always on the same day).
* Observe the activity you want to join. Try to fit in by imitating what the others are doing. Do not try to change what the other children are playing.
Strategies from Traut Staff
On November 18, 2004, the Character Education Committee asked the Traut staff to work by grade level to complete a questionnaire about their techniques for bullying prevention strategies and the handling of bullying incidents. This section contains the compiled comments from the staff, by grade level.
1. How do you present vocabulary which is related to bullying prevention to your class?
* Using the character qualities especially "Respect, kindness, integrity, empathy, compassion as vocabulary and in word games.
♦ Use character quality descriptions; reinforce descriptions; consistency of descriptions.
♦ By referring back to the character qualities during reading, spelling and history.
* Vocabulary
♦ Choice; friendship
♦ Empowerment
♦ Empathy
♦ Teasing
♦ Refer routinely to kindness and to respect for authorities and each other.
♦ Taunting
♦ Choices; opportunities to say something positive
♦ Introduce what the word bully means
*
♦
Define what a "bystander" is; what you can do
Literature
♦ Discrimination is bullying ie. Trail of Tears
♦ 100 Dresses
* Role modeling the vocabulary and use of vocabulary during problem solving
* During teachable moments, especially in history and literature
* Sayings
♦ Fish out of water; how it feels to be uncomfortable; how others can help that person
♦ Golden Rule: "Do unto others as you would have them do unto you." Referred to constantly; fits all situations (takes practice)
♦ "Hurts your heart"; band-aid; other kinds of hurt besides physical
♦ Sixth grade motto: "Integrity has no need for rules" Constantly referred to
♦ Helping hands, hurting hands
♦ "Who has thought of someone else in this class? They think of you too!"
* Use vocabulary when dealing with student conflicts or lack of empathy situations
♦ "How would you like to be thought of or remembered?"
* Role modeling proper tone of voice
2. In cases of bullying within your classroom, or with students in other areas of the school, what strategies do you use with the "bully" to prevent the situation from recurring?
* Talking with bully
♦ Talking to the bully about their behavior and how it is wrong.
♦ Help the bully realize that they are victimized too i.e. their behavior doesn't help them in life.
♦ Appeal to leadership skills vs. manipulation, bossiness or bullying
♦ Need to want to change
♦ Acknowledge success.
♦ Label behavior, not child.
♦ Use the term "bully" and notice bullying behaviors (not labeling child)
♦ Child put him/her self in the other child's place – reinforce empathy
♦ Perceptions were defined, consequences
* Outcomes for bully
♦ Visit to Mr. Dillon
♦ Stand against the wall
♦ Walk the perimeter of the playground
♦ Do chores for Mrs. Young
♦ Reminder bracelets for hurting hands
♦ Place child in social skills group
♦ Removal of privileges, such as recess
♦ Write an apology letter
* Restitution for victim by bully
♦ Apologize to victim
* Talking with bully and victim
♦ Help the child "repent" by doing something nice for the victim
♦ Have the victim tell the bully what they don't like and that they don't want it to happen again.
♦ Separate bully from bullied; help bully and bullied choose other behavior to reduce cycle (to become appropriate friends with others – maybe with each other at later time)
♦ Use language to show value of the person both bullied and the bully.
♦ Role modeling-verbalize feeling - correct situation if there is a way to correct it (
* Involve parents of bully
♦ Parent becomes involved with a phone call from teacher
♦ Character quality notes to parents
♦ Talk with parent about the situation – parent education. Encourage parents to go to the source to get the whole story. Parents need to be willing to acknowledge that their child may have been involved.
♦ Partnership with parent to support student's change efforts
* Communications
♦ Being willing to be direct in situations i.e. labeling the behavior bullying behavior
♦ Facilitate conversations between parties involved
♦ Direct instruction to students about appropriate student community response– responsibility to report/support victim
♦ Help students to realize what was occurring in a bullying situation.
3. In cases of bullying within your classroom, or with your students in other areas of the school, what strategies do you use with the "victim" to prevent the situation from recurring?
* Talking with victim
♦ Give victim the words to use to confront the child doing the bullying
♦ Attention to victim not to bully
♦ Acknowledge the child's feelings
♦ Advice to victim about who they are hanging around with
♦ Tell the victim it's OK to ask for help and to stand up for themselves without getting aggressive.
♦ Forgive the bully
♦ Role play – what if this happens - what can you do; ie. If someone is chasing you and you don't like it, stop running and tell them you don't like it.
♦ Understand why bullies act the way they do (empathy, compassion) while saying that the behavior is wrong.
♦ Telling/explaining/demonstrating: you have a choice to object, to say "no"
♦ Have the victim state what happened and tell the bully that they don't want that to happen again.
♦ Make victim/target aware of prevention strategies and assertiveness
♦ Victim recognize "bullying" behavior/situation and look for areas to reduce antagonism/reinforcement of bully/bullied relationships
♦ Use language to show value of the person both bullied and the bully.
* Involve parents of victim
♦ Parent conference in extreme cases
4. How do you work with your class as a whole on skills/concepts related to bullying?
* Discussions
♦ Talking with class about difference between tattling and reporting if someone is truly being bullied. (1,2,Paras)
♦ Okay to stand up for yourself. (1,2,Paras)
♦ Nobody is the boss; we can all take turns being the leader. (1,2,Paras)
♦ Okay to get help from adults; we're approachable. (1,2,Paras)
♦ Talk about making good choices. (1,2,Paras)
♦ Class discussion, "teachable moments" (3)
♦ Small group – Q/A – building "tool box" (3)
♦ Constant integrity checks: "intelligence or integrity" (6)
♦ Recognize bystanders' complicity with the bullying (6)
♦ Handle it themselves first. (Specials)
* Instruction/Literature
♦ Written lessons to develop skills/concepts (i.e. letters of apology with 100 Dresses, paragraph on appreciation of IS and CB with Louis Braille) (3)
♦ "Top 10 Ways to Keep Your Friends" (5)
♦ Connections to literature (5)
♦ Literature: Iliad, Odyssey – constantly pointed out (6)
♦ Problem/solution walls (will explain if needed) (6)
♦ Curriculum facilitates discussions and regular opportunities (3)
* Becoming "aware"; developmental (3)
* Poster – strategies (3)
* Show students that they are cared for. (Specials)
* Having all class students write a comment about what they appreciate for every other student and then assembling the best comments on a Valentine for each student (5)
Strategies from the Traut Students
In the spring of 2003, the 6 th grade responded to a bullying survey. This section contains the compiled comments from the students. Answers are grouped by theme.
1. "What do you need from adults in order to feel safe from being bullied or safe in reporting an incident of bullying?"
CONFIDENTIALITY
That your name won't be told…..Not telling who told on them……Tell the teacher in privacy.
Assurance that our report will be anonymous…..Don't tell who reported the incident…..Witness protection program for children…..I would need the adults to not tell who told.
STAFF ATTITUDE
We need to know that the staff is watching out for you…..Their understanding and trust…..Listen to what I have to say…..To be able to tell any adult….Watch over us very well.
That they care and don't laugh or anything…..I need support and not just fake sympathy That you be kind and try to put a stop to bullying…..I need to feel o.k. with telling the situation to the adult…..Should be able to tell the adults and feel safe that the bullies won't be mean to us for telling on them…..I need to know that I won't be a tattle tale…..Comfort, authority and understanding……We should be able to trust them…..To let us be able to talk to you….Teachers need to be nice and understanding…..Trust, empathy…..Understand that some children feel like it is their own business if they are being bullied…..Need to know that the teachers care…..Your safe with them.
STRATEGIES-STAFF
The teachers should watch us…..I need the adults to help the bullies so I will feel safe…..Need to start bullying counseling when you find out who they are…..Get their attention…..I need to have you not make enemies between us…..Adult in range of seeing bully…..Real assurance that the people who are bullying you won't hurt you if you tell on them…..I would like you to punish them and watch at recess or remove them from recess…..Teachers always being around and having consequences for bullying…..Keep a close watch at recess…..Watch us….Keep an eye on it so that I can report that someone is bullying me…..I need the teachers to really look carefully, and if they see someone down they should ask…..Supervision….Tell the bullies not to Need them to actually do something about the problem…..To make sure that when we back and bully me more after I have told an adult…..We should have adults talk with people that are common bullies…..To make sure that people don't do it again…..To take the bully influence away after it has been reported…..Have the playground and everywhere to be nice and everyone can participate…..More protection and no warning;
report something that the bully doesn't harass you…..The assurance that they won't come go straight to the principal…..More teachers on the playground…..Teachers always being around, and if you get caught bullying, something bad will happen
STRATEGIES-STUDENTS
Teach us how to defend ourselves…..Teach defense against bullying….Tell other children not to be afraid to tell on the bullies…..I need to remain calm and go to an adult…..Tell them if you're worried about that person.
PARENT INVOLVEMENT
The adults should call the parents…..The teachers need authority and a phone call to their parents.
EDUCATION
Every now and then have a talk with the whole class and have a lecture…..We would need advice and help from the adults…..Tell the class that if they are caught bullying they will go to the Principal's office.
A CHALLENGE
There were several students who gave an answer of "nothing." However, the most poignant was the statement "Nothing, I can't do anything."
12. If Your Child is Involved in a Bullying Incident
While a healthy environment and prosocial skills are significant indicators for raising children who don't bully or aren't victims, we know that bad things can still happen. When they are courageous enough to tell, victims talk more often to parents than to teachers. As their children's most important advocates, parents must support their victimized children by working with the school to ensure their children's safety. If your child is displaying bullying behavior or is negative bystander it is doubtful they will share this with you. As a parent, it is difficult to acknowledge that your child is part of a bullying situation at all. However, we do a disservice to our children if we ignore this reality in their lives. The motivation of the Bullying Prevention program is to help these children move out of these roles. One of the strategies is to document bullying incidents. Just as with academic struggles, documentation assists in identifying the problems so there can be quick and effective intervention. If you know about a bullying situation, please contact your child's teacher. If you are contacted by the school, please know that the intention is to assist. The expectation is that the school and the parents will work together to deal with the behavior.
Signs that your child may be being bullied:
* Child has torn or missing clothing.
* Child immediately uses bathroom when he/she gets home (school bathroom viewed as unsafe).
* Child is very hungry even though he/she had adequate lunch or lunch money.
* Child is angry or sad, including after a phone or computer conversation.
* Child exhibits out of character behavior, such as stealing, aggression, etc.
* Child has a drop in school performance or interest.
Helping Your Child Avoid The Ways of a Bully
1. Closely monitor TV, videos, games, computer and Internet,, music
a. Violence, reality TV, and talk shows:
i. Desensitize
ii. Dehumanize
iii. Devalue respect, compassion, empathy
iv. Create apathy and callousness
v. Are tolerant of a rude, crude violent society
vi. Look at people as prey, adversaries
vii. Teach partakers to
1. Overreact
2. Be insecure – the world is not a safe place
2. Engage in constructive, entertaining, energizing activities
a. Physical challenge
b. Mental challenge
3. Teach children to live a life of integrity
a. Discern right from wrong
b. Act on what is right, even at personal cost
13. Healthy Homes
Barbara Coloroso, author of The Bully, the Bullied and the Bystander asserts that successful school (and home) environments are characterized by:
1. Warmth, positive interest, and involvement from adults
2. Firm limits as to unacceptable behavior. Consequences for aggression are inevitable, predictable, and escalating.
3. In case of violations of limits and rules, consistent application of non-hostile, non-physical sanctions (discipline as opposed to punishment). Adults act as authorities and role models.
Types of Homes that Promote Healthy Social Relationships:
* Virtues are both taught and demonstrated.
*
The structure is consistent, firm, fair, calm, and peaceful.
* Children are nurtured, valued, believed in and trusted.
* There is healthy risk taking and mistakes are an opportunity to learn.
* Rules are simply and clearly stated and consequences are reasonable – also simple, valuable, and purposeful.
* Children are motivated to be all they can be and there's an atmosphere of acceptance and high expectation where they are held to high standards of conduct because they are capable of being responsible, decent, caring people.
* There is no problem so great it can't be solved and the family is willing to seek help.
* Reasoning with children about the effects of their behavior on others and the importance of sharing and being kind is effective in promoting empathy and prosocial behavior. (Clarke 1984; Kohn 1991)
* Parental modeling of empathetic, caring behavior toward children and toward others in the children's presence is strongly related to children's development of prosocial attitudes and behavior.
* When children have hurt others or otherwise caused them distress, research supports the practice of giving explanations as to why the behavior is harmful and suggestions for how to make amends.
* Parents encouraging school-age children to discuss their feelings and problems is positively related to the development of empathy.
On the Flip Side, Bullying is Fostered by:
* An environment which is neglectful, hostile and uses harsh punishment. (Olweus, 1993)
* Homes where aggression between siblings is the most common form of family violence and may also be a training ground for bullying. (Patterson, 1986)
* Parents inadvertently supporting bullying by accepting it as just a normal part of growing up and leaving children to solve their own problems.
* Homes where children are controlled and manipulated and their feelings are ignored, negated, or ridiculed. Rigid enforcement of rules by means of actual, threatened, or imagined violence or use of humiliation – sarcasm, ridicule, and embarrassment, can contribute to bullying.
* Extensive use of threats and bribes – punishment and rewards which stunt the development of internal motivation to do what is good and right
* An environment where there is no room for mistakes and therefore no risk taking.
* Homes were there's no structure, consistency, boundaries or discipline.
* Children are rescued from any problem.
* Punishments and rewards are arbitrary and inconsistent (this feels unsafe to victims and allows impulsive behavior of bullies – they may take a chance on bad behavior because there may or may not be consequences).
14. Discipline Policy for Bullying
"With care and commitment, we can rechannel the behaviors of the bully into positive leadership activities; acknowledge the nonaggressive behaviors of the bullied child as strengths that can be developed and are honored; and transform the role of the bystander into that of a witness, someone willing to stand up, speak out, and act against injustice. A daunting task, but a necessary one." Barbara Coloroso
The following discipline policies for bullying are intended to be added to the existing Traut discipline format.
1. All reports and observations of bullying behavior are to be reported and responded to by the classroom teacher of the student accused of bully behavior. The goal of a response is to teach children that what they have to say is important. The purpose of reporting the incident to the classroom teacher is to allow for one person in authority to coordinate the response to the behavior of the bully, the victim and any bystanders.
2. As with any discipline incident at Traut, notification to the principal and parents are up to the discretion of the teacher.
3. The following Bullying Incident Log (see sample in Chapter 16) is designed to be used by the teacher. The teacher should document which students were involved in the incident and their behavior. For example, Mary was identified as the bully, Jane was the victim and Alice was a bystander encouraging Mary's behavior. It is only through documentation that recurring behaviors can be identified and changed.
4. Protection of the victim is vital when a student reports an incident. The teacher may need to maintain the confidentiality of the victim until the victim feels able to confront the bully. It is not recommended that the victim confront the bully without first discussing strategies on how to do this with the teacher. It is important to remember that a victim rarely reports an incident after the first event.
5. It is important that the student who has done the bullying is the one inconvenienced by any steps taken to limit contact between the students.
6. A key part of the discipline for the bully is restitution to the victim. This piece is necessary in order to develop the ability to empathize within the student accused of bullying. It is important that the restitution be monitored in order that the victim is not exposed to further harassment.
7. If the behavior of the student results in a visit with the principal, it is recommended that there is follow-up with the parents. The current disciplinary practice involves sending a report home. In order to encourage parent involvement in prevention, it is recommended that parents respond to the discipline report by stating what steps were taken at home in response to the behavior at school.
8. If students maintain their negative behaviors and do not progress, the strategies being used might not be working effectively. It may be appropriate
then to contact the Student Teacher Assessment Team in order to identify more appropriate strategies.
9. The Bullying Incident Log should be taken into consideration when determining classroom placement for the following year. These logs will be given to the teacher for the next year. Since the goal is to change the behavior of the bully, the victim and any negative bystanders, we feel this will be best accomplished if there is staff awareness of any behavior/social issues that the student is struggling with. This is the same philosophy used with academic struggles. Again, the goal is to move the students out of these roles and we are hopeful that by tracking the behavior, we will be able to assist students quickly and effectively toward appropriate character and behavior.
15. Suggestions for Discipline and Consequences
Decisive adult response to bullying behavior is therefore an effective way to help the bullies, the bullied, and the bystanders.
What should the consequences be?
Since the TCKS rule established in the cooperation statements is "we will not bully,"
1. the consequences should be consistent with those for breaking other school rules; and
2. since bullying is antisocial behavior and hurts children, it works well to assign consequences that involve pro-social behavior and help other students.
Punishment vs. Discipline
Punishment is punitive and often reflects the same violations that the bully did; physical punishment, verbal shaming, and isolation. It teaches the bully the art of being more sneaky because the goal becomes bullying without being caught. There has been no change of heart. It also affords the bully the opportunity to see himself or herself as the victim (of the punishment) and overlook the harm inflicted on another.
As defined in Educating for Character by Thomas Lickona:
"…discipline [is] a tool for teaching the values of respect and responsibility… The ultimate goal of discipline is self-discipline – the kind of self-control that underlies voluntary compliance with just rules and laws, that is a mark of mature character, and that a civilized society expects of its citizens. Discipline without moral education is merely crowd control – managing behavior without teaching morality.
Discipline, according to the TCKS Door-To-Door Handbook:
"Discipline in the true sense of the word is positive, encouraging, and even proof of "tough love." Discipline is rendered with respect for the individual student and not at the expense of the child's dignity. Moral discipline requires wisdom."
Intervene Immediately with Discipline
Children need adequate supervision; the physical presence of adults is key, and their assistance is critical. With the bully, the teacher's role is to re-establish the firm limits of the school rules, and work the student through a process for solving the problem:
* Discuss what was wrong with the behavior specifically, and why it was hurtful. This should be constructive and handled with empathy, and thereby the teacher is a positive role model for the bully.
* Resolution:
o How and why did it happen?
o Find new ways to meet needs.
o What to change so it won't happen again?
* Restitution:
o Fix what you broke–ask student to figure out what the appropriate "fix" is.
o Give disciplinary assignments (see Suggestions for Disciplinary
o Apologize.
Assignments).
* Reconciliation (process of healing the relationship with the person harmed):
o Allow the victim time and space.
o The bully is responsible for committing to the process.
o The bully must take on all the responsibility for healing.
o Any and all inconvenience and discomfort belongs to the bully, including schedules and locations.
Goals include:
* Stop the attacks while harming neither the bully nor the victim.
* Getting the bully to take ownership; no excuses!
* Help the victim and the bully get out of their respective roles.
In working on the restitution, if there is conflict to resolve with the victim, the teacher can assist with problem solving and encouraging compromise. Compromise gives children an opportunity to learn that they can't always have everything they want when they want it. Through compromise, they may get some of what they want, plus the success of working out a conflict with peers. Problem solving together can bring out creative ideas and help build a new relationship.
How to Problem Solve:
1. Identify and define the problem.
2. List viable options for solutions.
3. Evaluate options – pros and cons and consequences of each.
4. Choose one option.
5. Make a plan and do it.
6. Evaluate the problem and the solution.
a. How did it start?
b. Was it solved? How?
c. Could it be prevented in the future?
Considerations for Victims
In addition to all inconvenience and discomfort being assigned to the bully, it is important to ask the victim what they need to feel safe, and to work with them on strategies for avoiding bullying. (See "Strategies from Research" section of Chapter 11.)
Considerations for Bystanders
Bystanders may have the opportunity to become part of any problem solving and restitution.
Suggestions for Disciplinary Assignments
Look for opportunities to help the bully get involved in service to others, acts of kindness, and responsibilities that encourage cooperation and interdependence. The first opportunity for this may be in a disciplinary assignment. Here is a collection of consequences of varying severity that are aimed at promoting development of empathy and building character:
* Stay after school to perform a helpful act.
* Miss recess and help in the office or another classroom instead.
* Observe recess, record acts of kindness, caring, helpfulness. Could give out "I caught you caring" recognition notes.
* Make a poster for hanging in the school; the subject could be empathy, a bullying prevention message, inclusion, kindness, etc.
* Write a paragraph on why you are in detention.
* Write a paper about the incident with the roles reversed.
* Write a paragraph about at least three ways you could have handled this situation differently and not be in detention.
* Tell about your best subject in school. Tell about your worst subject. How can you improve?
* List 5 positive qualities about yourself.
* List 3 qualities you need to improve on.
* Write 3 paragraphs about your life. Discuss when you were younger, your life now, and what you plan to be doing with your life ten years from now.
* Write a paragraph about how you have helped someone else become a better person.
* Will you be returning to detention? Write a paragraph explaining your answer.
* Write a report on an altruistic leader such as Martin Luther King, Gandhi, Mother Theresa, etc.
* Assist students who need help (if trustworthy and supervised).
* Do something nice for the victim (if victim approves and bully has genuinely repented; adult supervision required).
* Clean up trash on playground .
* Community service project– in or out of the school community, aimed at developing empathy.
* Assign the student responsibility for a special job (such as mentoring a younger student or helping a specific staff member) that is contingent upon improved behavior. (This is a valuable assignment for a child who has not felt needed or valued. To develop responsibility, we should give chances for being responsible.)
* Anger management training – teach that expressing anger in healthy ways can calm you and make you stronger, but taking anger out on others is hurtful and makes them, and you, feel worse.
Bibliography for Chapter 15
1. Coloroso, Barbara. The Bully, the Bullied and the Bystander. Harper Collins, 2003.
2. Short-Camilli, Garrity, Jens, Porter, and Sager. Bullying-Proofing Your School, A Comprehensive Approach for Elementary Schools. Sopris West, 1994.
3. Lickona, Tom. Character Matters: How to Help Our Children Develop Good Judgment, Integrity and Other Essential Virtues. Touchstone. Simon and Schuster, Inc., 2004. Chapter 7 "Practice Character-Based Discipline."
16. Bullying Incident Log
The purpose of this form is to log the students involved in bullying incidents. This information will be used to assist each student in moving out of the role (bully, bullied, bystander) that he or she may be in. Without this information, it would be difficult to identify and interrupt such behavior patterns.
Traut Core Knowledge School
2515 Timberwood Drive Fort Collins, Colorado 80528 (970) 419-750
Disciplinary Action Report
Incident Date:
Students Involved:
Description of Incident:
Action(s) Taken:
This report completed by: ______________________ (principal)
Recommended Follow-up:
Parents: Please comment on any action regarding this incident that has been taken at home. Please sign and return to principal on __________________(date)
Thank you.
17. Recommended Reading
1. Coloroso, Barbara. The Bully, the Bullied and the Bystander. Harper Collins, 2003.
2. Short-Camilli, Garrity, Jens, Porter, and Sager. Bullying-Proofing Your School, A Comprehensive Approach for Elementary Schools. Sopris West, 1994.
3. Lickona, Tom. Character Matters: How to Help Our Children Develop Good Judgment, Integrity and Other Essential Virtues. Touchstone. Simon and Schuster, Inc., 2004.
4. Beane, Allan, PhD. The Bully Free Classroom. Free Spirit Publishing, 1999
5. Wellman, Susan (Founder of the Ophelia Project). www.opheliaproject.org.
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Cleveland Division of Police General Police Orders
Index
May 28, 2024
EFFECTIVE
Assistance, Employee Assistance and Support
1.1.41
Clandestine Laboratories
5.09.01
Deadly Force Investigation Team
(Rescinded; see 2.01.07)
Deadly Force Encounter Statements, Recording of
1.1.22
4.1.11
07/08/20
Emergency Relief from Duty
Emergency Response Driving
1.3.07
4.01.01
12/15/09
Force – Reporting, Use of
Force – Supervisor Reviews and Investigations, Use of
2.01.05
2.01.06
03/20/23
Information, Disclosure of
(Rescinded; see 7.03.02)
Inspecting, servicing, and repairing Division vehicles
1.3.27
1.1.30
05/13/20
M
Notification of Property Unit, Evidence, Cases Taken Directly to the
10.1.04
03/01/02
Grand Jury
Priority Classification
(Rescinded; see 7.01.02)
Prisoner at Risk for Suicide
(Rescinded)
9.1.02
7.1.03
02/21/20
Rank, Acting Out of
4.05.03
Sexual Harassment Policy
Shooter, Active
1.1.07
3.3.01
09/10/12
Traffic Signal Cameras
(Rescinded/Discontinued)
Traffic Stops
(Rescinded; see 2.02.01, 2.02.02, 2.02.05)
8.2.08
8.2.03
08/09/05
DAD/pmc/arg/kas Policy Unit
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Best Practices from Around the Globe for Long-Term Urban Sustainability
Abstract
By Steven Cohen and Alison Miller November, 2013
This case discusses the need for urban sustainability planning, and how cities are incorporating sustainability into their core operations. We discuss the example of New York City, widely considered a global leader in city-level sustainability and climate resiliency planning, and question what will happen after the sustainability plan's leader, Mayor Bloomberg leaves office at the end of this year. It discusses global trends for urban sustainability, including governance of these cities, and how sustainability plans can transition during times of political change. We then briefly looks at existing efforts at sustainability in Hong Kong, and other Chinese cities, and ask how Hong Kong and China can learn from the experiences of New York, and advance its urban sustainability agenda to become an innovator and leader in the field.
In 2007, for the first time in history, a majority of world's population lived in cities, and the United Nations has estimated that urban populations will almost double by 2050 (Rosenzweig et al., 2010: pg. 910) The world's cities consume between 60 percent to 80 percent of energy production worldwide and account for roughly two-thirds of global carbon dioxide emissions (Kamal-Chaoui and Robert, 2009: p. 9). By 2030, over sixty percent of the planet's human population will reside in cities (World Health Organization, 2013). More efficient water and energy use, more cost effective waste management, lower traffic congestion and cleaner air are all needed to make cities more sustainable over the long run. Adopting sustainability practices is central to urban vitality and to making cities desirable places both for businesses and residents. Increasing consumption and car ownership has resulted in urban sprawl and the flight of the middle class to highcarbon living and working environments (Institute for Transportation & Development Policy, 2010). Cities must now turn to sustainable solutions that will attract residents, stimulate economic growth, and encourage more lifestyles based on renewable resources.
The Need for Urban Sustainability
Local municipal governments have emerged recently as both laboratories for sustainable policies and programs and as leaders in creating and implementing
1
climate change action plans. This trend is significant for a variety of reasons – most notably that the global population is increasingly urban and that cities uniquely control important policy levers that many federal governments do not. As the providers of many important local services and operator of facilities, cities have a unique ability to take specific measurable action to reduce the use of fossil fuels and develop a more ecologically sound water supply, sewage and solid waste management system. They have direct control over critical systems like water and wastewater, waste and recycling, public transit, sustainability of service delivery, building and zoning codes, among others. And cities are able to create localized solutions. For example, more than two thirds of New York City energy use takes place in buildings, compared to a United States average of less than one third, and approximately 75 percent of the city's carbon emissions come from energy use in buildings (PLANYC, 2007: p. 53, 106). For that reason, PlaNYC, New York City's longterm sustainability strategy, focuses on energy efficiency in buildings, rather than automobile or industrial efficiency.
Many sustainability initiatives provide health benefits, economic benefits, and improve quality of life. For example, planning residential and mixed-use buildings around public transport, bike networks, and pedestrian facilities can reduce sprawl and carbon dependency (Institute for Transportation & Development Policy, 2010). Cities have the opportunity to redevelop existing areas by repurposing vacant lots; actions that return value to previously underutilized areas. Additionally, redeveloping brownfields (abandoned, contaminated industrial or commercial property) has proven to reduce crime, increase surrounding property values, create jobs, and encourage private investment (Zborel, 2011). Investment in green space and urban forestry can likewise have positive impacts not only on the environment, but also on local economies and property values. Green space reduces the urban heat island effect, reduces heating and cooling needs and costs, increases air and water quality, and provides a safe, welcoming environment for residents and visitors to enjoy (Zborel, 2011). A sustainable city can be more livable and productive. City governments have been among the first to recognize that environmental quality and economic development go hand-in-hand.
Cities are also joining together to focus on these issues: 12 mega cities, 100 super cites, 450 large cities, and 450 small and medium-sized cities across 86 countries are members of the Local Governments for Sustainability Group (ICLEI 2013). C40 Cities is coordinating the efforts of these individual cities to learn from one another, and strategize on how to best address climate risks and impacts locally. "The 58 cities now represented within the C40 account for 8 percent of the global population, 12 percent of global greenhouse gas emissions environmental and social assets – and have enormous potential to set the framework for a low carbon economy" (C40 Cities 2011).
2 While urban sustainability broadly is increasingly important to city governments, much of these efforts are centered on climate change mitigation and, more recently, adaptation efforts. Keenly aware of their cities' vulnerability to climate change, and, in the case of the United States, seeing little federal-level action, city leaders are taking matters into their own hands, identifying the major local sources of greenhouse gas emissions and energy inefficiencies and developing innovative strategies to address them. Cities are especially vulnerable to climate change; precipitation changes can have serious impacts on water supplies, and sea level rise, flooding and increased storm surges can heavily damage local infrastructure. Most cities are located near bodies of water. Cities have begun to establish climate action plans and in some cases have created targets and timetables for greenhouse gas reductions— a feat that most nations have been unable to accomplish. Data collected by C40 indicate that member cities--representing 297 million people and generating 18 percent of global GDP and 10 percent of global carbon emissions--have taken 4,734 actions to tackle climate change; another 1,500 actions are being implemented (Arup, 2011: p. 4). All that action is producing real results. In the face of increased storm damage from climate change, some cities have begun to develop climate resiliency elements to their sustainability plans.
Under Mayor Michael R. Bloomberg, New York City has undertaken one of the most aggressive sustainability programs in the United States. Responding to the needs of future New Yorkers, the city analyzed its anticipated growth, the growth rate of services required to meet the needs of a growing population, and the impact of that population on aging infrastructure. In particular, climate change presents a number of challenges to the "future New York". As a city with over 500 miles of coastline, New York City is vulnerable to flooding. Temperatures in New York City, particularly in Manhattan, are at times hotter than its surrounding area, due to a phenomenon called "Urban Heat Island Effect," leading not only to health risks to its inhabitants, but also to increased demand on the electricity grid. Heavy storms in urban environments pose risks to the wastewater system, sometimes resulting in overflows of sewage treatment areas. These issues, and others, are only exacerbated by climate change. Mayor Bloomberg During his tenure as New York City's Mayor, Michael Bloomberg assumed a central role in the development of urban sustainability policy by advocating action at the local level. Bloomberg has made sustainability and climate adaptation key priorities of his administration. Critical to the success of Mayor Bloomberg's efforts at sustainability is his view that sustainability is integral to the city's long-term quality and global competitiveness as its population grows and other cities emerge as global leaders. He has tied sustainability to economic development – made them one and the same in New York, and expanded this critical connection globally. Mayor Bloomberg has been the Chair of C40 since 2010, and in 2007 acknowledged the progress made by cities in the move toward sustainable actions and policies:
A Sustainable New York City
"It is the cities, not just in the United States but around the world, that are
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making the changes," he said in Bali. "America doesn't seem to want to have the national government manage its streets and traffic flow. It's going to be up to the mayors to find a way to do that with less pollution and less strangulation on the economy. The public doesn't seem to want the national government to dictate what kind of heating unit you use or how you can get rid of your sewerage." (Fuller, 2007).
PlaNYC 2030 brings together over 25 agencies across the city to incorporate sustainability and develop a "greener, greater city". It targets each sector through specific initiatives and milestones that measure progress and success. Bloomberg has consistently shown his affinity for data-driven policy and analytics to drive measurable results, known for the Peter Drucker axiom, "if you can't measure it, you can't manage it." It was with this spirit that PlaNYC was developed. However, the initial plan was created by the Mayor's office team and did not publicly consult constituents and community groups. Some of these groups were offended and some neighborhoods, like the South Bronx, felt it was not properly represented. Additionally, all initiatives that required upgrades and investments, met opposition when investment decisions were required during the height of the 2008-2009 recession.
An outspoken proponent of climate action at the local level, Bloomberg has led the C40 to adopt its current emphasis on accountability through outcome-driven performance metrics. PlaNYC 2030: A Greener, Greater New York Since 2006, the Mayor's Office of Long-Term Planning and Sustainability has led an effort to define sustainability for New York City, putting that vision into a plan, and implementing the steps outlined in PlaNYC. The Sustainability Office is part of the Mayor's Office and became formally recognized under local law in 2006. Its main purpose is to advance PlaNYC, the sustainability plan unveiled by Mayor Michael Bloomberg in 2007, and to ensure its implementation.
The plan (updated in 2011) details 132 initiatives and more than 400 milestones. The plan includes initiatives in: housing and neighborhoods, parks and public spaces, brownfields, waterways, water supply, transportation, energy, air quality, solid waste, and climate change. One of its primary goals is to reduce the city's greenhouse gas emissions 30% by 2030 – an ambitious goal for a city that was already considered one of the U.S.'s most carbon-efficient, primarily due to its high density and extensive use of mass transit. The central achievement of PlaNYC is its success in integrating environmental protection and quality of life initiatives into an overall effort to promote urban economic development. At its heart, the plan is not designed to protect the environment, but to make the city better able to attract and retain economic growth. The plan maintains that a clean environment makes the city a more attractive place to live in and invest in.
4 Thus far, the office has been able to point to a number of measureable results. Some of PlaNYC's successful milestones include planting 750,000 trees, 300 miles of new bike lanes, the preservation of 92,000 units of housing, regulations to phase out the burning of the dirtiest heating fuel oil, and billions of dollars invested to protect the water supply (City of New York j, 2013). A few of the plan's initiatives helps detail the depth and breadth of the plan:
The Mayor's Carbon Challenge was established to help the city to meet its carbon reduction goal by engaging with the private and nonprofit sector. Because building stock is a large source of carbon emissions out of the direct control of the city, the plan employs a voluntary approach, incentivized through promoting costreduction and competition, "inviting 17 local universities to match City government's GHG reduction target of 30% over ten years, and in 2009 the 11 largest hospital systems, composed of more than 50 individual hospitals, joined the Challenge. Together, these participants occupy 120 million square feet and account for 3.5% of the city's emissions…In April 2013, ten global corporations joined the Challenge, representing 20 million square feet of space and employing 70,000 people." (City of New York g, 2013). To lead by example, the Mayor set an even higher standard for the city's own portfolio of buildings in the 30x17 plan, which aims to cut GHG emissions from municipal sources 30% below the fiscal year 2006 levels by 2017.
The Select Bus System is a transit initiative that has provided buses to areas underserved by the subway system. Now, commuters in boroughs outside Manhattan have reduced their commute times and walking times to the nearest subway station (City of New York j, 2013). This solution is a low-cost alternative to the capital-intensive extension of subways and is an adaptable solution.
The Greener, Greater Buildings plan is an internationally recognized initiative that started in 2009 with the goal of increasing energy efficiency in large buildings in New York City. There are four parts of the plan: benchmarking, energy code updates, conducting energy audits, and sub-meter provisions (City of New York c, 2013). This plan should, in ten years, reduce greenhouse gases by 5%, result in $7 billion in savings, and create 17,800 construction related jobs (City of New York c, 2013).
5 Not all PlaNYC initiatives succeeded. Some programs, like congestion pricing and waste-to-energy garbage facilities, met political opposition and were not implemented. A particularly contentious project is the waste-to-energy plant. On March 6, 2012, Mayor Bloomberg made a request for a proposal for a waste-to-
NYC Clean Heat helps building owners meet new regulations that began in July 2012, designed to reduce air pollution from heating fuel. Through a phase-out approach, the regulations aim to reduce fine particulate matter emissions by 50% by eliminating the heaviest, dirtiest types of fuel oil. The NYC Clean Heat program provides help for buildings in understanding conversion options, coordinating with utilities, and assembling financing (City of New York a, 2013).
energy plant as part of PlaNYC. It "asks private sector firms to submit plans for a pilot facility using reliable, cost-effective, sustainable and environmentally sound waste to clean energy technology, which will help the City meet its goal of doubling the amount of waste diverted from landfills" (City of New York d, 2012). Overall, the goal of the proposal was to seek the cleanest energy options, eliminating any "mass burn" proposals. While environmentally conscious, a waste-to-energy plant may incite "Not In My Backyard" syndrome from constituents, as well as equity issues depending on the location and populations affected.
6 Some sustainability projects require people to change their behavior. Composting is an example of a solution to a problem – food waste that could be diverted from landfills – but requires both new facilities and behavior shifts. Mayor Bloomberg announced a new composting initiative in June 2013. The proposal envisioned construction of a composting plant to handle over 100,000 scraps of food from around the city each year. Food scraps would include "stale bread, fruit scraps, and even chicken bones, in containers [people] will have inside their homes. Once collected, the scraps are then deposited in larger bins on the curb for pickup" (Stevens, 2013). There are currently 150,000 single family homes that plan to participate in 2014 and by 2016 the program should spread across the entire city. The plan is for the Sanitation Department to provide the compost to city agencies and non-profits for the purposes of gardening, soil mitigation or habitat improvement programs (Stevens, 2013). Getting New Yorkers to sort their food waste from other garbage will be a major challenge. This composting plan might become reality; however, due to the upcoming Mayoral transition, it is difficult to predict if it will ever happen. PlaNYC and Onward – Sustainability in a Post-Bloomberg NYC What will the future hold for New York City's sustainability? While the City's Charter requires a sustainability plan, the Office of Long-Term Planning and Sustainability, and periodic sustainability reports, there are many ways to kill a program; it can be starved of resources and attention and could be easily ignored and discarded. What will happen to these initiatives without the drive, money, and power of Mayor Bloomberg himself? Forbes listed Bloomberg in 2013 as the world's thirteenth richest person, with a net worth of $27 billion. Given his wealth, he's been a mayor that wasn't beholden to donors or interest groups and did not need to spend time fundraising. When he relinquishes his office on January 1, 2014, it is difficult to imagine that Bloomberg's replacement will have the same degree of political independence. A new mayor may not prioritize the same big-ticket items as Bloomberg. For instance, the Climate Resilience plan Bloomberg released in early 2013 has a price tag of $20 billion with detailed plans to create floodwalls and levees, institute new building codes to build buildings higher and more resilient, and provide incentives for moving existing electrical equipment farther from the ground (The Economist, 2013). Another PlaNYC program was the revitalization of public spaces such as the Governor's Island, the Chelsea High Line, and Brooklyn Bridge Park projects. While the mayor's office did not finance these projects, Mayor Bloomberg did mobilize support through his network of wealthy individuals and corporate connections He was willing to publicly defend these projects and demonstrate their importance. Finally, the recently unveiled composting plan faces resistance that can only be overcome by an independent Mayor. Composting is only the latest cause among a wide range of signature projects that have weathered significant opposition: soda consumption, gun control, smoking bans, and bikeriding.
A Global Benchmarking Analysis
The Mayor's Office of Long-Term Planning and Sustainability has helped New York City reach environmental and economic goals, and reduce emissions. The Office has succeeded due to strong Mayoral backing and Bloomberg's strong desire to take non-incremental steps toward sustainability. This type of leadership and initiative was not seen in many other cities (Kellermann, 2013). Bloomberg's leadership was critical to the success of PlaNYC. PlaNYC's award of the Citizens Budget Commission's 2013 Prize for Public Service Innovation (Kellermann, 2013) is evidence of its success. The plan established sustainability goals and measures and requires regularly updated plans based on changing needs of the city. (FindLaw, 2013). The plan is designed to adapt to the changing environmental needs of the city with constant changes and new programs.
In Spring 2013, a group of environmental sustainability masters students at the School of International and Public Affairs at Columbia University undertook a benchmarking analysis study on behalf of the New York City Mayor's Office of LongTerm Planning and Sustainability. The Office was faced with an impending mayoral change after a 12-year administration by Mayor Bloomberg, who personally championed sustainability and PlaNYC. The objective was to study sustainability agendas at cities throughout the U.S. and internationally, to inform the city's future plans for sustainability.
The Columbia University team identified six broad overarching trends for urban sustainability initiatives:
This team analyzed sustainability and governance practices of 30 U.S. cities and 6 international C40 cities. The City asked them to research what it could learn from the plans, the planning processes, and the implementation efforts across a wide selection of other major urban systems, in order to enhance PlaNYC. It also asked to understand how those lessons could translate into further institutionalization of sustainability within NYC programs, policies, and practices. The team identified overarching themes within sustainability initiatives across these cities and analyzed how distinct forms of governance influenced these plans. They also identified fifteen platforms that could strengthen PlaNYC and facilitate the institutionalization of urban sustainability initiatives in the future (Master of Public Administration in Environmental Science and Policy, 2013).
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1. "Efforts generally move through stages of articulation, to implementation, to integration; 2. Though sustainability shifts in priority through leadership changes, it is not
5. Most municipal sustainability efforts have greatly accelerated in the last five years; and
3. Energy efficiency was most commonly cited as cities' highest priority; 4. Climate resiliency is generally not prioritized and is not on scale with the threat;
eliminated;
6. There is a global community paying attention to sustainability innovations" (The Future of PlaNYC: Innovations in Sustainability 2013).
The Columbia study also found that across most of the cities, sustainability advanced in stages. A process of moving from individual or "piecemeal" efforts to a more coordinated, overarching strategy followed similar patterns throughout each region. They "identified three principal stages: articulation, implementation and integration, whereby plans were first articulated in a centralized manner, then implemented by many departments. In a few cities, plans are gradually becoming fully integrated into city operations" (The Future of PlaNYC: Innovations in Sustainability 2013). The study consistently found that sustainability was woven into a variety of parts of city government agencies, programs, and projects. It was generally not considered a separate issue, but part of city operations. Cities around the country and around the world see New York's sustainability effort as a model to imitate. Urban sustainability leaders cited the explicit integration of economic and environmental goals and the comprehensive scope of the program as elements worth emulating.
The chief finding of the study was that cities all over the United States and around the world have begun to integrate environmental protection and economic development in order to build urban sustainability. In other words, clean air, water, ample parkland, green infrastructure and the resiliency needed to deal with climate impacts are now considered central features of attractive, economically viable cities. We can't trade off economic development and environmental protection in our cities; both are now interrelated elements of a sustainable city.
8 The project team's analysis of the politics of sustainability was encouraging and made it clear that urban sustainability is not simply the priority of a visionary mayor, but once established, becomes part of the institutionalized base of urban governance. The analysis looked at the institutionalization of plans, and how mayoral influence affected the development and success of sustainability initiatives. They found that the comprehensive plans were generally supported at the mayoral level, and that having strong mayoral leadership was extraordinarily beneficial. They also found that local politics tended to help encourage sustainability plans – rather than stifle them, which was encouraging for New York City, anticipating a significant mayoral change. They also state that "with leadership changes in cities, sustainability rose and fell as a priority but was never abandoned entirely. This may indicate that most cities have moved out of an articulation phase and into some degree of implementation, whereby agencies and groups less affected by political change can continue their work. This is also indicative of public support for sustainability as well as the important work played by outside actors, including nonprofits, the business community, higher education, and other levels of government, which maintain momentum even as governments transition" (The Future of PlaNYC: Innovations in Sustainability 2013). The most successful sustainability efforts were also defined not only by leadership from the mayor and his staff, but were also characterized by an effort to mobilize stakeholders from around the city. Community-based groups, mass-transit advocates, environmental groups, real estate interests, businesses, universities and hospitals were all involved in the city's sustainability efforts.
Hong Kong can be considered fairly successful in many of its efforts at sustainable development. It has the highest rate of public transit usage in the world, supported by its Octopus Card, its innovative smart card system that holds currency for transit as well as parking meters, public pools and parks, movie theatres, restaurants, and more. Over 95% of Hong Kong residents between the ages of 16 and 65 use the card (The Future of PlaNYC: Innovations in Sustainability 2013). Hong Kong's sustainability innovations extend to its early planning on climate adaptation through its Draining Service Department, established after a particularly damaging typhoon in 1992. This department integrates upgraded existing systems, new drainage interception tunnels, underground storage tanks, and large pumping schemes (The Future of PlaNYC: Innovations in Sustainability 2013). Its water conservation and control efforts are also considered a great success among large global cities. Following water shortages in the early 1960s and subsequent water rationing, the city established a program of seawater flushing saving valuable drinking water. By 1999, 79% of residents used this system, and in 2006, the city experimented with pilot programs for use of grey water (The Future of PlaNYC: Innovations in Sustainability 2013). In each of these instances, Hong Kong has demonstrated capacity and desire for progress on urban sustainability.
Sustainability in Hong Kong
However, as urban sustainability advances globally, it may need to take new steps to remain innovative. "Demographic changes, resource constraints, and changes in public trust have prompted questions about the city's path: Will Hong Kong remain a positive example of sustainable urban growth?" (Sapru 2012a). Hong Kong's "emphasis on infrastructure has been its traditional path to development, with new towns and a mass transit railway in the 1970s and 1980s, airport and seaport development in the 1990s, and increased bridge and rail links to mainland China in the 2000s. Hong Kong has also enjoyed the flexibility to experiment with greener, socially conscious, and more sustainable development at its own pace" (Sapru 2012a).
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"In 1997, the Study on Sustainable Development for the 21st Century in Hong Kong (SUSDEV 21) was commissioned by the Government of Hong Kong SAR. They developed a working definition for Sustainable Development in Hong Kong, guiding principles and sustainability indictors and, in particular, a Sustainability Development System with a computer-aided sustainability evaluation tool and recommendations on institutional arrangements" (Liu, Lau, and Fellows 2012). In 1999, the Hong Kong Chief Executive stated in a major policy address that "building Hong Kong into a world-class city and making Hong Kong a clean, comfortable and pleasant home would require a fundamental change of mindset. Every citizen, every business, every Government Department and Bureau needs to start working in partnership to achieve sustainable development" (Government of Hong Kong; "What is Sustainable Development?" 2013).
10 Today, much of Hong Kong's environmental sustainability programs (environmental protection, energy efficiency & renewable energy, waste, water, etc.) are coordinated through its Environment Bureau. In addition, Hong Kong's Council for Sustainable Development was established by the Chief Executive as one of its initiatives to promote sustainability in Hong Kong. This council advises on priority areas, advises on strategies to integrate economic, social, and environmental perspectives, and facilitates community participation and public awareness about sustainable development. Council members are appointed by the Chief Executive and include practitioners from environmental, social and business sectors, as well as senior government officials. The Council is an advisory body and its primary purpose is to serve as a forum for exchanging views on key issues relating to the city's long-term sustainability ("Government of Hong Kong; Council for Sustainable Development" 2013). While this serves some of the same functions as sustainability bodies perform in other cities, it lacks a clear authoritative role in program implementation. It does work closely with the Sustainable Development Division of the Environment Bureau, but the Council lacks the directive to develop and execute programs across city agencies and departments, like New York City's Office of Long-Term Planning and Sustainability. The Council is primarily a forum for exchanging views on key issues related to Hong Kong's long term sustainability, a necessary but not sufficient factor for making critical progress in urban
However, despite the 1997 study, and the 1999 policy address, Hong Kong still lags behind many major urban centers of its size and influence. In 2002, 5 years after the study and 3 years after the address, Hong Kong was still "waiting for its own sustainable development regime comprising a sustainability strategy and a full complement of dedicated institutions, policies, plans and laws…In Hong Kong, with the exception of the nongovernment organization (NGO) community, a few enlightened individuals and business associations, and an increasing number of champions in the government, sustainable development remains more a 'concept on paper' or in 'planning', rather than a realized path to a better 'quality of life' for the majority of its citizens. However, it is also important to note that despite the slow pace of change, the environmental protection and sustainable development agendas are not stagnant and are moving forward" (Mottershead).
sustainability. "The practical means to achieve dense urban sustainable development have not been fully integrated. Whether Hong Kong's existing regulatory system is consistent with the sustainability strategies of Agenda 21, the path to sustainable development and legal implementation needs considerable review" (Chan and Yung 2004).
Incorporating sustainability into economic development and building support for this integration across the city can lead to much greater success than focusing on environmental issues alone and in silos. "A consequence of not engaging in sustainable development is the exodus of Hong Kong's inhabitants -- including Chinese and expatriates working for multinational companies -- to places like Singapore, where quality of life is ranked comparable or higher. Companies are recognizing that they can attract talent with the offer of a cleaner living environment, more green space, and a more forward-thinking approach to urban development" (Sapru 2012a). Unsurprisingly to individuals like Mayor Bloomberg, CDP has reported that sustainability results in positive economic outcomes: "Research shows that positive economic outcomes often stem from investments in public transit, increasing green space, and building infrastructure for walking and cycling, among other initiatives. Our analysis shows that 62% of all reported emissions reduction activities being undertaken by cities have the potential to make cities more attractive to businesses" (CDP 2013).
As Hong Kong's population continues to grow, urban density remains an important sustainability issue. Its population of "7.07 million is projected to grow to 8.47 million by 2041, with most of the city's 'suburban sprawl' taking place in the densely populated New Territories to the north of the older Hong Kong Island and Kowloon districts" Sapru 2012a). This growth is similar to the impetus that sparked Mayor Bloomberg's commitment to sustainability, and many other major global cities. For Hong Kong to continue to attract business and residents to the city, it may require a deeper political commitment to sustainability. A coordinated effort with high level political support and buy-in from agencies and partners in nonprofits and business across the city may be required. These efforts are typical of cities with the most effective sustainability initiatives – though they often did not start out as such comprehensive plans or strategies. The transition from independent projects, like independent transportation and flood control programs, to a coordinated effort throughout the government, perhaps through a comprehensive sustainability plan, might be necessary for Hong Kong to take sustainability to the next level of success.
11 Hong Kong Polytechnic University professor of civil and transportation engineering William Lam emphasized the importance of engagement among the government, private sector, and civil society to implementation of a successful sustainability strategy. He notes that "due to changing demographics, stakeholder engagement has become contentious, highlighting the question of whether the current model of engagement between government, business, and civil society is achieving the intended benefits" (Sapru 2012a). The Columbia University global benchmarking study also found that stakeholder engagement is a key factor in institutionalizing and generating wide support for sustainability initiatives. If Hong Kong is ready to make sustainability a major priority, its focus cannot simply be on individual environmental priorities like air quality, waste management, or water supply, but must develop the institutional support that can implement initiatives such as these, and the capacity to put them in a larger economic development context that coordinates efforts across . "Thomas Tang, director of sustainability and corporate initiatives for global technical and management support company AECOM, said, 'The Hong Kong government seems to be singularly weak at engaging—either with businesses or the civil sector—leading to suspicion and a current impasse.' Tang points out that getting beyond the suspicion is needed to deal with the larger challenges, such as tackling air quality or the growing wealth gap in the population" (Sapru 2012a).
Singapore, a leader in urban sustainability, launched the Singapore Green Plan, its first comprehensive environmental blueprint in 1992, long before many of its contemporaries. "Singapore's well-coordinated urban planning has helped make it an environmental model" in the region, ahead of other cities in Southeast Asia like Bangkok, Jakarta, and Manila, for which the environment was not made a priority early on (Harris and Padawangi 2010). High-level support for environmental policy has been important to the success of the Green Plan and similar efforts in Singapore. While the first plan was launched in 1992, Singapore had forward looking leadership focused on urban environmental policy as far back as the 1960s, which enabled it to begin thinking about and incorporating sustainability into its development from the early stages. For these reasons, "despite the potential environmental problems often associated elsewhere with rapid urbanization, industrialization and increased motor vehicle population, Singaporeans surprisingly today enjoy, besides the fruits of economic growth, clean air, clean water, clean rivers, and clean and green housing" (Seik 1996).
Lessons from Asia: Singapore's Sustainability Blueprint
12 Singapore remains committed to improving its sustainability performance and keeping the environment on the top of the agenda, despite some setbacks. In 2000, a preliminary study on Environmental Sustainability Index by the World Economic Forum rated Singapore among the 10 worst nations in a ranking of the environmental sustainability of 122 countries. Despite having placed environmental policy high on its political agenda for decades, it was still ranked poorly. Singapore appealed to the Index research team, citing its unique features that set it apart from most other nations on the list, and the Forum, recognizing this, revised the rank to 65th out of 122 in the final report. Countries smaller than 5,000 square kilometers were completely left out of subsequent reports to reflect the difficulty in comparison for these small nations (Government of Singapore 2002). However, the report, particularly the initial result, was a driving force behind a renewed commitment to comprehensive urban sustainability over the last decade.
Shortly after the study, in 2002, the Singapore Green plan was updated, delineating its sustainability vision for another 10 years. The Singapore Green Plan 2012 provides "goals for green business development, waste, green spaces, water and air quality, public health, and educational programs….The Green Plan is a national holistic framework for the greening of stated areas over the next few decades" (Bogan et al 2012). The Green Plan emphasized a systems approach based in science and technology, but also recognizing the importance of community involvement and partnership (Harris and Padawangi 2010). In addition to a concerted effort to engage the public, Singapore also works to actively integrate the business community in its sustainability planning: "Singapore is one of Asia's environmentally-friendly building leaders, thanks to the both public and private sectors taking part in the greening of Singapore's buildings. The Singaporean government has increasingly pressured businesses and firms to build sustainably through incentives and regulatory laws" (Bogan et al 2012). While many of the targets outlined in the first Green Plan, and the 2002 version were met or on track to be met by 2012, the government recognized that it must continually build on its successes and failures, and set new goals as it reached for ever greater improvements.
13 For over a year, the Committee worked with civil servants across ministries, leaders of non-governmental organizations, businesses, academia, elected officials, and the public to develop this comprehensive long-term plan for Singapore's development. The resulting plan for 2030 is centered on four main strategies:
In January 2008, Singapore set up the Inter-Ministerial Committee on Sustainable Development (IMCSD), which was established "to formulate a national strategy for Singapore's sustainable development in the context of emerging domestic and global challenges" (Singapore Government 2013a). Notably, this Committee involved high level ministers from areas not traditionally involved in environmental sustainability–key to integrating sustainability throughout the economy. This committee is co-chaired by the Minister for National Development and the Minister for the Environment and Water Resources, and includes the Minister for Finance, the Minister for Transport, and the Senior Minister of State for Trade & Industry. The Committee produced the next phase of Singapore's Green Plan, called Singapore's Sustainable Blueprint: A Lively and Liveable Singapore: Strategies for Sustainable Growth, released in April 2009. The Blueprint "contains the strategies and initiatives we believe are needed for Singapore to achieve both economic growth and a good living environment over the next two decades" (Singapore Government 2013a). It grew not out of an environmental movement, but a desire to "make Singapore a liveable and lively city state, one that Singaporeans love and are proud to call home" (Singapore Government 2009). Similar to NYC's PlaNYC, Singapore's Sustainable Blueprint recognizes that to attract and retain residents requires changes to the way the city operates. Singapore, like New York City, views sustainability as integral to quality of life, and therefore, as an investment in the city's economic well-being.
First, to improve resource efficiency in energy, water and waste management so that we will be more cost competitive and efficient in the long run. Second, to enhance our physical environment through controlling pollution, increasing our greenery as well as cleaning and beautifying our water bodies. Third, to engage the community and encourage them to play their part by adopting more responsible practices, habits and lifestyles. Fourth, to build up our technologies and capabilities in order to realize our sustainable development targets, spur economic growth and export our expertise (Singapore Government 2009).
In October 2013, Prime Minister Lee Hsien Loong announced that the Blueprint would undergo a review to update its initiatives and programs. Some expected changes for the review include enhanced interaction by the public and local communities, including the development of an anti-litter "volunteer corps" that would give volunteers the same warrant cards as enforcement officers from the National Environment Agency. Highlighting the importance of community buy-in and engagement in sustainability efforts, Environment and Water Resources Minister Vivian Balakrishnan "said the proposal aims to remind everyone to take ownership of the environment. 'The real objective of raising a call for volunteers is this sense of empowerment and sense of stakeholding. It's not just about having more people to issue more tickets. That's an almost trivial exercise'" (The Star Online 2013).
As it implements programs outlined in the plan, Singapore states that it is committed to upholding three principles: 1) Long-Term, Integrated Planning, aligning policies - from energy to transport to industry and urban planning, and taking long-term and complete views; 2) Pragmatic and Cost-Effective Manner, consistently assessing effectiveness and efficiency, with measures to temper and soften short-term impacts on of policy changes; and 3) Flexibility, enabling the capacity to adapt to changes in technology and in the global environment (Singapore Government 2013b).
Discussion Questions
2. What are some similarities and differences between the NYC and the Singapore sustainability plans?
1. PlaNYC has been closely associated with Mayor Bloomberg since its inception. Do you think a new mayor can identify sustainability as his own? a. Have you seen similar opportunities in Hong Kong? b. What can Hong Kong learn from the experience of New York City?
14 3. What are some of the risks, relating to sustainability planning, for cities undergoing political change?
a. What are examples of operational and political methods for lowering the priority of sustainability without eliminating a sustainability office?
recipients of the massive new urban growth?
4. Can the model of a comprehensive long-term sustainability PlaNYC work in Hong Kong? How? a. What about other cities in China, particularly those that will be the
6. What do you see as the top three sustainability priorities for Hong Kong's Chief Executive?
5. How can Hong Kong's Environment Bureau and Council for Sustainable Develop institutionalize their work to ensure prioritization of sustainability initiatives, as well as continuity of sustainability efforts throughout time and periods of change?
How does the government garner support across its agencies for these initiatives?
a. What new initiatives or projects can he champion to make sustainability a key part of his agenda? b.
7. What can Hong Kong learn from other cities about successful stakeholder engagement?
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References
Bonini, Sheila and Görner, Stephen. "The Business of Sustainability: McKinsey Global Survey Results." McKinsey & Company. Oct 2011. Web. 10 Jul 2013. http://www.mckinsey.com/insights/energy_resources_materials/the_busine ss_of_sustainability_mckinsey_global_survey_results>
Bogan II, Linzie F.; Chisholm, Leah; Cochran, Bea; Good, Hillary; Price, Jeremy. 2012. "Sustainable Transportation in Singapore." Urban Sustainability Programs: Case Studies. Ed. David J. Hess. 2012. 114 – 121. <www.davidjhess.org>
C40Cities.org. "Climate Action in Major Cities: C40 Cities Baseline and Opportunities." Jun 2011. Web. 18 Oct 2013. <http://www.c40cities.org/media/case_studies/climate-action-in-majorcities-c40-cities-baseline-and-opportunities>
Chan, E.H.W. and E.H.K. Yung. "Is the development control legal framework conducive to a sustainable dense urban development in Hong Kong?" Habitat International 28. 2004. 409–426s.
CDP. "Wealthier, Healthier Cities: How Climate Change Action is Giving Us Wealthier, Healthier Cities." Web. 13 Oct 2013. <https://www.cdproject.net/CDPResults/CDP-Cities-2013-GlobalReport.pdf>
City of Hong Kong. "Council for Sustainable Development" Web. 18 Oct 2013. <http://www.susdev.gov.hk/html/en/council/index.htm>
City of New York a. "About NYC Clean Heat"." NYC Clean Heat, n.d. Web. 26 Jun 2013. <http://www.nyccleanheat.org/content/what-nyc-clean-heat>.
City of Hong Kong. "What is Sustainable Development?" Web. 18 Oct 2013. <http://www.susdev.gov.hk/html/en/council/index.htm>
City of New York b. "About NYC Special Initiative for Rebuilding and Resiliency." NYC Special Initiative for Rebuilding and Resiliency. NYC.gov, n.d. Web. 26 Jun 2013. <http://www.nyc.gov/html/sirr/html/about/about.shtml>.
City of New York d. "Mayor Bloomberg Announces Request For Proposals To Build State Of The Art Conversion Technology Facility To Convert Waste To Clean Energy ." News From the Blue Room. NYC.gov, 06 Mar 2012. Web. 26 Jun 2013.
City of New York c. "Greener, Greater Buildings Plan." Green Buildings & Energy Efficiency. NYC.gov, n.d. Web. 26 Jun 2013. <http://www.nyc.gov/html/gbee/html/plan/plan.shtml>.
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<http://www.nyc.gov/portal/site/nycgov/menuitem.c0935b9a57bb4ef3daf2 f1c701c789a0/index.jsp?pageID=mayor_press_release&catID=1194&doc_na me=http://www.nyc.gov/html/om/html/2012a/pr07712.html&cc=unused1978&rc=1194&ndi=1>.
City of New York e. "Mayor Bloomberg Appoints Sergej Mahnvoski Director of The
City of New York f. "Mayor's Carbon Challenge." Green Buildings & Energy Efficiency. NYC.gov, n.d. Web. 26 Jun 2013. <http://www.nyc.gov/html/gbee/html/initiatives/carbon.shtml>.
Mayor's Office of Long-Term Planning and Sustainability." News From the Blue Room. NYC.gov, 19 Oct 2012. Web. 9 Jul 2013. <http://www.nyc.gov/portal/site/nycgov/menuitem.c0935b9a57bb4ef3daf2 f1c701c789a0/index.jsp?pageID=mayor_press_release&catID=1194&doc_na me=http%3A%2F%2Fwww.nyc.gov%2Fhtml%2Fom%2Fhtml%2F2012b%2 Fpr363-12.html&cc=unused1978&rc=1194&ndi=1>
City of New York g. "Natural Systems." PlaNYC. NYC.gov, n.d. Web. 26 Jun 2013. <http://www.nyc.gov/html/planyc2030/html/theplan/naturalsystems.shtml>.
City of New York i. "The Plan." PlaNYC. NYC.gov, n.d. Web. 26 Jun 2013. <http://www.nyc.gov/html/planyc2030/html/theplan/the-plan.shtml>.
City of New York h. "New York City Mayor's Carbon Challenge Progress Report." PlaNYC. NYC.gov, n.d. Web. 26 Jun 2013. <http://www.nyc.gov/html/gbee/downloads/pdf/mayors_carbon_challenge_ progress_report.pdf>.
City of New York j. "Progress Report 2013". PlaNYC. NYC.gov. 7 June 2013. Web. 11 Jul 2013.
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Foderaro, Lisa W. "A Little-Known Reason for Disparities in New York's Parks." New York Times. 16 Jun 2013. Web. 8 Jul 2013. <http://www.nytimes.com/2013/06/17/nyregion/state-of-citys-parksvaries-according-to-officials-priorities.html?pagewanted=all&_r=0>
The Economist. "You're Going to Get Wet." The Economist. 15, Jun 2013. Web. 8 Jul 2013. <http://www.economist.com/news/united-states/21579470americans-are-building-beachfront-homes-even-oceans-rise-youre-going-getwet> The
17 Fuller, Thomas. "Bloomberg, in Bali, Warns of Paralysis in Washington." The New York Times. 13 Dec 2007. Web. 10 Jul 2013.
<http://cityroom.blogs.nytimes.com/2007/12/13/bloomberg-in-bali-warnsof-paralysis-in-washington/>
Harris J. and R. Padawangi. "Environmentally Sustainable Cities." Developing Living Cities: From Analysis to Action. Ed. Seetharam Kalladaikurichi and Belinda Yuen. Singapore: World Scientific Publishing Co. 2010. 155-190.
"The Future of PlaNYC: Innovations in Sustainability." Master of Public Administration in Environmental Science and Policy, School of International and Public Affairs, Columbia University. Spring 2013. Web. 4 Oct 2013. http://mpaenvironment.ei.columbia.edu/sitefiles/file/spring%2013%20repo rts/Future%20of%20PlaNYC%20%20Innovations%20in%20Sustainability_FINAL.pdf
ICLEI – Local Governments for Sustainability USA and City of New York. (2010). "ICLEI - the global cities network." Web. 18 Oct. 2013. < http://www.iclei.org/>
Kellermann, Carol. "City Environmental Initiatives Win Innovations Prize." Huffington Post. TheHuffingtonPost.com, Inc., 5 Mar 2013. Web. 26 Jun 2013. <http://www.huffingtonpost.com/carol-kellermann/nyc-clean- heat_b_2806956.html>.
Institute for Transportation & Development Policy. "Sustainable Development." ITDP.org. 2010. Web. 10 Jul 2013. < http://www.itdp.org/what-wedo/sustainable-urban-development/>
Liu, Anita M. M., Lau, Wagner S. W., and Richard Fellows. "The contributions of environmental management systems towards project outcome: Case studies in Hong Kong." Architectural Engineering and Design Management. 2012.8. 160-169.
MillionTrees NYC 2013. "About MillionTrees NYC." n.d. Web. 26 Jun 2013. <http://www.milliontreesnyc.org/html/about/about.shtml>.
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Mottershead, Terri. "Sustainable Development in Hong Kong – A Road Yet to be Travelled?" Singapore Journal of International and Comparative Law (2002): 6. 809-854.
18 Navarro, Mireya. "Bloomberg Plan Aims to Require Food Composting." The New York Times. 16 Jun 2013. Web. 8 Jul 2013.
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Sapru, Raj. a "Sustainable Urban Growth: Is Hong Kong a Model for China?" BSR Insight. 27 Nov 2012. Web. 12 Oct 2013. <http://www.bsr.org/en/ourinsights/bsr-insight-article/sustainable-urban-growth-is-hong-kong-a-modelfor-china>
"N.Y. NYC. LAW § 20 : NY Code - Section 20: Office of long-term planning and sustainability." FindLaw, a Thomson Reuters business, n.d. Web. 26 Jun 2013. <http://codes.lp.findlaw.com/nycode/NYC/1/20>.
Sapru, Raj. b "What can Kong Kong teach China about urban sustainability?" Greenbiz.com. 4 Dec 2012. Web. 12 Oct 2013. <http:// http://www.greenbiz.com/news/2012/12/04hong-kong-chinasustainability>
Government of Singapore. "A Lively and Liveable Singapore: Strategies for
Government of Singapore. Ministry of the Environment. "The Singapore Green Plan 2012" 2002. Web. 29 Oct 2013. <http://app.mewr.gov.sg/data/imgcont/1342/sgp2012.pdf>
Government of Singapore. a "About the Sustainable Blueprint" 1 Feb 2013. Web. 23 Oct 2013. <http://app.mewr.gov.sg/web/contents/ContentsSSS2.aspx?ContId=1293>
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Government of Singapore. "Our Guiding Principles." 1 Feb 2013. Web. 23 Oct 2013. <http://app.mewr.gov.sg/web/contents/ContentsSSS.aspx?ContId=1295>
Star Online. "Govt looking into forming anti-litter volunteer corps." 29 Oct 2013. Web. 29 Oct. 2013. < http://www.thestar.com.my/News/Regional/2013/10/29/Govt-lookinginto-forming-antilitter-volunteer-corps.aspx> Stevens, Jen. "Green Piece: The City of Composting." The Weekender. 26 Jun 2013. Web. 8 Jul 2013. <http://www.theweekender.com/apps/pbcs.dll/article?avis=TL&date=2013 0624&category=news&lopenr=306249727&Ref=AR)>
Seik, Foo Tuan. "Urban environmental policy — The use of regulatory and economic instruments in Singapore." Habitat International, 20.1. 1996. 5-22.
19
Waggoner, Bethany. "Green Line Series NYC: David Bragdon & The Big Picture For The Big Apple." GoGreen Conference. GoGreen Conference, 18 Apr 2012. Web. 26 Jun 2013. <http://gogreenconference.wordpress.com/tag/mayors-officeof-long-term-planning-and-sustainability/>.
World Health Organization. "Global Health Observatory." World Health Organization.
Zborel, Tammy. "Sustainable Connections: Strategies to Support Local Economies." National League of Cities. June 2011. Web. 10 Jul 2013.
2013. Web. 10 Jul 2013. <http://www.who.int/gho/urban_health/situation_trends/urban_population _growth_text/en/>
<http://www.nlc.org/Documents/Find%20City%20Solutions/Research%20I nnovation/Sustainability/sustainable-connections-strategies-to-supportlocal-economies-mag-jun11.pdf>
20
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THE PRESIDENT'S MORNING ACTIVITIES
Sunday, November 24
1974
The President awoke at 7:10 am. He was told by his Military Aide, Major Robert Barrett, that Ohio State had beaten Michigan, 12-10. The President expressed disappointment. He asked for additional statistics on the game, and was told that Michigan had outplayed Ohio State, but still lost. The President again expressed disappointment.
The President then got out of bed, did his exercises, showered and dressed. He ate breakfast consisting of melon, strawberries, orange juice, English muffin, and tea.
He read some American newspapers and also a Russian language magazine put out by the USIA which contained an extensive photo story on him.
The President telephoned Mrs. Ford at 8:40 and had a 10 minute private conversation.
Secretary Kissinger arrived at 9:15 am and spent 20 minutes with the President discussing today's meeting. About 9:45 am the President went outside briefly to get some fresh air at his dacha.
He returned through the kitchen where he thanked the staff for their service during his stay. He especially thanked them for providing last night's midnight snack for himself and aides on very short notice.
Dr. Kissinger returned at 9:55 am and he and the President walked to the conference hall for today's meeting.
The meeting began at 10:10 am and recessed at 11:05 am. It's expected to resume about 11:30 a.m. The U.S. participants are President Ford, Secretary Kissinger, and Ambassador Stoessel. For the Soviets, it is General Secretary Brezhnev, Foreign Minister Gromyko, and Ambassador Dobrynin.
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State of Kansas
Abbreviated Provider Manual
September 2021
Contents | Abbreviated Provider Manual
How to enroll as a COVID-19 vaccine administrator
1. Read KDHE provider info
2. Enroll as a provider with KDHE
Site / step
Use & instructions
Access link
* Background information
* Information & instructions on joining the Kansan network of vaccine providers
* Enrollment checklist and FAQs
* Registration for your practice / contact information for those who will be ordering doses
* Contact information for Kansas Immunization Program
3. Set up KansasWebIZ
* Enrollment of your practice in vaccine ordering portal
* Get set up with all you need to start ordering doses for your patient network
Here
Here
Here
Requirements and support for vaccine administrators can be accessed at the CDC's dedicated site
How to order COVID-19 vaccines from KDHE
Weekly schedule to manage vaccine delivery (KDHE and providers)
Important guidelines for completing the form
Doses arrive Monday–Thursday
depending on the volume of orders,
with goal for vaccine to arrive as early
as possible during the week.
Delivery dates will be communicated on Friday/Monday when orders are placed.
Ordering process
Delivery process
Provider action
KDHE is notified of available
vaccine for KS to be ordered for
delivery the
next week
• E.g., notified 5/4 for week of 5/10
Provider deadline (by 5pm
CT) to submit all orders
for vaccine.
Tuesday
Wednesday
Thursday
Friday
Saturday
Sunday
Monday
KDHE submits orders directly to the
federal government for relevant providers
KDHE plans routes and finalizes delivery
dates (depending on volume of orders)
for orders coming via redistribution
from KDHE.
Providers receive confirmation of orders
and delivery details via email on Friday or
Monday before deliveries arrive.
Please submit the form for each location
for which you wish to place an order.
* If you wish to stop receiving emails for a specific location, please opt-out using the form
* Enter the location name and VFC PIN exactly as written on your email confirmation
Please enter the Monday of delivery week for which you are placing orders. The form will indicate for which week orders are currently being accepted.
* I.e., if you place an order between 4/28–4/29, it will be for deliveries the week of 5/3
* Any orders submitted before Wednesday 5pm CT will be out for delivery the following week
Orders are placed for doses.
Please input all dose requests as whole numbers.
Do not type "none" or put a range z
("100-150")
* If you need to revise your order, do not submit another form; instead, email [email protected] with your revision
You are responsible for placing boost orders when you need them. They will NOT be sent automatically.
Please review the latest storage requirements and your own capabilities before placing orders.
These will be updated regularly on the order form.
You may select specific vaccine types, but J&J orders are not guaranteed
to be fulfilled.
* If you have a compelling need for J&J (e.g., homebound visits, mobile clinics in vulnerable communities), please let us know
* We will put all J&J requests on a waitlist and fulfill them based on available supply.
Reporting requirements
| What is it? | |
|---|---|
| What to report | • Daily vaccination doses administered, with details on breakdown between 1st and 2nd doses • Current inventory of different types of vaccines • Accurate race & ethnicity data for those administered vaccines |
| How to report | • Providers need to complete the Site Enrollment Agreement and Provider screening form • Enrolled providers can login to submit their site's vaccine doses administered and current inventory • Providers with identified reporting issues will be required to report via flat file (KDHE will contact you if applicable) |
| How often to report | • 24-hour reporting is required |
| Data checks and compliance | • Monitoring of provider-level data for doses of COVID-19 vaccine administered and reported, will be reviewed for data completeness and quality by the Kansas Immunization Program staff before uploading data to the CDC. |
| Who to contact for help | • KSWebIZ Helpdesk - 785-559-4227 and 877-296-0464 • [email protected] |
Guidance on "Wastage" of punctured vials
Punctured vial "Wastage"
CDC guidance on wastage:
Definition
Punctured vials that are not fully used within the acceptable open period
Guidance
Try to administer all doses in a punctured vial; however, you should open vials even when you can only guarantee that you will administer one dose within that vial
Providers follow clinical best practice for vaccination as well as best practices when managing inventory to maximize vaccination and minimize dose wastage
Providers should not miss any opportunities to vaccinate every eligible person who presents at a vaccination site, even if it means puncturing a multidose vial to administer vaccine without having enough people available to receive each dose
The more Americans who get vaccinated the fewer COVID-19 cases, hospitalizations, outbreaks, and deaths that will occur
Read more about the CDC's guidance on wastage here
Further resources for specific questions
| For questions related to | Who to contact |
|---|---|
| COVID vaccine ordering, vaccine delivery questions or issues, to request data loggers, and VFC Program | Kansas Immunization Program |
| Vaccine Finder, Weekly Snapshot, etc. | Kansas Immunization Program |
| General COVID vaccine inquires | Regional Immunization Consultants |
| KSWebIZ onboarding | KSWebIZ Onboarding |
| KSWebIZ reports, training needs, data entry, local and monthly reconciliations | KSWebIZ Help Desk |
| COVID-19 provider enrollment process, changes to enrollment forms, or enrollment status | COVID Vaccine Provider Enrollment |
| Find My Vaccine tool | Find My Vaccine team |
| LHDs: General COVID vaccine inquiries | KDHE Local Public Health Program |
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Long-lasting Durability
Quality Workmanship
Easy to Install and Operate
Designed for Safe Operation
Hydraulic Lift and Tilt Tables
Tough enamel paint standard in safety yellow or optional in any specified color
Hydraulic cylinders have solid rods which are hard chromed for strength and durability.
Oil-impregnated bushings at all
pivot points for increased life.
Built in power packs with overload protection and integral pressure relief valve.
Galvanized, stainless steel,
and Steel-It paint available
for wash-down applications
8" standard front plate
to secure load
Features and Benefits
*Oversized platforms available to 60" × 48" to accommodate many applications
*Structural steel angle iron on all floor mounting sides for greater strength
*Safety velocity fuses standard on all cylinders
*Lifting and tilting is integrated in one unit
*Options for these units include stainless steel or special paint, oversized platforms, eye bolts, tape switch or skirting, portable or semi-portable, conveyor top, beveled edges, various power supplies, fork pockets, and hand or foot control.
|
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EMERGENCY RESPONSE
THE START WAY
2016-17
Knowledge Management Series: 2018/01
About Caritas India
Caritas India, founded in 1962, is the official development arm (registered under the Societies Registration Act XXI 1860 (the Punjab Amendment Act 1957)) of the Catholic Church in India. Over the years, Caritas India has diversified her interventions in the areas of Humanitarian Response and Disaster Risk Reduction, Climate Adaptative Sustainable Agriculture and Livelihood, Anti-Human Trafficking, Peace-Building and Community Health. With a network of more than 200 partners across India, Caritas India reaches out to the most marginalised through humanitarian and development programmes.
Acknowledgements
Caritas India is indebted to the community volunteers, PRI members the disaster affected people, for allowing us to support them in the hour of great trouble, and trusting us with their needs.
Sincere appreciations to the seamless coordination with Inter Agency Groups, Government officials at different levels, other START Fund winners namely Christian Aid, CARE, OXFAM, CRS and Save the Children. This helped us to closely work out the geographies and share information while responding to the disasters.
Caritas India places her heartfelt appreciations for the faithful solidarity and support from her counterparts, CAFOD and Catholic Relief Services (CRS), through whom Caritas India could bid for the START Fund. Last but not the least, Caritas India is grateful to its diocesan partners for their solidarity and support in different ways in carrying out relief activities.
Concept: Fr. Paul Moonjely
Author: Lee Macqueen
Compilation: Anjan Bag, Jasmine Joseph, Catherine Kune
Information: Dr. John Arokiaraj, Abhishek Kumar, Thangsha Sebastian
Design: Patrick Hansda
© 2018 Caritas India
All rights reserved. Published 2018.
Collaborator:
CAFOD
Just one world
| Page | Title |
|------|-------------------------------------------|
| 01 | Director’s message |
| 02 | How to read the document…? |
| 03 | The emergencies in 2016 & 2017 |
| 04 | The START network |
| 05 | Caritas India START fund responses |
| 07 | START 1: Bihar Flood 2016 |
| 09 | START 2: Cyclone Vardah, Tamil Nadu 2016 |
| 11 | START 3: Bihar Flood 2017 |
| 13 | START 4: Assam Flood 2017 |
| 15 | The Process |
| 16 | The Learning Outcomes |
| 18 | Conclusion |
'Delete no one behind', the clarion call given by the 2030 Agenda accentuated the need to address climate change and disaster risks. The Sendai Framework for Action 2015-30, adopted around the period of SDGs, recognised the faster increase in exposure of people and assets around the world to disaster risks than the decrease in vulnerability. These risks are bred out of and consequences of worrisome levels of inequality induced poverty within and among nations. A nation cannot achieve disaster resilience if much of poorest population continued to live in hazard prone regions owing to poor income levels and social and environmental threats; multifaceted exclusions; and lack of disaster awareness and preparedness.
Every disaster exposes new challenges, socio-cultural, political and communal dynamics on ground zero, given the multifaceted diversity in India. These encounters and learnings continue to shape the response protocols of Caritas India. Over five decade experiences and capacities to respond to crises enabled Caritas India to access START Funds, a unique pool of resource, to respond to Bihar floods, Vardah Cyclone in Chennai and Assam floods in 2016 and 2017.
I am also glad to share with you the START Fund Spot Check Assessment (Alert #180 – Flooding; Bihar + Uttar Pradesh) rated Caritas India/CAFOD response as 'exceeds commitment'. This has been the result of constant learning and adaptation processes to making humanitarian response relevant and dignified for the vulnerable people.
I take this opportunity to express my appreciation to all who made START Network a meaning experience of bringing smiles to the humanity.
Caritas India has been responding to humanitarian crises from the time of its inception in 1965. Over the time, frequency and intensity of disasters have accelerated. The complex realities on the ground, rising inequality, poverty, marginalisation and resulting trauma, have made the nature of humanitarian responses undergo a sea of change. These factors continue to challenge the community of humanitarian aid practitioners globally.
The back to back encounters with disasters have left behind many learnings with Caritas India. She has formulated a Policy on Social Inclusion, and adopted strategies of Psychosocial education and integration of vulnerable communities, with the objective of leaving no one behind.
The objective of the document, 'START 1-2-3-4', is to highlight the learnings from the START Fund responses of Caritas India in 2016 and 17. START's uniqueness lies in its nature of operation, making it mandatory for the response to be kick started within seven days, and completed on 45th day, adhering to the global humanitarian standards, ensuring inclusion of vulnerable population, and coordination with different stakeholders. START Fund enabled greater multi-stakeholder coordination and accountability at all levels.
We are happy to present this learning documentation to our readers, to enhance their appreciation and commitment to humanitarian concerns. These and other humanitarian responses have left behind a great repository of knowledge with Caritas India, and we are happy to share them with you.
DISASTERS 2016 & 2017
India had a major chunk of causalities recorded in overall South Asia floods, concurrently ripping apart the neighbouring countries of Nepal and Bangladesh, killing 1,200 and shutting off 1.8 million children out of school\(^1\). Millions were left homeless, stranded in helplessness without livelihood. The poorest of the poor, often those on the margins of the society were hit the hardest.
The monsoons of 2016 and 2017 bear a mark of deadly flooding, cyclone, landslides and earthquakes, in different regions of India. States of Bihar, Uttar Pradesh, Rajasthan, Madhya Pradesh, Maharashtra, Odisha, Jammu & Kashmir, Tamil Nadu, Gujarat, Arunachal Pradesh, Manipur, Mizoram, Meghalaya, Sikkim, West Bengal and Assam were left overwhelmed by the torrential rainfall, causing the country’s rivers to dangerously circumvent danger levels. This caused mass destruction, in terms of crop loss, damage to houses and assets, and death of humans and livestock. National Disaster Response Forces and other measures were pressed into rescue and relief operations by the Government, but deaths could not be avoided.
A report of the Ministry of Home Affairs, Disaster Management Division, claimed about 480 deaths in rain and flood related incidents since the start of 2016 monsoon in June (Davies, 2016). The sheer scale of these disasters, propelled the concerned humanitarian organisations to come together and raise funding alerts to the START Network. Funding alerts were activated, and grants awarded for Bihar floods, Cyclone Vardah, and floods in Assam and Uttar Pradesh to different humanitarian organisations, including Caritas India with CAFOD and CRS. Caritas India bid for Bihar, Tamil Nadu and Assam, and became a four time in-a-row winner of the START Fund.
\(^1\) https://www.theguardian.com/world/2017/aug/30/mumbai-paralysed-by-floods-as-india-and-region-hit-by-worst-monsoon-rains-in-years
The START Network
A network of 42 national and international humanitarian organisations from five continents, based in the United Kingdom, constitute the international START Network\(^2\). The START Fund, instituted by the network, is to enable humanitarian organisations to kick start the relief response in disasters within 7 days, while the organisations may mobilise additional resources in the meantime for a broader response.
**START Fund Criteria**
Relevance, Efficiency, Effectiveness, with emphasis on inclusion form the basis of project selection. Along these determinants, the Project Selection Committee (PSC) assesses the vulnerable groups identified, lifesaving nature of the relief proposed; capacity to secure relief materials and starting field operations within 7 days; presence /teams deployed in the field for relief distribution; and coordination with the state and local administration, and other organisations. Thus, the process remains transparent, diverse, decentralised and collaborative.
**START Fund Process**
- Start Fund Alerts are raised by the member organisations in view of Situation Reports (Sitrep) from the field, and reports from the authorities on a disaster situation.
- Upon activation of the START Fund Alert, members of the START Network in India submit proposals.
- The PSC is convened comprising representatives from the Start member organisations in the country, who peer review and select projects collectively.
- The decisions for awarding the fund are based on aggregated scoring by project selection members (excluding chairperson) as humanitarian experts, keeping aside their respective organisational hats, along the set criteria for selection.
- On the same day of the proposal review, results are declared by the PSC Chairperson to the START Fund Coordinator, who observes and guides the review process.
- START sends the communication to the awardees, and the next day is the first day of response.
- The teams have to be in the field within 7 days of fund approval, and complete relief work by 45th day.
(View process for Bihar Flood 2017 on page 11)
---
\(^2\) Learn more on [www.startnetwork.org](http://www.startnetwork.org)
Caritas India was the winner of START Fund four times in a row, through CAFOD and CRS for Bihar floods (2016 & 2017), Cyclone Vardah in Tamil Nadu (2016) and Assam flood (2017). The Fund enabled Caritas India to address critical needs of the affected population, complimenting the Government’s relief efforts.
**Tamilnadu 2016**
- Fund Awarded - £59,948
- Household Supported - 1000
- 5450 WaSH Kits & Shelter Kits
**Bihar 2016**
- Fund Awarded - £97,192
- Household Supported - 2639
- 2130 WaSH kits
- 2639 Conditional Food Voucher
**Assam 2017**
- Fund Awarded - £80,000
- Household Supported - 1600
- 1600 Unconditional Cash Transfer & WaSH Kits
**Bihar 2017**
- Fund Awarded - £80,000
- Household Supported - 1250
- 1725 WaSH kits
- 1250 Shelter Kits
---
The figures are exclusively for START Fund responses, leaving out sectors and households reached through other donors and funding, like the HCL Foundation, Emergency Appeal of Caritas Internationalis and private donors.
Reaching the Unreached
Vulnerability is determined by the lack of capacity to withstand and bounce back from a disaster. A look into the official statistics of communities figuring at the tail end of all development and wellbeing indices (health, education, income, food security, political participation etc.), will guide one to the religious minorities, caste and ethnic groups marginalised by various societal processes, like Muslims, Scheduled castes and Tribal. The conditions in which they live makes them vulnerable to numerous day-to-day risks, and disasters. Given that disasters widen the inequity gap and pushed people to poverty, Caritas India targeted these communities that were found to be worst hit by these disasters. Among them, the needs of women and adolescent girls, and children were given special considerations.
Lifesaving Needs
Rapid needs assessments and information on relief provided by the Government helped prioritise lifesaving needs, food, hygiene and sanitation and shelter, for the target population. These were provided through Conditional Food Voucher\(^3\), Water, Sanitation and Hygiene (WaSH) kits and awareness\(^4\), Shelter Kits\(^5\) and Unconditional Cash support, in line with the Sphere Standards, for the delivery of quality humanitarian response.
**Conditional Food Voucher (CFV):** The food items on the CFV supported the affected families with one month of food assistance, given that the sole income source for the beneficiaries were daily wage labour, agricultural labour, and seasonally migration, all of which were badly affected. The families lacked food stocks to sustain them until the situation got normal.
**WaSH kits:** The contents of the kit were intended to address the menstrual hygiene needs of the women and adolescent girls, and general sanitation requirements of other members of the families. The selection criterion for WaSH kit beneficiaries, therefore, was families with females in their reproductive age, considered that such needs get side-lined during disasters, exposing them to serious health risks. Hygiene promotion activities enabled a dialogue with the community on hygiene matters.
**Shelter kits:** Privacy and safety particularly of women and girls, and children and elderly gets compromised after they get temporarily displaced from their dwellings during disasters. Forced to share in the available safe spaces at schools with all affected people, and camped on the roadside, during floods and cyclones, the Shelter kit contained materials to help every family set up its own temporary personal shelters in safe locations.
**Unconditional Cash Support:** The cash support of Rs. 2000 (in Assam) enabled the beneficiaries to complement food requirements. Cash support also helped them to purchase fodder for their livestock, meet medical needs and purchase food grains to last until they resumed work.
---
\(^3\)Food items identified in consultation with affected people are already paid for to the local vendor, and can be obtained upon producing the signed voucher to the vendor.
\(^4\)Menstrual hygiene needs of women and adolescent girls get compromised in disaster times over other immediate concerns of food and safe shelter. Hence, WaSH remains constant in all disaster responses.
\(^5\)Lack of designated shelter in disasters has revealed security threats to women and girls, and basic shelter thus serves as safe space for women.
Bihar is frequented by flood annually, and 73% per cent of the total land area in Bihar is vulnerable to flooding (BSDMA), a state accounting for 32% of the rural population living below poverty line. By 16 August 2016, the State Government reported 16 districts were impacted massive floods, owing to overflowing rivers from Nepal, breaching the embankment at various places, and torrential rains. 72 deaths were reported in the affected districts. The cost of damage was estimated to be INR 22,342 lakhs (2.2 Million) across 14 districts, 78 blocks, 580 panchayats and 2361 villages. 3783 houses were reportedly damaged; livelihoods were badly affected with the submergence of paddy fields and granaries leading to acute food shortage. Due to rapid submergence in many affected areas, people had to move to safe places, which were mostly schools, roads, embankments. A total of 464 relief camps were functioning in the flood-hit areas, giving shelter to 386,450 people (ACAPS Briefing note 09/08/16).
Coverage
Caritas India together with CAFOD, provided emergency relief to 2300 households across 13 villages, from Kishanpur and Saraigarh blocks of Supaul district. Dalits, Mahadalits and Muslims were found to be worst affected.
Rapid assessments by Caritas India/CAFOD revealed lack of access to safe drinking water for about 80% households, and approximately 75-80% water sources were either completely submerged or contaminated. Food shortage; water borne diseases; and need for sanitary napkins for adolescent girls and women were found to be the immediate lifesaving needs.
Caritas India/CAFOD provided Conditional Food Vouchers and WaSH kits to meet the food requirements and menstrual hygiene needs, respectively, to last for one to three months, till the situation got normal.
Disaster Impact
BIHAR | Supaul District
2300 Households
33 Lakh People affected by flood
13783 Houses damaged
Source: Disaster Management Department flood update as on 5/8/16
Sector Support
WaSH Kits
Conditional Food Voucher
A much underestimated severe cyclonic storm Vardah crossed the Bay of Bengal and made landfall on the afternoon of December 12, 2016 in Tamil Nadu, with wind speeds up to 140 km per hour. 18 deaths were official reported by the State Government by December 13. Tamil Nadu is vulnerable to frequent cyclones and flooding in the coastal districts.
Damage in Chennai due to Vardah included damaged houses, especially makeshift and poorly constructed ones, and infrastructure; uprooted trees, downed power lines, and blocked roads. Water supplies were cut, and government provision of water was minimal, creating shortage of water for consumption and hygiene purposes. All the ground water sources (hand pumps, bore wells) were submerged during the floods, thereby contaminating the water and making it unsuitable for domestic purpose.
Coverage
Caritas India in partnership with CRS responded jointly in Chennai City Municipality and four administrative blocks of Ellapuram, Gummidiipoodni, Kadambathur and Puzha in Tiruvallur district, covering 1000 households.
The assessments had confirmed that the local slum dwellers, mostly the Scheduled castes engaged in wage labour, and fishing community, were worst affected.
Caritas India/CRS provided Shelter kits and WaSH kits to help families take care of their immediate requirements.
Disaster Impact
TAMILNADU
Tiruvallur District
Chennai City Municipality
20,000 People evacuated
10 Deaths reported
Source: NDTV, Dated: 13/12/16
Sector Support
WaSH Kits
Shelter Kits
Bihar’s annual floods have been restricted to settlements along the state’s great rivers — the Ganga, Gandak, and Kosi. Monsoon rains, overflowing rivers from Nepal, breaching the embankment at various places have always been the reason for annual flooding of Bihar. In 2017 too, the unprecedented flooding engulfed 16 districts of Bihar, of which Kishanganj, Araria, Katihar and Purnia were worst affected districts. 72 deaths were officially reported by disaster management department, by August 16, 2017.
START FUND TIME-LINE
- Start Fund Alert circulation (15 August)
- Start Fund Alert activated (18 August for ₹400,000)
- Proposal Submission (17 August)
- PSC & Result (18 August)
- Response - Day 1 (Procurement & Logistics) (19 August)
- Reporting to START (17 October)
- PDM (5-9 October)
- Response Completion (2 October)
- Completion (24 September)
- Relief Distribution (25 August)
Coverage
Caritas India with CAFOD supported 1250 households across 13 villages in Araria and Forbesganj blocks of the Araria district. In Araria district alone, 7.5 lakhs people were affected and 20 deaths had been reported by the Disaster Management Department, highest in comparison with other districts.
Overall, the district accounted for 20% deaths in 2017, a leap from 14% in 2016. The village selection happened in coordination with the Additional District Magistrate of Araria and Bihar Inter Agency Group.
Based on the assessments, WaSH and Shelter kits were provided to the community.
Disaster Impact
BIHAR | Araria District
1250 Households
98 Lakh People affected by flood
Over 150 Deaths reported
Source: The Indian Express, Dated: 19/08/17
Sector Support
WaSH Kits
Shelter Kits
Assam, in the North East, is another prey to annual flooding owing to the overflowing Brahmaputra river in the monsoons. The flood in 2017 was the worst in 29 years in the State. Lakhimpur, Dhemaji, Biswanath, Sonitpur, Majoli, Jorhat, Dibrugarh, Morigaon, Cachar, Karimganj and Dhuburi districts are susceptible to annual inundation. Floods had submerged more than 993 villages spread across 14 districts, affecting more than 397,583 people; rendering 22,641 homeless; immersing 31,666 hectares of agriculture land; and claiming 3 lives (ASDMA, July 2016). Successive waves of floods were being predicted by the Central Water Commission warning a rise in the Brahmaputra, while its tributaries Dhansiri and Jiabharali were already flowing above the danger mark.
Caritas India with CAFOD provided humanitarian assistance to 1600 households, comprising mainly the Mishing tribe, Muslim and Adivasi communities of Nowboicha circle, Lakhimpur District. 81,671 people from 137 villages were affected in Lakhimpur district alone, having the Government to open 11 relief camps. The deluge only exacerbated the misery of the people who had been facing recurring floods due to the breach in the dyke of the Singara river.
Needs assessment revealed high shortage of food. Moreover, floods had escalated the risks of water borne diseases, besides the neglect of menstrual hygiene requirements of women and girls. This led to the provision of WaSH kits and Unconditional Cash support\(^1\) of Rs. 2000 to the beneficiaries.
\(^1\)Unconditional Cash support is direct cash handed over to the women of the house, after a thorough assessment of the working of local markets. This empowers women to decide expenditures as per their family needs.
**Disaster Impact**
**ASSAM | Lakhimpur District**
- **1600 Households**
- **17.4 Lakh People affected by flood**
- **4050 Houses damaged**
Source: Joint Needs Assessment Report, IAG Assam, Relief Web, Dated: 02/08/17
**Sector Support**
- WaSH Kits
- Unconditional Cash Transfer
The Process
Caritas India adheres to its Standard Operating Procedures in responding to emergencies. With START Fund Response, some of the procedures were fast tracked to accomplish emergency lifesaving aid within 45 days. These processes broadly include:
**Coordination with Humanitarian Organisations:** Beginning from the selection of partners, who are START Fund Members, to bid for the fund, Caritas India reaches out to the sister organisations CAFOD and CRS to know about their willingness to respond to the disaster. Accordingly, contracts are initiated with them, and joint emergency appeal and proposal submitted to START. Concurrently, Caritas India representative in the respective states participates in the Inter-Agency Group (IAG) meetings to share about the relief plans, determine the nature of aid pledged by others, for a collaborative response, avoiding geographical overlaps between organisations.
**Involvement of local administration:** The local administration, especially the district collectors and magistrates, are kept informed about the response plan, and relief distribution. The village head, and other Panchayat members are included in beneficiary selection and relief distribution processes.
**Participation of target population:** The involvement of the target population is ensured at all stages of response, viz., needs assessment, beneficiary selection, relief distribution and complaints redressal. Volunteers hold Focus Group Discussions (FGDs) separately with both men and women, and participate in relief distribution. One-on-one interactions are held with affected members living in relief camps/other locations such as schools.
**Beneficiary Selection:** The list of beneficiaries drawn up by the CRC is displayed obtrusively in the accessible locations where people are sheltered. The community members get two-days to flag any concerns and disagreements about the beneficiary selection before finalising the list with everyone’s consensus.
**Community Relief Committee (CRC):** The CRC consists of the community representatives, including men and women, under the leadership of the Village Head/Mukhiya. Formation of CRC in the villages is accompanied with the simultaneous activation of Procurement Committee and logistics coordination at Caritas India headquarters.
**Complaints and Feedback Mechanism:** Complaints and Feedback box is placed in the community, wherein the beneficiaries are encouraged to drop in their feedback and grievances relating to any aspect of the response. These grievances are locally resolved, and in cases where dissatisfaction is expressed, and requires intervention of serious nature, the complaints get escalated to Caritas India point person.
**Post Distribution Monitoring (PDM):** Caritas India requires compulsory PDM of its emergency response to assess the effectiveness, by receiving feedback from beneficiaries on the quality, usability, awareness on relief items provided, and overall operation. To maintain objectivity, the team is composed of personnel who are not involved in relief distribution. FGDs and individual interviews are conducted with a sample population. The findings and recommendations are reported and shared with the Management and Manager-Emergency & Disaster Risk Reduction for further actions.
Many valuable learnings and insights were gathered during these responses, some of which are as below:
**TRAINED LOCAL VOLUNTEERS:** The presence of trained local volunteers under a European Union supported Humanitarian Aid programme- PEACH, and partners’ network in the flood affected areas helped in mobilising first-hand information during floods. This proved that investing in the training of local people and volunteers in Emergency Response makes it easy to receive information about the ground situation when affected community start trusting the local volunteers. This further helps in designing tailored response as per needs on the ground, enabling faster relief to the communities.
**COMMUNITY OWNERSHIP AND INTERNAL ACCOUNTABILITY:** Having participation of Panchayat and community members in Beneficiary Selection, Community Relief Committees, Complaint and Feedback Committees, and Post Distribution Monitoring, have helped keeping the process community driven. Even in cases of dissatisfaction among the beneficiaries, it was possible to diffuse tensions by way of face-to-face interaction with the concerned persons. The Community Relief Committees at Panchayat levels demonstrated active ownership of the process of relief distribution. Involvement of children parliament members, youth, SHGs (in Tamil Nadu) and other volunteers made the relief process participatory.
**EMPOWERING TO VOICE OUT:** Humanitarian aid is a right of the disaster survivors, and not charity. Setting up grievance systems, and ensuring participation of community members along the stages,
demonstrated the real empowerment that was taking place in them. Letting people know the contents of the relief package before distribution, made women and men bring to aid worker’s attention if anything article was missing, and comment on the quality of aid. It was spectacular during Bihar response, where the beneficiaries felt comfortable in flagging any concerns or demanding what was left out due to oversight, because they were informed of what to expect. This enhanced accountability of the aid workers and vendor, by strengthening layers of quality checks right from where the goods were sourced.
**MULTI-STAKEHOLDER COORDINATION:** Coordination with local administration, at different levels and humanitarian agencies, helped in effective and efficient utilisation of available resources, by avoiding geographical overlaps. The local administration too felt part of the plan, and guided to areas where Caritas could focus in order to complement their efforts. The mutual trust developed among multi-stakeholders enabled information sharing, collective planning and cooperation in reaching the neediest. Stronger coordination was achieved with Village Council, Ward member, Revenue Circle officers, District Collector, State Inter Agency Groups, START FUND member organisations, State Disaster Management Authorities and Sphere India.
**STEPPING UP:** Training and dialogues with Caritas India Partners on Disaster Risk Reduction helped in initiating relief action on the ground swiftly, particularly. Engagements and orientation related to inclusion had enabled the partners to decipher the neediest and most vulnerable among the affected. To sustain this, and as a step forward, Caritas India would explore START Fund anticipation alerts in future to help with disaster preparedness.
**UNCONDITIONAL CASH SUPPORT AND CONDITIONAL FOOD VOUCHER** - In the respective contexts, in Assam and Bihar, Unconditional Cash support and Conditional Food Vouchers proved beneficial to the communities. This gave them the discretion to decide on their priority needs and plan expenditure accordingly. The unconditional cash support was provided to affected families especially the women, which gave them the freedom and dignity to purchase their immediate needs. During the PDM it was observed that most beneficiaries utilised the cash for purchasing food items, medicine and educational materials for their children. This was purely a result of having rested the cash in the hands of the women, who ensured the family needs were met.
**WaSH TAILORED PROGRAMMING:** The PDM findings led to the realisation that WaSH campaign, including one-on-one and smaller group interactions with women and adolescent girls on menstrual hygiene and personal hygiene, are most effective in inculcating a behavioral change. Besides, it is important to establish community driven initiative alongside the hygiene awareness campaigning, i.e. encouraging the community to clean the sources of water - public wells and handpumps, for greater positive impact on the affected population.
**STRONG TEAM SPIRIT:** Humanitarian situations lead to burn outs among team members due to excessive pressure while deployed in hard to reach areas, tasked with ensuring relief distribution in a safe and protective environment, paying special attention to socially excluded and vulnerable groups, handle sensitive situations in the community, during different stages of response. A strong team spirit, developed by the humanitarian response team leader in each state, by way of regular debriefing and sharing of challenges, provides space for venting out the stress, and collectively finding solutions, preparing for next steps.
Conclusion
Timeliness, Relevance, Efficiency and Effectiveness are continuous pursuits towards which every humanitarian response is geared. The START Fund Spot Check (Alert #180 – Flooding; Bihar + Uttar Pradesh) rated Caritas India/CAFOD’s emergency response as ‘exceeds commitment’. The criteria for assessment were namely, Project Delivery/Ability to Deliver, Governance and controls; Financial Stability and Supply Chain; and Downstream Partners (partnership between Caritas India and CAFOD). This has not just validated Caritas India’s humanitarian approach and responses, but motivated her to actively associate with humanitarian stakeholders, community, and sister organisations like CAFOD and CRS, through which Caritas India has been able to bid for START Fund, for future responses as well.
REFERENCES
Davies, R. (2016, August 11). India-480 People Killed in Floods since June. Retrieved from Floodlist: http://floodlist.com/asia/india-480-people-killed-floods-since-june-2016
PTI. (2016, December 13). 18 people dead due to Cyclone Vardah till now. Retrieved from India Today: https://www.indiatoday.in/india/story/18-people-dead-cyclone-vardah-till-now-chennai-tamilnadu-357315-2016-12-13
Sethi, A. (2017, September 18). Bihar's scary new flood. Retrieved from Hindustan Times: http://www.hindustantimes.com/interactives/bihar-floods-2017/
Ranju was standing beside the school wall watching people queue to receive their relief but her name was not in the list. At an age of 26 she had become widow with a mother of one-and-a-half-year-old daughter. She only thinks about her daughter’s future.
Her house was washed away in the flood and now the mother and child lives with her husband’s relative at Dezoo Chapori village in North Lakhimpur, Assam. She helps in house work but always worried as anytime they can ask her leave the house.
“We wanted to raise our daughter by giving her quality education but our dreams remained as dream”, exclaimed Ranju. She used to stay happily with her husband Madhav Prasad Sharma and daughter in their house close to the river but never thought that the same river will take their house one day.
“Madhav had a medical shop which was their only source of livelihood. After his death, the shop is closed and whatever income used to come has stopped,” narrated Ranju with tearful eyes.
Every one affected by flood has their own story of pain which only brings back the moments of deprivation, confusion, hurt, loss and psychological trauma.
Ranju came to know about the complaint box installed at the distribution point for grievance redressal, so she dropped her application in the box mentioning her case for support. The village committee along with Caritas India personnel reflected on the application and considering her vulnerability had decided to extend emergency relief support to her.
“I will use this money for the admission of my daughter in school and reconstruct my house” said Ranju. She further plans to reestablish her husband’s closed medical shop to become independent so she can provide good education to her daughter.
The complaint redressal mechanism of Caritas India during emergency is an effective step to invite community to submit their confusion, complains and feedback for redressal and improvement. It not only creates space for community to express their views but also brings accountability, transparency and participation.
Every day after distribution of relief materials, the village committee and Caritas India personnel sits with the community and open the complaint box to hear the issues and unanimously decide for its redressal.
Caritas® INDIA
The Joy of Service...
CBCI Centre, 1 Ashok Place
New Delhi 110001
Tel: +91 11 233 633 90
Fax: +91 11 237 151 46
www.caritasindia.org
Email: [email protected]
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Sigma’s breakthrough G.hn chipset – the CG5110 with ClearPath Extreme™ – is the only home networking solution that enables a completely self-install home entertainment network for distribution of Triple Play and IPTV over all existing wires in the home: power line, coax and phoneline. With the CG5110, IPTV deployment costs can drop by 50% or more because there is no need to lay new wires. The CG5110 enables novice end-users to install their own networks, thus avoiding the need for truck rolls. The solution provides unparalleled, full-home coverage over power line with ClearPath Extreme™ – Sigma’s G.hn compliant MIMO technology. The CG5110 also affords end-users unprecedented convenience and flexibility because every power outlet, coaxial outlet and phone jack in the home becomes a network connectivity point on the same mesh network.
Sigma’s CG5110 is the first system-on-chip (SoC) to unify the fragmented IPTV market with a G.hn chipset. It is the only SoC with a full ITU-T G.hn (G.9960/1) stack protocol that guarantees a seamless migration from ITU-T G.9954 Recommendation (HomePNA™ 3.1) and HomePlug® AV Version 1.1/IEEE P1901 to G.hn.
FEATURES
• Compliant with ITU-T G.hn Recommendation (G.9960/1) over all existing wires: power line, coax, and phoneline
• Compliant with ITU-T G.9954 Recommendation (HomePNA™ 3.1)
• Compliant with HomePlug® AV Version 1.1/IEEE P1901
• Compliant with ITU-T G.cx Recommendation (G.9972) over power line
• PHY rate up to 1 Gbps per medium
• Plug & Play solution – auto configuration; self-install over all three media
• G.hn over power line employs ClearPath Extreme™ technology – enables usage of power line as a multiple input multiple output (MIMO) channel, thus extending coverage, improving the network’s immunity to noise and delivering a higher throughput
• Supports both G.hn master and G.hn endpoint applications
• Enables auto detection of supported technologies (G.hn, HomePNA™ and HomePlug® AV) and their corresponding media (power line, coaxial cable, and phoneline)
• Supports simultaneous connection to multiple media to allow auto selection and ensure connectivity
• Supports enhanced algorithms for dynamic topology detection and routing
• Multi-hop relaying/repeater capability among G.hn-based products on every wire
• Supports coordination and coexistence with neighboring networks
• Intelligent Rate Adaptive algorithm to ensure optimal rate on any channel in noisy environments
• Coexists with VDSL2/bonded VDSL2/VDSL/ADSL2+/ADSL2/ ADSL, ISDN, POTs, terrestrial and satellite TV
Features continued on page 3
Sigma’s CG5110 ensures unprecedented levels of consistency and reliability, making it the ideal solution for embedding into G.hn-enabled consumer electronics devices, gateways and set-top boxes for whole-home networking of multiple HD and 3DTV video streams. It provides more throughput than any legacy technology by supporting a 1 Gbps physical layer (PHY) bit rate for multimedia and data distribution over a single medium and up to 3 Gbps by simultaneously using all three wires inside the home. The CG5110 contains a flexible digital engine, the CG5111, with an integrated media access control (MAC) and PHY transceiver that interfaces with an external analog front-end (AFE), the CG5113.
Devices that use the CG5110 will deliver to end-users the highest Quality of Experience (QoE) due to the chipset’s network level and device level QoS. The chipset is optimized to deliver multiple streams of high and standard definition TV (HDTV and SDTV) video content, 3DTV video traffic, audio content, Voice over Internet Protocol (VoIP), data, gaming and other applications that are highly QoS-sensitive.
Over power line, the CG5110 chipset offers unmatched performance with ClearPath Extreme™, Sigma’s MIMO (multiple input, multiple output) feature. ClearPath Extreme uses all three wires in the power outlet – phase, neutral, and ground – to enable the best delivery of IPTV traffic over power lines, even in the presence of surge protectors, circuit breakers and across multiple phases. ClearPath Extreme achieves unprecedented coverage across power outlets, higher guaranteed throughput, and better immunity to noise while maintaining compatibility with ITU-T G.hn Recommendations.
The CG5110 is the first and only technology that enables a completely self-install home entertainment network over coaxial cable. It provides strong immunity to noise caused by compromised infrastructure (poorly shielded cables, bad connectors, and unterminated stubs).
The CG5110 is the highest performing and most robust home entertainment networking solution over phoneline and it coexists with xDSL. It has the longest reach available and also has repeaters, which extend that reach even further.
FEATURES
- Implements OFDM multicarrier modulation, advanced error correction codes, advanced channel adaptation and noise mitigation schemes to maximize throughput
- Supports 16/384/4096/1024/512/256/128/64/32/16/8-QAM, QPSK, BPSK and robust modulation schemes employing diversity in time and frequency
- MAC methods: CSMA/CA, TDMA, and CSMA
- GMII, RGMII and MII host interfaces. Supports MAC and PHY modes
- Comprehensive traffic classification for QoS and flow definition, analysis of layers 2 to 4
- Guaranteed Quality of Service (QoS), prioritized and parameterized
- Device Level QoS
- Supports IPv6, IPv4. Manages multicast using IGMP v1-3 and MLD v1-2
- Supports real multicast for audio and video traffic
- 128-bit AES encryption with key management.
- Instant Security. Also supports legacy pushbutton-based privacy mechanism
- Support for Broadband Forum’s remote management and diagnostics based on TR-069
- Quick system troubleshooting using built-in diagnostic tools and APIs
- Signal quality LED indication
- Field-upgradeable firmware
- Fully configurable device able to integrate customized functionality
- Environmentally-friendly technology - integrates innovative features for reduced energy consumption
- Green and RoHS compliant packaging
- CG 5111A-IBE3: 196 Pin HSBGA
- CG 5113A-INE1: 88 Pin QFN
- Industrial temperature range
- Full development systems and turnkey reference designs enable fast time-to-market
BENEFITS
- Eliminates the cost of professional installation
- Enables flexible deployment architecture according to the customer’s preference. No need to locate the STB near the primary TV or the Gateway near the primary PC
- Consistent user experience and improved immunity to interference on the network for reliable HD picture quality
- Full-home coverage and connectivity results in increased customer satisfaction, higher profits and fewer support calls
- No need to hold double inventory; the same solution can support all media and legacy technologies
- No need to run new wires; G.hn operates over existing power line, coax and phoneline.
- No need to use new CAT5 cables since existing cables can be used to communicate from device to device
- Instantly secure the home network without the hassle of SSID and other cumbersome mechanisms
- Enables fast and cost-effective trouble-shooting via advanced local/remote diagnostic tools
- With CG5110, all CE products in a home can be part of the same mesh network
- Enables a smooth and seamless migration from HomePNA™ and HomePlug® AV 1.1 technologies to G.hn. Unifies the fragmented IPTV market
- Auto technology/auto medium detection eliminates the need for user configuration
- Quick customization and product differentiation via optimized software API
- Fast integration and time-to-market enabled by full development systems and turnkey reference designs, including board layout, manufacturing diagnostic tools, documentation and more
SYSTEM IMPLEMENTATION EXAMPLES:
Ethernet over Power Line Bridge using ClearPath Extreme™
Ethernet over Power Line or Coaxial Cable or Phoneline Bridge
Two Prongs Power Plug or Coaxial Cable or Phoneline
Power Hybrid and Line Driver or Coax/Phone Hybrid or Phone Hybrid
CG5113 AFE
CG5111 MAC/PHY
Ethernet PHY or Switch
100/1G Base-T (Optional)
Note: Optional Support of Pass-Through Power Socket
Memory Flash
Ethernet over Power Line and Coaxial Cable/Phoneline Bridge
Power Plug
Coaxial Cable or Phoneline
Power Hybrid and Line Driver
Coax or Phone Hybrid
CG5113 AFE
CG5111 MAC/PHY
Ethernet PHY or Switch
100/1G Base-T (Optional)
Note: Optional Support of Pass-Through Power Socket
Memory Flash
APPLICATIONS
• Home AV networks
• 3D, High definition (HD) and Standard definition (SD) in-home video distribution, Multi-room DVR
• Video and audio streaming in Media Gateway (IPTV) applications
• Thin clients
• Voice Over IP (VoIP)
• Shared Broadband Internet Access
• PC file and application sharing
• Security and Surveillance (home monitoring)
• Home Health Care
• Gaming
PRODUCTS
• Set-top boxes and CE products
• Residential gateways
• Optical network terminals (ONTs)
SALES OFFICES
U.S.A (HEADQUARTERS)
1778 McCarthy Blvd.
Milpitas, CA 95035
Tel: +1.408.262.0003
Fax: +1.408.957.9740
www.sigmadesigns.com
[email protected]
CHINA
Sigma Designs China
Unit 7C1, TianXiang Bldg.
Tian An Cyber Zone,
Futian District,
Shenzhen, PRC
Postcode 518048
Tel: +86.755.8343.5659
Fax: +86.755.8343.5629
HONG KONG
Sigma Designs (Asia) Ltd.
Unit 4001B, Tower 2,
Metropiazza
223 Ming Long Road
Kwai Fong, N.T., Hong Kong
Tel: +852.2401.7388
Fax: +852.2610.2177
TAIWAN
Sigma Designs (Asia) Ltd.
Far East World Center,
C Tower
7F~5, No. 79, Sec 1
Hsin Tai Wu Road
Hsichih, Taipei Hsien, Taiwan
Tel: +886.2.7708.6818
Fax: +886.2.8551.2278
JAPAN
Sigma Designs Japan, KK
KDX381 Building 2F
3-8-11 Shin-Yokohama
Kohoku Yokohama Kanagawa
222-0033, Japan
Tel: +81.45.470.5877
Fax: +81.45.470.5876
AUSTRALIA, INDIA, INDONESIA, KOREA, MALAYSIA, SINGAPORE
Sigma Designs Technology Singapore
8 Kallang Sector
Level 16, Wing 1
Singapore 349282
Singapore
Tel: +65.6749.1877
Fax: +65.6749.1844
EUROPE
Sigma Designs Denmark ApS
Emdrupvej 26 A, 1.,
2100 Copenhagen O
Denmark
Tel: +45.7020.9940
Fax: +45.7020.9950
ISRAEL, EASTERN EUROPE
Sigma Designs Israel
38 Habarzel St.
69710 Tel Aviv
Israel
Tel: +972.3.769.6222
Fax: +972.3.644.6253
ORDERING INFORMATION
CG5111A-IBE3 G.hn Digital MAC and PHY IC
CG5113A-INE1 G.hn Analog Front-End IC
CG5110HEP Ethernet-over-Power Line Bridge
CG5110HEPC Ethernet-over Power Line and Coax Bridge
CG5110HDK Hardware Development Kit
CG5110SDK Software Development Kit
DISTRIBUTORS
INDIA
Spectra Innovations
#30, Unit 30/4,
St. John’s Road
Bengaluru-560042, India
Tel: +91.80.2558.8323
Fax: +91.80.2558.1427
www.spectraind.com
INDONESIA, MALAYSIA, SINGAPORE
Convergent Systems (S) Pte. Ltd.
60 Albert Street
#11–01 Albert Complex
Singapore 189969
Tel: +65.6337.0177
Fax: +65.6336.2247
www.convergent.com.sg
JAPAN
MACMICa, Inc.
Brilliant Technologies Company
Macnica Bldg. No. 1
1-6-3 Shin-Yokohama
Kouhoku-ku, Yokohama,
222-8561 Japan
Tel: +81.45.470.9831
Fax: +81.45.470.9832
www.btc.macnica.co.jp
KOREA
Uniquest Corp.
Uniquest Building
271-2 Seohyeon-dong,
Bundang-gu, Sungnam-si,
Gyeonggi-do, Korea, 463-824
Tel: +82.31.708.9988
Fax: +82.3.708.9986
www.uniquest.co.kr
TAIWAN
Tradwell Company Ltd.
Far East World Center,
C Tower
8F-8, No. 79, Sec 1
Hsin Tai Wu Road
Hsichih, Taipei Hsien, Taiwan
Tel: +886.2.2698.2066
Fax: +886.2.2698.2099
Features subject to change without notice. Sigma Designs, VXP, CooperGate, Secure Media Processor, Windeo, CoAir, NeoVue, Intelligent Array Radio, TUSCAN, Fast EoC, ClearPath Extreme, Z-Wave, Z-Wave Alliance, the Sigma Designs logo, the VXP logo, the CopperGate logo, the Z-Wave logo, and the Z-Wave Alliance logo are either registered trademarks or trademarks of Sigma Designs, Inc. and its subsidiaries in the United States and other countries. All other trademarks or registered trademarks are the property of their respective owners. Copyright © 2010 Sigma Designs, Inc. All rights reserved. Rev. 10.10
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Register at www.atiseminars.org
$39 per person
($49 at the door if seats are available)
Strategies for
Success for&
Children with Behavior Problems
Children with Special Needs with Maryln Appelbaum, PhD
Saturday, February 2, 2019
at 104 Industrial Blvd., Sugar Land, TX 77478
8 AM to Noon
* ADHD
Seminar Topics
* HYPERACTIVITY
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* LEARNING DISABILITIES
* ANGER & DEFIANCE
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Certificate of Attendance
Receive 4 CLOCK HOURS (.4 CEU's) Recognized by the Texas Department of Family and Protective Services.
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BOARD OF SELECTMEN Minutes of February 22, 2010
Chairman Martha Morrison called the meeting to order at 7:30PM. Board members present in addition to Chairman Morrison, were Richard Gandt, Nancy Luther, Karen Dow and Laura Powers. Of the Selectmen's staff, Town Administrator Virginia Wilder and Board Secretary Donna Rich were in attendance. Other persons present during all or part of the meeting were: William Whiting of the Topsfield Cable; Brendan Lewis of the Tri-Town Transcript; Jack Minnehan, Chairman of the Board of Assessors; and members of the Renewable Energy/Green Communities Committee: George Hall, Sara Beck and Joe Geller (also present as Chairman of the Rail Trail Committee).
ANNOUNCEMENTS:
Chairman Morrison announced that the Board would go into Executive Session to discuss both the Police Chief and the Police union contract negotiations, the medical status of an employee and on-going litigation and would not return to Open Session.
Chairman Morrison announced that the Historical Society and the town Library are jointly hosting an event on Sunday February 28 th at 3PM at the Gould Barn entitled A Timeless Love Story: Love Letters of John & Abigail Adams.
APPOINTMENTS:
7:30PM – Board of Assessors Update - Jack Minnehan, Chairman of the Board of Assessors, was invited to explain the tax classification Public Hearing that took place in December and how that impacts individual residential property tax rates. Other items discussed were evaluations and the procedure to apply for abatement.
7:47PM - Renewable Energy/Green Communities Committee (RE/GCC): George Hall and Sara Beck were invited to update the Board on the RE/GCC activities. George Hall spoke about the committee's investigation of the state's "green community" designation, and pursuing that for Topsfield if it makes sense. They propose to work on energy efficiency and renewable energy initiatives in any case. Mr. Hall spoke of the grant opportunities RE/GCC has applied for, noting that they have received a Massachusetts Technology Collaborative grant in an amount of $8,507 and were waiting to hear regarding the Energy Efficiency & Conservation Block Grant. There was discussion of the RE/GCC using the funds from the MA Technology Collaborative to obtain an energy audit on all town buildings. Sara Beck gave an overview of a program of Mass Energy Insight that will track utility bills, and with the approval of the Board, Sara Beck and a Town employee, to be identified, will be trained to utilize the program, free to the Town. This program will assist in tracking the energy used by the Town, which may reveal inexpensive places to save on energy costs. There was discussion regarding utilizing solar panels on Town-owned buildings and the resources available to assist in moving toward obtaining solar panels.
8:25PM Rail Trail Committee Removal of Rails – Joe Geller, Chairman was invited to speak to the Board regarding an agreement with Iron Horse Preservation Society (IHPS) to remove rails and ties from a section of the Rail Trail. Joe Geller explained that IHPS is a non-profit organization which will remove the railroad track at no cost to the town. The track will then be reused, for example to secure the border between the United States and Mexico. Selectman Gandt made a motion to instruct Iron Horse Preservation Society of Reno Nevada to remove track material from the section of the railroad way extending from Summer Street in a southerly direction to the Wenham town line, beginning with those portions not affected by Wetland
Minutes – 02/22/2010
Page 2
Bylaws and continuing with the remaining portions following approval by the Conservation Commission, seconded by Selectman Luther; so voted: 5-0.
GENERAL BUSINESS
Old Business
Agricultural Commission Appointments: There was discussion regarding additional volunteers that have indicated their desire to serve on the Agricultural Commission and the possibility of alternate membership. Selectman Luther made a motion to appoint Richard Denton as a regular member and Sabina Petersen as a regular member to the Agricultural Commission for terms to expire June 30, 2011, seconded by Selectman Powers; so voted: 5-0.
Revised FY 2011 Police & Fire Budgets: Selectman Luther made a motion to approve the revised FY 2011 budgets submitted to the Board of Selectmen and Finance Committee for the Police & Fire Departments, second by Selectman Powers; so voted: 5-0.
New Business
Planning Board Engineering Consultant Contract: Selectman Gandt made a motion to award a contract to H.L Graham Associates Inc. of Ipswich, MA in an amount not to exceed $31,500 to provide administration and inspection monitoring for the English Commons elderly housing project, seconded by Selectman Powers; so voted: 5-0.
Special Municipal Employee Designation: Selectman Gandt made a motion to establish the Assistant Animal Inspector as a Special Municipal Employee, seconded by Selectman Powers; so voted: 5-0.
Holocaust Remembrance Day: Selectman Gandt made a motion to participate in Holocaust Awareness Week, April 11-17, by submitting the proclamation as revised and for the Chairman to sign, seconded by Selectman Powers; so voted: 5-0.
Liaison Reports
Selectman Gandt announced that the Public Hearing for the Masconomet Regional School FY2011 Budget is scheduled for Saturday, February 27 th at 8:00AM till noon at Masconomet.
Town Administrator's Report:
* Warrant Update – 51 Articles to date
* Health Plan Design Reform Update
* PERAC Meeting Update
* Annual Town Reports are due to the Board of Selectmen's Office
* Response to Congressman Tierney's request for projects for appropriation – submitted by the Highway Department for the Rowley Bridge Road bridge project and the Fire Department for the replacement of the ladder truck and repairs to the Fire Station building.
Correspondence & Reports
Correspondence
Comcast Form 500 Complaint Data: Comcast submitted Form 500 for 2009 cable service. Verizon Form 500 Complaint Data: Verizon submitted Form 500 for 2009 FiOS TV service. Alfalfa Farm Cease & Desist: Inspector of Buildings Zoning Enforcement Officer Glenn Clohecy has sent a letter to Richard Adelman regarding zoning issues at 267 Rowley Bridge St. Letter of Thanks: David Comeau and Al DiDonato of the American Legion Post 255 Topsfield have sent a letter of thanks for the 2009 Veteran's Day Celebration.
Minutes – 02/22/2010
Page 3
Emerson Field Lease to Town: Elizabeth Mulholland, Chairman, Board of Trustees of the Congregational Church, sent a letter to Park & Cemetery Commission explaining the Church's position on the lease of Emerson Field to the Town. The Town has first right of refusal. Auditing Standards: Richard Hingston of Giusti, Hingston & Co has sent a letter outlining standards that have been adopted by his firm and how they apply to the Town of Topsfield. New Triple Play Bundle: Comcast has introduced new bundled service offerings designed to provide more programming options and advanced digital services.
Memorial/Veterans Day Committee: Town Moderator John Kinhan has sent a memo advising the Board of his appointment of Paula Burke of Blueberry Lane to the Memorial Day/Veterans Day Committee, effective immediately and to expire on June 30, 2010.
Galka Cease & Desist: Inspector of Buildings Zoning Enforcement Officer Glenn Clohecy has sent a letter ordering Andrzej Galka to cease and desist from using his property at 221 Washington Street to conduct a landscaping business.
Reports
Board of Library Trustees minutes of January 12, 2010 and agenda for February 9, 2010 have been posted to Library web site.
Conservation Commission has submitted a monthly report for January 2010
Police Department has submitted a monthly report for January 2010 Vocational School District has submitted minutes of December 10, 2009.
Warrants: The Selectmen signed and approved warrants in the amount of $ 2,278,963.40. The breakdown is as follows:
Warrant FY10:
$ 77,241.05
069T
069School $ 205,307.41
70 $1,996,414.94
At 9:05 PM Selectmen Dow made a motion to go into Executive Session to discuss both the Police Chief and the Police union contract negotiations, the medical status of an employee and on-going litigation, seconded by Selectman Luther. In a roll call vote, a yes vote was recorded for Chairman Morrison, Selectman Gandt, Selectman Luther, Selectman Dow and Selectman Powers. The Board would not return to open session.
Respectfully submitted,
Donna Rich, Secretary Selectmen's Office
Approved as written at the March 15, 2010 Board of Selectmen's meeting.
Pursuant to the 'Open Meeting Law,' G.L. 39, § 23B, the approval of these minutes by the Board constitutes a certification of the date, time and place of the meeting, the members present and absent, and the actions taken at the meeting. Any other description of statements made by any person, or the summary of the discussion of any matter, is included for the purpose of context only, and no certification, express or implied, is made by the Board as to the completeness or accuracy of such statements.
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TEXTILE CURRENT ACCOUNTS – SCHEDULE OF CHARGES w.e.f. November 1, 2015
Monthly Average balance
Tex Basic - Rs 25,000
Tex Advantage - Rs 75,000
Mode of calculation of
Monthly Average Balance
FREE SERVICES*
Cash Withdrawal at Base Branch
Local Cheques Issued for Payment (Intra city)
Local Cheque Collection at Base Branch (Intra City)
Fund Transfer (Within ICICI Bank Accounts)
RTGS Collection
NEFT Collection
Debit Card (No annual charges).
Account Statement – Monthly (Physical Copy) / Daily (Through Email)
*Only on Value . Bulk Transaction charges apply.
CASH TRANSACTIONS**
Cash Withdrawal at Non Base
Branch
Only for self cheques – specified process
to be followed .
Rs. 2/- per 1000 /-; Min Rs. 50/-
Only for self cheques – specified process to be followed .
Rs. 2/- per 1000 /-; Min Rs. 50/-
Cash deposit at Base / Non –
Base Branch Location
Combined Free Limit upto Rs. 3 lacs per
month. Above that
For Cash Deposit at Base Branch : Packet
Charges of Rs 20 per100 note of same
denomination; Rs 0.50 per loose note , Min
Rs50 for Base
For cash deposit at non – base branch : Rs
6 per 1000 plus Packet Charges of Rs 20 per 100 note of same denomination; Rs
0.50 per loose note , min Rs100 for non
base
Combined Free Limit upto Rs. 9 lacs per month. Above that
For Cash Deposit at Base Branch : Packet Charges of Rs 20 per100 note of same
denomination; Rs 0.50 per loose note, Min Rs50 for Base
For cash deposit at non – base branch : Rs 6 per 1000 plus Packet Charges of Rs 20 per
100 note of same denomination; Rs 0.50 per loose note , Min Rs 100 for non base
Note: Zero free limit of Cash Deposit if MAB maintained is lower than 80% of committed MAB
**Cash transactions of Rs. 10,00,000/- and above on a single day would require prior intimation and approval of the branch at least one working day in advance
CHEQUE / DD / PO TRANSACTIONS
Cheque / DD / PO
Free upto Rs 75 lacs per month;
Transactions#
Free upto Rs 25 lacs per month; Above that Rs.0.50 per 1000 Subject to min Rs50 per txn. Only for UCC :Rs.50 for instrument less than 10,000; Rs.100 for 10,001 to 1,00,000; Rs.150 for instrument greater than 1,00,000
Above that Rs.0.50 per 1000 Subject to min Rs50 per txn. Only for UCC :Rs.50 for instrument less than 10,000; Rs.100 for 10,001 to 1,00,000; Rs.150 for instrument greater than 1,00,000
#Cheque / DD / PO transactions include Local Cheque Collection at Non Base Branch, Upcountry Cheque Collection (UCC), Multicity cheque payments and DD/PO transactions
OTHER CHARGES
Bulk Transaction Charges -
Cash & Non Cash Transactions
Free upto 50*** transactions per month;
Above that Rs.25 per transaction
Free upto 150*** transactions per month; Above that Rs. 25/- per transaction
*** Does not include RTGS, NEFT, UCC transactions and transactions done through Internet / Phone / Mobile Banking and ATM
RTGS Payment Transaction
Free
Transaction amount between Rs. 2 lakh to
Rs. 5 lakh - Rs. 25 per transaction.
Transaction amount > Rs. 5 lakh - Rs. 50
per transaction.
Up to Rs 10,000- Rs2.5 per Transaction.
Above Rs 10,000 & upto Rs 1 Lac - Rs 5 per transaction. Above Rs. 1 lac and up to Rs.
2 lacs - Rs. 15 per transaction and above
Rs 2 Lac- Rs25 per transaction
50 Cheque leaves Free per month; Above that Rs.5/- per Leaf
Rs 500 per month
Rs 1500 per month
Rs 25 per transactions from first transactions for account not maintaining required MAB. Not applicable on cash deposit transaction.
Rs. 150/- plus service tax for instruments of value above Rs. 100,000/-
Rs. 50 for a particular cheque; Rs. 100 for a range of cheques
Rs. 5/- per page; min. Rs. 200/- per month
Setting Up : Rs 50/-
Execution : Fund transfer charges & out of pocket expenses if any are applicable
Amendment : Rs 25/-
Free; Scheme change request (written) can be made anytime. Scheme change will be effected from start of the next month.
Nil
Rs. 500
Rs. 200
Average of daily closing positive balances of each day spread over a period of one month
NEFT Payment Transaction
Multicity Cheque Book Charges
(First cheque book of 50 leaves free)
Charges for Non Maintenance of Monthly Average Balance
(Applicable from the month subsequent to the account
opening month)
Penal Charges
Speed Clearing
Stop Payment Charges
Account Statement Charges -
Through Fax (Daily / Weekly /
Fortnightly / Monthly)
Standing Instruction
Variant Change to other
Current Account Schemes of
ICICI Bank
Account Closure Charges
If closed within 14 days
If closed beyond 14 days but within 1 year
If closed after 1 year
Free
150 Cheque leaves Free per month; Above that Rs.5/- per Leaf
Transactions available on IVR;
if done through Phone Banking Free
Officer
@@ Available in select cities only.
Doorstep Banking
Cash Pickup
Cash Delivery
Cheque / DD / PO pick up
Trade Document pick up
DD/PO – For single DD/PO Issuance, the number of transactions will count as 2 transactions
Salary payment to multiple accounts through cheque – Transaction count will be considered equivalent to number of multiple accounts credited
This schedule is produced to keep customer informed of broad range of services. For any services or charges not covered under this brochure, please contact any of our branches or write to [email protected]
The service charges are subject to change without any prior intimation to customer. However, the prevailing charges would be hosted on www.icicibank.com. Charge cycle period shall be from 1st to 31st of the month.
All charges are exclusive of Service tax as applicable
This product will be offered only at specific selected locations. The selection of locations will be at the sole discretion of ICICI Bank Ltd. Only.
I / We have chosen to open a Textile Current Account with ICICI Bank and hereby undertake that I / We conduct trading of Textiles. I / We have understood the facilities and charges applicable for the said product.
Signature with stamp
Please contact the nearest ICICI Bank Branch/ your Relationship Manager for details.
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o. Filing and Service of Responsive Documents — Any filing must: (1) Bear in all capital letters the title ''COMMENTS'', ''PROTEST'', or ''MOTION TO INTERVENE,'' as applicable; (2) set forth in the heading the project number of the proceeding to which the filing responds; (3) furnish the name, address, and telephone number of the person commenting, protesting or intervening; and (4) otherwise comply with the requirements of 18 CFR 385.2001 through 385.2005. All comments, protests or motions to intervene must set forth their evidentiary basis and otherwise comply with the requirements of 18 CFR 4.34(b). All comments, protests, or motions to intervene should relate to project works, which are the subject of the termination of exemption. A copy of any protest or motion to intervene must be served upon each representative of the exemptee specified in item g above. If an intervener files comments or documents with the Commission relating to the merits of an issue that may affect the responsibilities of a particular resource agency, they must also serve a copy of the document on that resource agency. A copy of all other filings in reference to this notice must be accompanied by proof of service on all persons listed in the service list prepared by the Commission in this proceeding, in accordance with 18 CFR 4.34(b) and 385.2010.
p. Agency Comments—Federal, state, and local agencies are invited to file comments on the described proceeding. If any agency does not file comments within the time specified for filing comments, it will be presumed to have no comments.
Dated: December 19, 2012.
Kimberly D. Bose,
Secretary.
[FR Doc. 2012–30996 Filed 12–21–12; 4:15 pm]
BILLING CODE 6717–01–P
ENVIRONMENTAL PROTECTION AGENCY
[EPA–HQ–OPPT–2003–0004; FRL–9373–4]
Access to Confidential Business Information by Science Applications International Corporation and Its Identified Subcontractor, Impact Innovations Systems, Inc.
AGENCY
: Environmental Protection
Agency (EPA).
ACTION: Notice.
SUMMARY: EPA has authorized its contractor, Science Applications International Corporation (SAIC) of
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McLean, VA and its identified subcontractor, Impact Innovations Systems, Inc. (IIS), to access information which has been submitted to EPA under all sections of the Toxic Substances Control Act (TSCA). Some of the information may be claimed or determined to be Confidential Business Information (CBI).
DATES: Access to the confidential data occurred on or about December 4, 2012.
FOR FURTHER INFORMATION CONTACT:
For technical information contact: Gloria Drayton-Miller, Information Management Division (7407M), Office of Pollution Prevention and Toxics, Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460–0001; telephone number: (202) 564–8619; fax number: (202) 564– 7490; email address: [email protected].
For general information contact: The TSCA-Hotline, ABVI-Goodwill, 422 South Clinton Ave., Rochester, NY 14620; telephone number: (202) 554– 1404; email address: [email protected].
SUPPLEMENTARY INFORMATION:
I. General Information
A. Does this Notice Apply to Me? This action is directed to the public in general. This action may, however, be of interest to all who manufacture, process, or distribute industrial chemicals. Since other entities may also be interested, the Agency has not attempted to describe all the specific entities that may be affected by this action. If you have any questions regarding the applicability of this action to a particular entity, consult the technical person listed under FOR FURTHER INFORMATION CONTACT.
B. How can I get copies of this document and other related information?
EPA has established a docket for this action under docket identification (ID) number EPA–HQ–OPPT–2003–0004. All documents in the docket are listed in the docket index available at http:// www.regulations.gov. Although listed in the index, some information is not publicly available, e.g., CBI or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, will be publicly available only in hard copy. Publicly available docket materials are available electronically at http://www.regulations.gov, or, if only available in hard copy, at the OPPT Docket. The OPPT Docket is located in the EPA Docket Center (EPA/DC) at Rm. 3334, EPA West Bldg., 1301 Constitution Ave. NW., Washington,
DC. The EPA/DC Public Reading Room hours of operation are 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number of the EPA/DC Public Reading Room is (202) 566–1744, and the telephone number for the OPPT Docket is (202) 566–0280. Docket visitors are required to show photographic identification, pass through a metal detector, and sign the EPA visitor log. All visitor bags are processed through an X-ray machine and subject to search. Visitors will be provided an EPA/DC badge that must be visible at all times in the building and returned upon departure.
II. What Action is the Agency Taking?
Under EPA contract number GS–35F– 4461G, Order Number 1531, contractors SAIC of 1710 SAIC Drive, McLean, VA and IIS of 9720 Capital Court, Suite 403, Manassas, VA will assist the Office of Pollution Prevention and Toxics (OPPT) in providing maintenance support of production-level applications to include InputAcel. Maintenance support actions shall include the development of new and updated documentation.
In accordance with 40 CFR 2.306(j), EPA has determined that under EPA contract number GS–35F–4461G, Order Number 1531, SAIC and IIS will require access to CBI submitted to EPA under all sections of TSCA to perform successfully the duties specified under the contract. SAIC and IIS' personnel will be given access to information submitted to EPA under all sections of TSCA. Some of the information may be claimed or determined to be CBI.
EPA is issuing this notice to inform all submitters of information under all sections of TSCA that EPA may provide SAIC and IIS access to these CBI materials on a need-to-know basis only. All access to TSCA CBI under this contract will take place at EPA Headquarters in accordance with EPA's TSCA CBI Protection Manual.
Access to TSCA data, including CBI, will continue until January 27, 2013. If the contract is extended, this access will also continue for the duration of the extended contract without further notice.
SAIC and IIS' personnel were required to sign nondisclosure agreements and have been briefed on appropriate security procedures before they were permitted access to TSCA CBI.
List of Subjects
Environmental protection, Confidential business information.
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Dated: December 17, 2012.
Matthew G. Leopard,
Director, Information Management Division, Office of Pollution Prevention and Toxics.
[FR Doc. 2012–31094 Filed 12–21–12; 4:15 pm]
BILLING CODE 6560–50–P
ENVIRONMENTAL PROTECTION AGENCY
[EPA–HQ–OPPT–2012–0881; FRL–9373–1]
Certain New Chemicals; Receipt and Status Information
AGENCY
: Environmental Protection
Agency (EPA).
ACTION
: Notice.
SUMMARY: The Toxic Substances Control Act (TSCA) requires any person who intends to manufacture (defined by statute to include import) a new chemical (i.e., a chemical not on the TSCA Chemical Substances Inventory (TSCA Inventory)) to notify EPA and comply with the statutory provisions pertaining to the manufacture of new chemicals. In addition under TSCA, EPA is required to publish in the Federal Register a notice of receipt of a premanufacture notice (PMN) or an application for a test marketing exemption (TME), and to publish in the Federal Register periodic status reports on the new chemicals under review and the receipt of notices of commencement (NOC) to manufacture those chemicals. This document, which covers the period from November 1, 2012 to November 30, 2012, and provides the required notice and status report, consists of the PMNs and TMEs, both pending or expired, and the NOC to manufacture a new chemical that the Agency has received under TSCA section 5 during this time period. DATES: Comments identified by the specific PMN number or TME number, must be received on or before January 25, 2013.
ADDRESSES: Submit your comments, identified by docket identification (ID) number EPA–HQ–OPPT–2012–0881, and the specific PMN number or TME number for the chemical related to your comment, by one of the following methods:
* Federal eRulemaking Portal: http:// www.regulations.gov. Follow the online instructions for submitting comments.
* Mail: Document Control Office (7407M), Office of Pollution Prevention and Toxics (OPPT), Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460– 0001.
* Hand Delivery: OPPT Document Control Office (DCO), EPA East Bldg.,
Rm. 6428, 1201 Constitution Ave., NW., Washington, DC. The DCO is open from 8 a.m. to 4 p.m., Monday through Friday, excluding legal holidays. The telephone number for the DCO is (202) 564–8930. Such deliveries are only accepted during the DCO's normal hours of operation, and special arrangements should be made for deliveries of boxed information.
Instructions: EPA's policy is that all comments received will be included in the docket without change and may be made available online at http:// www.regulations.gov, including any personal information provided, unless the comment includes information claimed to be Confidential Business Information (CBI) or other information whose disclosure is restricted by statute. Do not submit information that you consider to be CBI or otherwise protected through regulations.gov or email. The regulations.gov Web site is an ''anonymous access'' system, which means EPA will not know your identity or contact information unless you provide it in the body of your comment. If you send an email comment directly to EPA without going through regulations.gov, your email address will be automatically captured and included as part of the comment that is placed in the docket and made available on the Internet. If you submit an electronic comment, EPA recommends that you include your name and other contact information in the body of your comment and with any disk or CD–ROM you submit. If EPA cannot read your comment due to technical difficulties and cannot contact you for clarification, EPA may not be able to consider your comment. Electronic files should avoid the use of special characters, any form of encryption, and be free of any defects or viruses.
Docket: All documents in the docket are listed in the docket index available at http://www.regulations.gov. Although listed in the index, some information is not publicly available, e.g., CBI or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, will be publicly available only in hard copy. Publicly available docket materials are available electronically at http://www.regulations.gov, or, if only available in hard copy, at the OPPT Docket. The OPPT Docket is located in the EPA Docket Center (EPA/DC) at Rm. 3334, EPA West Bldg., 1301 Constitution Ave., NW., Washington, DC. The EPA/DC Public Reading Room hours of operation are 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number of the EPA/DC Public Reading Room is
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(202) 566–1744, and the telephone number for the OPPT Docket is (202) 566–0280. Docket visitors are required to show photographic identification, pass through a metal detector, and sign the EPA visitor log. All visitor bags are processed through an X-ray machine and subject to search. Visitors will be provided an EPA/DC badge that must be visible at all times in the building and returned upon departure.
FOR FURTHER INFORMATION CONTACT: For technical information contact: Bernice Mudd, Information Management Division (7407M), Office of Pollution Prevention and Toxics, Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460– 0001; telephone number: (202) 564– 8955; fax number: (202) 564–8951; email address: [email protected].
For general information contact: The TSCA-Hotline, ABVI-Goodwill, 422 South Clinton Ave., Rochester, NY 14620; telephone number: (202) 554– 1404; email address: [email protected].
SUPPLEMENTARY INFORMATION:
I. General Information
A. Does this action apply to me?
This action is directed to the public in general. As such, the Agency has not attempted to describe the specific entities that this action may apply to. Although others may be affected, this action applies directly to the submitter of the PMNs addressed in this action.
B. What should I consider as I prepare my comments for EPA?
1. Submitting CBI. Do not submit this information to EPA through regulations.gov or email. Clearly mark the part or all of the information that you claim to be CBI. For CBI information in a disk or CD–ROM that you mail to EPA, mark the outside of the disk or CD–ROM as CBI and then identify electronically within the disk or CD–ROM the specific information that is claimed as CBI. In addition to one complete version of the comment that includes information claimed as CBI, a copy of the comment that does not contain the information claimed as CBI must be submitted for inclusion in the public docket. Information so marked will not be disclosed except in accordance with procedures set forth in 40 CFR part 2.
2. Tips for preparing your comments. When submitting comments, remember to:
i. Identify the document by docket ID number and other identifying information (subject heading, Federal Register date and page number).
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NATIONAL SERVICE COMMITTEE NEWSLETTER
Lest We Forget! There is much to be thankful for Kin Canada!
Canadian Blood Services (CBS) We are currently at 121% of our goal! However, there is still 1.5 months to go to our December 31, 2017 deadline, so let's see how much more we can give. Find your nearest clinic and book an appointment to donate by visiting: www.blood.ca
To find your Kin ID Number or to connect with your District Champion, visit:
www.kincanada.ca/partnership-goals-with-cbs
Hal Rogers Endowment Fund (HREF) Bursary application submissions are due to your club by February 1st, and due to National via [email protected] by March 1st. The committee is looking for new HREF trustees, could it possibly be YOU? Find the application at: www.kincanada.ca/join-ateam .
National Day of KINdness (NDK) This is our 6th Anniversary! Confirm your participation at: https://form.jotform.com/72825268067969
Remember we want to hear about what you do to celebrate National Day of KINdness even if you don't use any of the supplies that National provides. Please send pictures to the email address at the end of the newsletter.
Project Database The project database is up and running: https://www.kincanada.ca/. We need more projects that can be share across the Association. Do you have an amazing project that other clubs could replicate in their communities? Please consider sharing your success with Clubs across Canada!
Hal and Elspeth Rogers National Service Award Winner
Kinsmen Club of The Pas: Trapper's Festival Dog Races (District 2)
2016-2017 Service Dollars Congratulations Kin Canada you raised $18,679,622 last year. Let's show Canada and our communities what we can do and beat that this year. Remember to report your service dollars in June.
District Update Each month our "Service Team" highlights the happenings of an individual District. Here's a Look at District 1 from Service Directors Tim Natyshak and Bea Crowley:
In District 1 our clubs have been and continue to be busy with many different types of projects in their communities. Recently at our FLC, I had a chance to speak with members and get updates on projects that are key to their respective clubs. Here are some examples from across our district. They will also be forwarded on to our national Projects Database:
In Chesley our Kinettes host a trivia night, breakfast with Santa and catering various community events. The kinsmen run the Christmas parade, and do caroling with the Kinettes. Blenheim host an elimination draw with half the proceeds going to CF! Kitchener/Waterloo decorated 18 homes for seniors. Meaford hosts Kin Kamp in August which is a favourite event of many in our district. Teeswater loads a truck of goods for the food bank. In Wasaga Beach they host a games night at the seniors' homes and cater in for the event. Grimsby Kinettes host a casino night, and also do a park clean up. The Kinsmen have a farmers market and a food drive. In Dresden they host man wing nights with entertainment. Easter egg hunts are a favourite in District 1 as is Ribfest in Brantford and Sarnia. In Collingwood our Kinettes host an "it's all about me day" and do a road clean up. Our London folks host sugar bush every year and it serves breakfast with their own maple syrup. We hold major concerts and large scale events that raise serious dollars for CF and service project in our district. In Port Dover our kinsmen host Friday 13th and in July 2018 they anticipate 200,000 people to attend! In Lucknow about 7500 people camp all weekend on land owned by the club to attend "music in the fields. In Tillsonburg our Kinsmen held an NHL weekend of events that included Ron Mclean and Lord Stanleys Cup. The Listowel Kinsmen hold paddy-fest which runs for over a week and wraps up with a fantastic concert for its community.
As District Service Directors Bea and Tim are very proud of all our clubs and the hard work and dedication that makes Kin the greatest service club in Canada. This is a small sample of the many things that go on in our district every year. We can't wait to hear what the rest of our clubs are doing across Canada.
Penny Lees-Smith; National Service Director 2017-2019 - (780)514-8966 (cell) – [email protected]
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| S | M | T | W | T | F |
|---|---|---|---|---|---|
| | 1 | 2 | 3 | 4 | 5 |
| 7 | 8 | 9 | 10 | 11 | 12 |
| 14 | 15 | 16 | 17 | 18 | 19 |
| 21 | 22 | 23 | 24 | 25 | 26 |
| 28 | 29 | 30 | | | |
Page 2 - School Year Calendar Dates & Operational Days/Instructional Days
| S | M | T | W | T | F |
|---|---|---|---|---|---|
| 2 | 3 | 4 | 5 | 6 | 7 |
| 9 | 10 | 11 | 12 | 13 | 14 |
| 16 | 17 | 18 | 19 | 20 | 21 |
| 23 | 24 | 25 | 26 | 27 | 28 |
| 30 | 31 | | | | |
| S | M | T | W | T | F |
|---|---|---|---|---|---|
| | | | | | 1 |
| 3 | 4 | 5 | 6 | 7 | 8 |
| 10 | 11 | 12 | 13 | 14 | 15 |
| 17 | 18 | 19 | 20 | 21 | 22 |
| 24 | 25 | 26 | 27 | 28 | 29 |
| 31 | | | | | |
2021-2022
Calendar
School Year
| Tuesday | August 31 |
|---|---|
| Wednesday | September 1 |
| Thursday | September 2 |
| Friday | September 3 |
| Monday | September 6 |
| Tuesday | September 7 |
| Friday | October 8 |
| Monday | October 11 |
| Thursday | November 11 |
| Friday | November 12 |
| Friday | December 17 |
| Monday | January 3 |
| Monday | January 31 |
| Tuesday | February 1 |
| Monday | February 21 |
| Tuesday | February 22 |
| Wednesday | February 23 |
| Thursday | February 24 |
| Friday | February 25 |
| Monday | March 7 |
| Monday | April 4 |
| Thursday | April 14 |
| Friday | April 15 |
| Monday | April 25 |
| Friday | May 20 |
| Monday | May 23 |
| Tuesday | June 28 |
| Wednesday | June 29 |
Number of Days
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Gutenberg School of Management and Economics & Research Unit "Interdisciplinary Public Policy" Discussion Paper Series
Financial Fragmentation and Economic Growth in Europe
Isabel Schnabel and Christian Seckinger January 2015
Discussion paper number 1502
Johannes Gutenberg University Mainz Gutenberg School of Management and Economics Jakob-Welder-Weg 9 55128 Mainz Germany wiwi.uni-mainz.de
Contact details
Isabel Schnabel Department of Economics Johannes-Gutenberg-Universität Mainz Jakob-Welder-Weg 9 55128 Mainz [email protected]
Christian Seckinger Department of Economics Johannes-Gutenberg-Universität Mainz Jakob-Welder-Weg 9 55128 Mainz [email protected]
Financial Fragmentation and Economic Growth in Europe ∗
Isabel Schnabel
†
Johannes Gutenberg University Mainz, CEPR, and MPI Bonn
Christian Seckinger
‡
Johannes Gutenberg University Mainz and GSEFM Frankfurt
February 13, 2015
Abstract
Using industry data from Eurostat and applying the Rajan-Zingales methodology, we investigate the real growth effects of banking sector integration in the European Union. Our sample stretches from 2000 until 2012 and includes the phase of rapid financial integration before the crisis as well as the following phase of financial fragmentation and bank deleveraging. We find evidence that banking sector integration had a more than four times stronger growth effect during the crisis than in normal times. Growth effects are also stronger in times of domestic bank deleveraging. We conclude that concerns of European policy makers about fragmentation in the European banking sector are justified and that future reintegration is an important building block of future growth perspectives in the European Union.
Keywords: Financial fragmentation; financial integration; foreign banks; cross- border lending; economic growth; financial crisis; Rajan-Zingales methodology.
JEL-Classification: F36, G01, G15
∗ We thank the participants of the FIRM Research Conference 2014 and the Brown Bag seminar at JGU Mainz for helpful suggestions. Financial support from Frankfurter Institut f¨ur Risikomanagement und Regulierung (Seckinger) and from the DFG Priority Program 1578 "Financial Market Imperfections and Macroeconomic Performance" (Schnabel) is gratefully acknowledged.
† Johannes Gutenberg University Mainz, 55099 Mainz, Germany, [email protected].
‡ Johannes Gutenberg University Mainz, 55099 Mainz, Germany, [email protected].
1 Introduction
"While financial integration deepened significantly after the Euro was introduced, the global crisis caused that process to go into reverse. And we can see the importance of financial integration for the single currency all the more in its absence. In the periphery, financial fragmentation has led to high interest rates for firms and households, and disrupted monetary policy transmission. In the core, it has led to exceptionally low interest rates for savers and potentially distorted asset prices. Consequently, the whole of the Euro area would benefit from lasting financial reintegration - and indeed, addressing financial fragmentation has been one of the key tasks of euro area policy-makers, including the ECB, over the past years."
Mario Draghi (2014)
Banking sector integration is a key objective of the European Union (EU). After a substantial deepening of financial integration before the crisis, the process started to reverse with the onset of the crisis. Under the pressure of regulators and national governments, banks started to shift their focus towards their "core markets". Consequently, the European banking sector is far more fragmented today than it had been before the crisis. European policy makers are concerned about this development, since banking sector integration may affect European growth prospects, the transmission of the European Central Bank's (ECB) monetary policy, and financial stability (see the speech by Draghi, 2014).
This paper is the first attempt to investigate the real growth effects of the ongoing fragmentation process in European banking markets. Using data from 2000 to 2012, our dataset covers the period of integration before the financial crisis and the following period of fragmentation. We allow for heterogeneous effects by distinguishing between crisis and non-crisis times, phases of domestic bank deleveraging and other times, as well as times of disintegration and integration. Our analysis suggests that financial fragmentation generates significant growth losses and emphasizes the need for financial reintegration in Europe. In particular, we identify growth effects of banking sector integration in Europe that are more than four times bigger during times of crisis than in normal times. Similarly striking differences are found in phases of strong domestic bank deleveraging compared to other times, but not in periods of financial disintegration. This seems to reflect the importance of foreign capital as an insurance mechanism against negative shocks to domestic bank lending in times of crisis and deleveraging. We further analyze the impact of cross-border lending on industry growth differentials. Here we find rather mixed results. This suggests that especially the presence of foreign banks via branches and subsidiaries is important to reduce the negative effects of shocks to domestic bank lending, in particular during times of severe financial constraints.
Using industry-level data from Eurostat, we apply the methodology of Rajan and Zingales (1998) and investigate production growth differentials on the industry level. We assume that industries with a high dependence on external finance are more constrained in their growth potential by financial frictions than industries with an inherently lower need for external capital. Deeper banking sector integration may reduce these frictions and hence increase the differential of industry production growth between financially dependent and non-dependent industries. The main advantage over country-level approaches is a more credible identification strategy. Since industry-specific growth can be considered exogenous to the development of banking sector integration, reverse causality is less of a concern than in country-level studies. Our study intends to identify short-run growth effects of integration, therefore our analysis relies on annual data rather than long-run averages as in the original Rajan-Zingales analysis. Banking sector integration is measured by total assets of foreign banks over GDP. Hence, we focus on the total amount of foreign bank assets rather than the composition of banking assets, in contrast to most other papers on banking sector integration, which analyze the growth effects of the share of foreign assets. During times of crisis, subsidiaries of foreign banks tend to adjust their lending differently than domestic banks. 1 While this automatically leads to changes in the share of foreign banks in total bank assets during a crisis, it does not necessarily imply that the overall availability of capital changes in a particular direction.
Before the crisis the process of banking sector integration in Europe was seen as a key feature of the convergence process in which Eastern European transition as well as periphery countries could catch up to the core and at the same time finance current account deficits over a longer time horizon. Since the financial and sovereign debt crisis, however, this has changed completely. Since then, the European banking sector experiences a strong process of fragmentation. Banks began to reduce business in foreign countries
1 See de Haas and van Lelyveld (2010) for evidence that foreign subsidiaries reduce lending less than domestic banks during limited crises and de Haas and van Lelyveld (2014) for opposite evidence for the Great Recession in 2008-2009.
by withdrawing capital and closing branches and subsidiaries. This disintegration process is widely documented in the literature. Giannetti and Laeven (2012) and Cetorelli and Goldberg (2011) show that during the crisis banks decreased their foreign lending more strongly than their home lending. A more differentiated picture is drawn by de Haas and van Horen (2013). Using loan level data, they find evidence for heterogeneity of the flight home effect. Banks reduced their lending less if the market was geographically near, if they had more experience in the market, if they were present via a subsidiary and if they acted in cooperation with a domestic lender. 2 Particularly in Europe, regulatory and political pressure appear to have reinforced the process of fragmentation. Motivated by the fact that internationally active banks had to be rescued by national governments, regulators and national authorities started to act protectionist. 3 Politicians conditioned the rescue packages in many cases on measures that reinforced fragmentation. For example, Commerzbank was rescued under the condition of shifting their focus on lending towards German small and medium firms. In the United Kingdom, banks could obtain cheap central bank funding under the condition of supporting local corporations. On the supra-national level, the European Commission investigated the rescue of European banks with respect to their compliance with European state aid regulations. As in the case of German Landesbanken, they often asked for restructuring measures implying a substantial reduction of foreign business (for an overview of the EU state aid practice, see Lannoo and Napoli, 2010).
Our paper adds to both the literature on the growth effects of financial integration and the disrupting effects of financial crises. The benefits and costs of financial integration are still debated in the literature. 4 This is supported by theoretical work, e. g., of Gourinchas and Jeanne (2006) and Coeurdacier, Rey, and Winant (2013) who show that if there are positive growth effects at all, they are expected to be relatively small. Similarly, evidence for growth effects of banking sector integration is rather mixed. By studying growth on the industry level, Bruno and Hauswald (2014) find an overall positive growth effect of a higher share of foreign banks. Beck, Demirg¨u¸c-Kunt, and Maksimovic (2004) argue that
2 A stabilizing effect can also be found by formal commitment, shown by de Haas, Korniyenko, Pivovarsky, and Loukoianova (2012). They use commitment letters of the Vienna Initiative to demonstrate that during the crisis banks committed to exposures in Central and Eastern Europe reduced lending substantially less than in countries without such a commitment.
3 See Rose and Wieladek (2014) for evidence that nationalized non-British banks decreased lending to and increased interest rates for UK firms. Somewhat surprisingly, nationalized British banks did not engage in financial protectionism.
4 For an excellent overview, see Kose, Prasad, Rogoff, and Wei (2009).
a higher share of foreign banks reduces obstacles from banking sector concentration, since smaller firms can more easily obtain external financing. Giannetti and Ongena (2012) find that foreign banks improve access to credit and thereby reduce financial constraints for firms. However, there are also papers doubting the benefits of banking sector integration. Gormley (2010) investigates foreign bank entry in India and finds that foreign banks crowded out domestic banks, worsening access to credit for most firms. Similarly, Detragiache, Tressel, and Gupta (2008) argue that welfare might be reduced by foreign bank presence, since some customers may benefit while others suffer.
However, Europe seems to be different. Guiso, Jappelli, Padula, and Pagano (2004) identify a significant "growth dividend" for countries in the EMU from improved financial market development through deeper financial integration. Similarly, Prasad, Rajan, and Subramanian (2007) and Abiad, Leigh, and Mody (2009) illustrate that in Europe the patterns of financial integration and economic growth are different from the rest of the world. 5 More specifically, Masten, Coricelli, and Masten (2008) find evidence that especially countries with a relatively high degree of financial development could benefit. According to their argument, countries have to build up significant capacity to absorb capital inflows. However, financial integration itself is unlikely to be the only source of the European success story (Imbs, 2009). One explanation is provided by Friedrich, Schnabel, and Zettelmeyer (2013) who argue in favor of a complementary relationship between financial integration and political integration in Eastern Europe, which helped financial integration to realize its growth-enhancing potential by changing investors' expectations.
In contrast to the question of growth effects through financial integration, evidence for a causal relationship of financial crises on economic growth is much clearer. Kroszner, Laeven, and Klingebiel (2007) and Dell'Ariccia, Detragiache, and Rajan (2008) provide robust evidence for significant negative growth effects of financial crises. However, both studies do not intend to figure out the channels of these adverse effects. Most closely related to our work is the paper by Eichengreen, Gullapalli, and Panizza (2011), which provides a synthesis of the literature on the growth effects of financial integration and crises. Applying the Rajan-Zingales methodology, they estimate the growth effect of
5 For evidence that the EMU experienced a substantial financial integration process, e. g., see Lane (2006), Lane and Milesi-Ferretti (2008), Schmitz and von Hagen (2011), and Kim, Moshirian, and Wu (2006). Spiegel (2009) tries to disentangle the channels through which banking sector integration strengthened. He finds a "pairwise" effect in the sense that integration deepened especially through banking relationships in which both banks are hosted in the EMU.
financial integration while controlling for the depth of the financial system and distinguishing between decades with and without crises. On the one hand, they confirm the tendency of a positive impact of financial integration on growth, but, on the other hand, they find that financial integration did not have any impact in times of crisis. Hence, they conclude that countries could benefit from financial integration during normal times, but that there were no additional benefits or costs during times of crises. 6 However, as the previous literature, Eichengreen, Gullapalli, and Panizza (2011) focus on the long-run growth effects of financial integration by considering average industry production growth over a decade. Such an approach is not well-suited for the analysis of growth effects during times of financial distress when integration can revert quickly. By estimating the model on a yearly basis, we are able to identify the short-run growth effects of financial integration.
This paper is organized as follows: Section 2 sets the stage by describing the measurement of banking sector integration and showing the evolution of these measures in Europe. Section 3 explains the methodology used in our analysis. Section 4 gives an overview of the data. Sections 5 and 6 report the regression results for the presence of foreign banks as well as for cross-border lending. Finally, Section 7 concludes.
2 Banking sector integration in Europe
2.1 Measuring financial integration
One possibility of measuring financial integration is using de jure measures, based on legal restrictions of international capital flows. Information is, for example, provided by the Annual Report on Exchange Arrangements and Exchange Restrictions (AREAER), comprising a large list of indicators of legal capital controls. However, as Kose, Prasad, Rogoff, and Wei (2009) point out, these measures represent formal aspects, which may differ substantially from the administrative implementation of capital controls and from the actual size of cross-border capital flows. Hence, the authors argue in favor of aggregated transaction-based de facto measures, since they better indicate the actual degree
6 In contrast, Edwards (2004) and Glick, Guo, and Hutchison (2006) argue that more open countries suffer less often and on average less severe from crisis.
of financial integration. Moreover, they conclude that quantity-based measures should be preferred over price-based measures, since the cross-country comparison of equity and bond prices may suffer from distortions due to illiquidity and varying risk premia. 7 Furthermore, stock measures should be preferred over flow measures, which typically suffer from a high volatility and from larger measurement errors than stock measures.
The developments in European financial markets illustrate the superiority of using de facto measures, since de jure capital controls are no longer present in Europe and did not emerge in the crisis either. Nevertheless, financial markets are now far more segmented than they had been right before the crisis. Hence, we measure banking sector integration by de facto measures. As our focus is on banking sector integration, we are using total assets of foreign banks relative to GDP. 8
2.2 Patterns of integration and fragmentation in the European banking sector
Since the adoption of the euro, European banking sectors steadily deepened their integration towards a single European banking market. Figure 1a depicts the evolution of total assets of foreign and domestic banks over GDP in the European Union. It shows that, relative to GDP, foreign bank assets doubled from 2000 to 2008 and increased much faster than domestic bank assets. Since 2008, however, banks started to reduce their foreign presence by closing or selling foreign affiliates and reducing assets, implying a decrease of assets of foreign banks until 2012. Domestic bank assets over GDP remained relatively constant since 2008 and started to decrease only in 2011; a similar development is observed for total bank assets over GDP (Figure 1b). Hence, on the aggregate level the bank deleveraging process seems to have been driven largely by a reduction in foreign bank assets.
7 Bekaert, Harvey, Lundblad, and Siegel (2013), however, argue that the cross-country differences between industry valuations give a good indication of equity market integration. They apply this approach to the European Union and find evidence of integration through a reduction of these valuation differences.
8 In its annual report on financial integration in Europe, the ECB provides a large list of quantity-based (as well as price-based) measures on money markets, bond markets, equity markets, and banking market and provides a comprehensive overview of integration of European financial markets (e. g., see European Central Bank, 2014).
[Figure 1]
The mild reduction in domestic bank assets seems to be related to the ECB's liquidity support (especially the LTROs), which was often invested in sovereign bonds and helped to avoid balance sheet reductions (Acharya and Steffen, 2014). Figure 2 illustrates the development of the share of foreign assets in total bank assets and gives a similar impression as Figure 1a. Since 2000, the share of foreign bank assets doubled until 2007 but started to decrease with the onset of the crisis.
[Figure 2]
Table 1 provides a more detailed picture of banking sector integration in the European Union. It contains country-specific information about the mean size of European banking sectors (from 2000 to 2012) and the presence of foreign banks. 9
[Table 1]
European countries appear to be quite heterogeneous with respect to the size of their banking sectors as well as the shares of foreign banks. Western European countries tend to have bigger banking sectors than Eastern European countries. Ireland has the largest banking sector with a mean size of seven times GDP (the peak is given by more than ten times GDP in 2009). 10 In contrast, Romania exhibits the smallest banking sector per GDP with a mean value of about 60% of GDP. The share of foreign banks, however, is on average higher in Eastern European countries. Estonia has a the highest share of foreign bank assets (93%). Countries like the Czech Republic and Slovenia show similar values. The reason lies in a far-reaching privatization process as part of the transformation process from former Soviet republics to members of the European Union, in which Western banks acquired large parts of the banking sectors in Eastern Europe. In Western Europe, Finland has the highest foreign share with about 50% of total assets. Sweden is the country with the lowest share of foreign banks (7.6% of total bank assets).
9 The variable Credit inflow will be described in Section 6 analyzing cross-border lending.
10 Note that in the European Union Luxembourg has the biggest banking sector with mean total assets of about 30 times GDP. However, due to an insufficient number of industries we excluded Cyprus, Luxembourg, and Malta in the following analyses. Croatia is excluded because it does not report data on foreign and domestic bank assets.
3 Methodology
We apply the approach of Rajan and Zingales (1998) and study differences between industry production growth rates in countries with different degrees of banking sector integration. Industries are characterized by their inherent need for external capital to finance their capital expenditures in addition to using internal financing. If banking sector integration reduces financial constraints for industrial firms, industries that rely heavily on external capital should benefit more in terms of production growth. Studying the effect of banking sector integration on growth on the industry level has two main advantages. First, reverse causality issues are mitigated, since it is unlikely that production growth of specific industries affects banking sector integration. This problem is further reduced by including the first lag of the integration variable. Second, we can include a full set of twodimensional fixed effects, which allows to control for unobserved heterogeneity. However, this also has a downside: The methodology does not allow for the identification of absolute growth effects because parts of the effect of banking sector integration on economic growth are absorbed by the fixed effects. Hence, causal inference can only be drawn with respect to the differences between the effects on production growth of different industries stemming from the industry-specific dependence on external finance.
3.1 Empirical model
Our baseline equation is similar to that by Rajan and Zingales (1998), using annual data instead of long-run averages and distinguishing between foreign and domestic assets:
```
Production growth i,j,t = αi,j + βj,t + γi,t + δ0 · Industry share i,j,t −1 + δ1 · Ex. dependence j · Total assets of foreign banks i,t −1 + δ2 · Ex. dependence j · Total assets of domestic banksi,t −1 + ǫi,j,t.
```
i denotes the country, j the industry, and t the year. Following Rajan and Zingales (1998), we include the lagged share of industry production as a fraction of GDP to account for catching-up effects of young industries. 11 The coefficient of interest is δ1, which captures the differential growth effect of banking sector integration. We control for the domestic provision of external finance via the interaction term of domestic bank assets (over GDP) and external dependence. Due to the three-dimensional structure of our dataset, we can include a large set of fixed effects to control for unobserved heterogeneity. Countryindustry fixed effects, αi,j, control for all time-invariant factors varying on the countryindustry level, e. g., constant subsidies for a given industry in a given country. Industrytime fixed effects, βj,t, capture all effects on a specific industry in a specific year across all countries. One example might be a global industry shock like oil price changes. Finally, we include country-time fixed effects, γi,t, which capture factors that affect all industries in a specific country and year in the same way, e. g., country-specific business cycles with influence on demand for all industries. In all regressions standard errors are clustered on the industry level.
Our study is designed to estimate short-run effects of banking sector integration on industry production growth. We measure banking sector integration as total assets of foreign banks relative to GDP rather than using the fraction of foreign in total bank assets. This allows us to identify the effect of additional foreign capital provided by the banking sector (holding constant domestic bank assets). Most other studies focus on the composition of bank assets by using the share of foreign banks. In contrast, our study focuses on the growth effect of additional external financing by foreign banks, holding domestic financing constant.
3.2 Definition of crisis, deleveraging and disintegration
Our analysis distinguishes between crisis times and normal times, times of domestic bank deleveraging and other times, and banking sector disintegration and integration by defining three sets of dummy variables. All dummies are on a country-year basis. Table 2 shows their definitions.
[Table 2]
11 While Rajan and Zingales (1998) identify a stronger growth of smaller industries independent of financial development, Beck, Demirg¨u¸c-Kunt, Laeven, and Levine (2008) show that industries composed of small firms can also benefit more from financial development (independent of their need for external finance).
For the dummy variable Crisis, we use the country-specific beginning of the crisis from Laeven and Valencia (2013a) who provide a comprehensive database of banking crises from 1970 to 2011. The beginning is defined by two conditions. First, there have to be indicators of significant distress in the banking sector, such as bank liquidation, bank runs, and significant losses. Second, the government has to provide significant rescue measures (see Laeven and Valencia, 2013a). Based on this definition, not all countries in our sample suffered from the recent crisis; examples are Estonia, Poland, and Finland. Since the database only provides information about the beginning of the crisis, we define the end as the first year when real GDP growth is positive and the unemployment rate is decreasing. We add the second condition, since GDP growth rates are typically very sensitive with respect to government spending. In the crisis, growth rates plummeted massively in 2009 but many countries experienced a positive GDP growth rate already in 2010 because of large fiscal stimuli. At the same time, many countries still experienced increasing rates of unemployment and had to provide significant rescue packages to the banking sector. Hence, we do not think that defining the end of the crisis based on GDP growth alone is appropriate. Table 3 gives an overview of the country-specific timing of the crisis.
[Table 3]
The dummy variable Deleveraging measures the extent to which domestic banks shrink their balance sheets. We define it as a binary variable, being 1 if in country i the value of total assets of domestic banks per GDP in year t minus the value in year t − 1 is below a certain threshold and 0 otherwise. The thresholds used are 0, −1 pp, and −3.5 pp. The second threshold lies between the 20th and 30th percentile, whereas the third is close to the 30th percentile. These definitions still provide us with a sufficient number of observations on both sides of the thresholds (see Table 4). Remember that the inclusion of two-dimensional fixed effects already absorbs many degrees of freedom.
As a counterpart of domestic bank deleveraging, we consider disintegration of foreign banks. Disintegration is defined analogously to Deleveraging. Hence, it has the value 1 if in country i the change of foreign bank assets over GDP in year t compared to year t − 1 is smaller than a certain threshold. We again use the threshold 0 as well as values close to the 20th and the 30th percentile, i. e., −1.5 pp and −5 pp (see Table 4).
[Table 4]
4 Data
The analysis is based on industry-level data from EU countries. We drop Malta, Cyprus, and Luxembourg, since they do not provide a sufficient number of different industry observations. They also exhibit features of financial centers, which may distort our results because the values of banking sector integration can be extreme compared to the remaining countries. 12 In addition, Croatia does not provide data for total assets of foreign branches and subsidiaries. Hence, our final sample consists of the remaining 24 EU member countries.
Industry production Annual industry data are obtained from the Eurostat database Structural Business Statistics, which provides production data on an annual basis up to 2012 for countries of the European Union. Data are collected according to the European industry classification NACE Rev. 1.1 (until 2008) and NACE Rev. 2 (since 2008). In order to make results comparable to previous studies, we match the NACE industry classification using official correspondence tables from UNIDO to the 3- and 4-digit industry sectors originally studied in the work of Rajan and Zingales (1998). This procedure yields 35 industry sectors. Industry production values are deflated by the consumer price index. 13
Macroeconomic variables, such as GDP and inflation rates are also obtained from the Eurostat database. All data are converted in euros based on the corresponding exchange rates for non-eurozone countries.
External dependence The measure of external dependence is defined by Rajan and Zingales (1998) as
External dependence =
Capital expenditures− Cash-flow from operations
Capital expenditures.
12 In this literature it is standard to drop countries serving as financial centers.
13 A detailed description can be found in the Appendix.
It is taken from Laeven and Valencia (2013b) who updated the initial values of Rajan and Zingales (1998) by using firm-level data from the US for the period of 1980-2006. Table 5 displays the industries and corresponding values for external dependence.
[Table 5]
Banking sector integration We measure banking sector integration by de facto indicators, using total assets of branches and subsidiaries of foreign-owned EU-banks over GDP, named Foreign bank assets, as reported by the ECB. Domestic bank assets are defined as the residual of total bank assets minus foreign bank assets. Hence, it also contains foreign non-EU banks. Data for assets of foreign non-EU banks are scarce, hence using them would result in a large loss of observations. Since the share of assets of foreign non-EU banks is typically very small, our definition provides a good measure of banking sector integration in Europe.
Table 6 gives the descriptive statistics for our sample. Due to large outliers, industry production growth rates are winsorized at the 0.5%-level; thereby the mean decreases from 0.4% to 0.1%.
[Table 6]
Figure 3a illustrates the distribution of real industry production growth rates for each year over all countries in the European Union. The evolution over time is very similar to that of real GDP growth rates shown in Figure 3b. However, mean industry production growth exhibits a much higher volatility than mean GDP growth (note the different scales). 14
[Figure 3]
14 For further information, see Appendix Table 14, which provides country-specific information about GDP and industry production growth rates.
The mean over all countries and years of total assets of foreign branches and subsidiaries is 59.0% of GDP, whereas the mean of total assets of domestic banks is 187.9% of GDP. 15 Roughly one fifth of country-year observations fall into a crisis period and one third into a phase of financial disintegration or deleveraging of domestic banks, respectively (see Table 6). Appendix Table 15 displays the correlation structure between the dummy variables. Overall the correlations are relatively small. Interestingly, the correlation between times of crisis and periods of domestic bank deleveraging is close to zero. Figure 4a illustrates that deleveraging and disintegration were also associated to the bursting of the dot-com bubble after 2001 and not just to the recent crisis.
Additional country-specific statistics are found in Table 3 and in Appendix Table 14.
[Figure 4]
5 Banking sector integration and industrial production growth in Europe
5.1 Banking sector integration over the cycle
We start our analysis by documenting the growth effect of foreign bank assets over the entire cycle (2000 until 2012) before distinguishing different subsamples.
We find a positive growth effect of banking sector integration in the European Union over the entire sample. The coefficient of the interaction term between the amount of foreign assets over GDP and industries' external dependence is slightly above 0.1 and is statistically highly significant (see the first regression column in Table 7). This is in line with previous studies, which found that foreign bank presence has a positive growth effect (see, e. g., Bruno and Hauswald, 2014; Giannetti and Ongena, 2012). 16
15 The variable Credit inflow will be described in Section 6 analyzing cross-border lending.
16 In general, this growth-enhancing effect of banking sector integration might be induced by better lending conditions for corporations. The analysis of Claessens, Demirg¨u¸c-Kunt, and Huizinga (2001) and Giannetti and Ongena (2009) point in this direction as they argue that foreign bank entry depresses margins and profitability for domestic banks, improves the capital allocation and mitigate frictions in the credit market.
[Table 7]
The industry share enters with a negative and highly significant coefficient. This is in line with previous studies. In contrast, the coefficient of the interaction between total assets of domestically owned banks and external dependence is statistically insignificant.
To gauge the economic significance of the estimated effects, we calculate the differential in real growth rates by Rajan and Zingales (1998), as is common in the literature (Friedrich, Schnabel, and Zettelmeyer, 2013; Guiso, Jappelli, Padula, and Pagano, 2004; Masten, Coricelli, and Masten, 2008).
Consider first a country with a high amount of foreign bank assets per GDP (75th percentile of the distribution), corresponding to 0.820 (see Table 8). We can express the growth effect of integration in a given country as the growth differential between two industries differing in their need for external financing (more specifically, the industries at the 75th and 25th percentile of the distribution of external dependence):
```
Growth differential75%−25% in country75% =estim. coefficient · (ex. dependence75% − ex. dependence25%) · foreign bank assets75% =0.116 · (0.37 − 0.060) · 0.820 = 0.029
```
Over the cycle, an industry with a high dependence on external financing grew on average by 2.9 percentage points (pp) per year faster than an industry with a relatively low dependence on external financing in a country with a relatively high degree of banking sector integration. For a country with a relatively low value of foreign bank assets (25th percentile), the difference between industry growth rates is 1.1 pp (growth differential75%−25% in country25% = 0.011). Hence, the cross-country difference between the growth differentials is 1.83 pp per year. This magnitude is comparable to previous studies. E. g., Bekaert, Harvey, and Lundblad (2005) find that financial integration could generate additional economic growth in Europe of about 1 pp per year for the period from 1980-1997.
[Table 8]
5.2 Banking sector integration during the crisis
Holding everything else constant, we expect that the strength of the relationship between banking sector integration and industry production growth differs during times of crisis and in normal times. In particular, during a crisis banks reduce financing to the real sector, which translates into more severe financial constraints. This makes foreign financing more valuable in a crisis. The extent to which firms became financially constrained during the crisis is described in detail by Campello, Graham, and Harvey (2010). Using survey methods, they illustrate that many firms considered themselves as financially restricted. Duchin, Ozbas, and Sensoy (2010) provide evidence that corporate investment decreased significantly after the onset of the crisis. They argue that the first wave of investment reductions can be attributed to more severe financial constraints because of a negative shock to credit supply. In addition, the analyses of Kroszner, Laeven, and Klingebiel (2007) and Dell'Ariccia, Detragiache, and Rajan (2008) suggest that during crises industry production growth depends on the availability of external finance. According to their studies industries depending more strongly on external funding grew less during past crises. This is likely to play a role during the crisis in Europe, too, since corporate lending experienced negative growth rates in many European countries since 2009. It suggests a tightening of financial conditions although it might also be induced by demand effects (see European Central Bank, 2013). We therefore expect a stronger effect of foreign bank assets on production growth during times of crisis.
Hypothesis 1. Ceteris paribus, the effect of banking sector integration on industry production growth differentials is stronger during the crisis than in normal times.
The last three columns of Table 7 provide the estimation results for Hypothesis 1: The first regression gives the results for normal times and the second regression for times of crisis. In the third regression we include the interactions of all variables with the crisis variable to obtain the difference between the two subsamples.
In all regressions the coefficient of the interaction term between total assets of foreign branches and subsidiaries and industries' external dependence is positive and statistically significant. However, in times of crises, the coefficient is more than four times larger than during normal times. The results of regression (3) show that the difference between the coefficients of normal times and times of crisis is statistically significant with a value of 0.354. This result is economically important. While during normal times the differential in real growth rates was 1.5 pp per year, it increased during the crisis to 7.1 pp per year. Particularly the growth effect during times of crisis is remarkably high, suggesting an important role of foreign financing during times of domestic distress.
The coefficient of the interaction between total assets of domestically owned banks and external dependence is again statistically and economically insignificant both in normal times and crisis periods. The observed differences between the effects of foreign and domestic banks might be due to better lending decisions of foreign banks, which may be particularly important in times of crises. As Buch, Koch, and Koetter (2009) show, more successful banks are more likely to do cross-border business. Hence, foreign banks should be on average more successful than domestic banks, which might translate into higher industrial production growth. 17
5.3 Banking sector integration in times of domestic bank deleveraging
In the financial crisis banks had to reduce the high leverage they had built up before, reinforcing the real effects of the crisis. 18 To reduce this threat, the new regulatory framework Basel III contains a redefinition of eligible capital and requires higher core capital ratios, with the possibility of a countercyclical adjustment. Banks reacted to these developments by increasing their capital, but at the same time started to shrink their balance sheets. 19 This process is not only seen as an adverse development. A report by the European Systemic Risk Board (2014) diagnoses an "overbanking" problem in Europe, which requires shrinking balance sheets and a more general consolidation.
Due to the impact of regulatory pressure, the reduction of the balance sheets and credit provision are unlikely to be fully or even mainly driven by demand effects. Since there is evidence for real effects of lending shocks 20 , we expect that additional capital provided by
17 Koetter and Wedow (2010) directly investigate whether the quantity of loans or rather the quality of loans matters for economic growth. Using stochastic frontier analysis to measure the quality, they investigate economic growth and loan supply in different German regions and find a significant growth effect of the quality and an insignificant effect of the quantity of loans.
18 See Adrian and Shin (2010) for evidence of a strong procyclicality of bank leverage. Brunnermeier (2008) explains this behavior by reduced market liquidity and increasing margin requirements.
19 For an overview of EU bank deleveraging, see Bologna, Caccavaio, and Miglietta (2014).
20 See for example Peek and Rosengren (1997) for evidence of real effects of a lending shock stemming from foreign banks rather than domestic banks.
foreign banks should be particularly beneficial in terms of industrial production growth in times of strong domestic bank deleveraging.
Hypothesis 2. Ceteris paribus, the effect of banking sector integration on industry production growth differentials is stronger in times of strong deleveraging of domestic banks than at other times.
In Table 9 we report the growth effect of additional foreign bank assets conditional on the deleveraging of domestic banks. The estimation results confirm the relevance of foreign capital in mitigating financial constraints. First, we identify a stronger growth effect of foreign bank assets in phases of domestic deleveraging than at other times under all three thresholds. Second, the stronger the asset reduction of domestic banks the stronger the growth effect. This supports our hypothesis. Intuitively, foreign banks provide an insurance to industrial firms against negative shocks to domestic bank lending. Not surprisingly, the larger the deleveraging shock, the higher the value of foreign bank presence. In phases of strong deleveraging (more than 1 pp) the growth effect is economically large with a differential of real growth rates of 6.8 pp per year. For an asset reduction of domestic banks of more than 3.5 pp, the differential of real growth rates increases to 8.1 pp per year. Such an asset reduction is plausible in times of financial crises and would have disrupting effects on the country's production sector.
[Table 9]
5.4 Banking sector integration in phases of disintegration
Previous studies on the relationship between banking sector integration and economic growth have typically assumed a symmetric growth effect in times of integration and disintegration. However, it is not obvious that firms are affected symmetrically when financial conditions change. There are two competing explanations for potential differences. On the one hand, banking sector integration may have a stronger impact on industrial production growth in times of financial disintegration. In times of integration, lax financial constraints may hardly affect firms' production decisions. In times of disintegration, however, constraints may become binding such that firms have to adjust their production and investment plans. 21 According to this argument, we expect foreign bank assets to have a stronger growth effect during times of financial disintegration. On the other hand, the effect may be weaker in times of disintegration if growth effects are largely driven by spill-over effects, e. g., of technological knowledge (see Kose, Prasad, Rogoff, and Wei, 2009). Since disintegration can only occur where banking sector integration took place before, technological spillover effects in times of integration may not fully disappear if disintegration occurs. According to this explanation, we would expect a larger coefficient of the interaction term of foreign bank assets with external dependence during the integration phase. However, the second explanation is rather related to long-term growth and it seems more likely that growth effects are stronger during phases of disintegration.
Hypothesis 3. Ceteris paribus, the effect of banking sector integration on industry production growth differentials is stronger in times of disintegration than in times of integration.
Columns (1) and (2) of Table 10 show indeed a stronger effect of banking sector integration on industrial growth in the presence of disintegration. The coefficient of the interaction between external dependence and foreign bank assets is significant and positive and implies a differential in real growth rates of about 4.4 pp per year. This effect is in-between the growth effects derived for normal times and times of crisis. These results suggest that phases of financial integration and disintegration are different. The more financially integrated a country becomes the smaller is the effect on industrial production growth. Column (3)-(6), however, do no longer provide a significant coefficient in times of disintegration and the coefficient even becomes negative. Especially in sudden-stop episodes with a sharp reversal of capital flows, foreign capital appears to reduce industry growth differentials (although not significantly). Overall the results are less clearcut than for the preceding hypotheses.
[Table 10]
21 See Campello, Graham, and Harvey (2010) for the effects of financial constraints on investment activities during the crisis.
6 The role of cross-border lending
So far we have measured banking sector integration by foreign bank presence. One may wonder whether similar growth effects can be obtained for cross-border lending. Then foreign bank presence could be easily substituted by credit inflows.
The literature suggests that foreign banks located in the reference country may be better able to deal with financial frictions because the distance between lenders and borrowers matters for bank lending, in particular in lending relationships where soft information is important (such as lending to small- and medium-sized companies). In a seminal paper, Degryse and Ongena (2005) demonstrate that the distance between lender and borrower shapes the specification of loan contracts. Agarwal (2010) provides evidence that distance plays an important role for banks in acquiring private information with consequences for the provision and pricing of credits. The economic relevance is demonstrated by DeYoung, Glennon, and Nigro (2008) who show that loan default of small businesses increases in the geographical distance. Bruno and Hauswald (2014) provide more direct evidence for a lower growth effects of cross-border lending relative to lending via foreign branches and subsidiaries. While the growth effect of foreign bank presence is positive and significant in their paper, cross-border lending has a positive, but slightly insignificant coefficient. Therefore, we expect cross-border lending to have a smaller growth effect than credit provision via foreign affiliates, since the geographical distance between borrower and lender is typically bigger in the case of cross-border lending.
The data on cross-border lending are taken from the ECB, which provides information about credit provided to non-financial institutions (households and corporations) to the reference country by banks hosted in the rest of the eurozone; this variable will be called Credit inflow in the following. Since the ECB does not distinguish between households and corporations, this measure overestimates the credit provision to corporations. Nevertheless, it should give a relatively good indication of the evolution of cross-border corporate lending. For country-specific information on cross-border lending, see Table 1.
To investigate the role of cross-border banking, we rerun all regressions adding an interaction term between external dependence and credit inflow.
Table 11 displays the results from the basic regressions. Over the cycle we find a positive and significant coefficient on the interaction between cross-border lending and external dependence. The differential in real growth rates is 1.37 pp per year and therefore smaller than the growth effect from foreign bank assets (1.70 pp per year). Note that the coefficient of the interaction between external dependence and foreign bank assets remains more or less unchanged relative to the baseline estimation (see Table 7).
When distinguishing between times of crisis and normal times, the significant positive growth effect of cross-border lending vanishes in both subsamples. This is surprising since we expected cross-border lending to play a role in mitigating financial constraints at least in times of crisis (see the last three columns in Table 11). Instead the coefficient is negative in both subsamples, so there is no stable and economically significant growth effect of cross-border lending. The coefficients of foreign bank assets are again similar to the baseline analysis (see Table 7).
[Table 11]
In times of strong deleveraging, however, the coefficients of foreign bank assets are large, but partly statistically insignificant (Table 12). Only in the regression with deleveraging stronger than 3.5 pp per year the coefficient denoting the effect of cross-border lending is statistically significant, with a differential in real growth rates of 7.2 pp per year. The coefficient for the growth effect of cross-border lending is never statistically significant in Table 13, which distinguishes between phases of integration and disintegration.
[Table 12]
[Table 13]
The results of this set of regressions show that cross-border lending has a less robust growth effect than the provision of credit via foreign branches and subsidiaries. The coefficients do not provide consistent evidence that in times of more severe financial constraints cross-border lending plays a positive role in buffering negative lending shocks, although the coefficients often go in the expected direction. The growth effects of foreign bank assets, i. e., of banks being present in the loans' destination country, do not change qualitatively by controlling for cross-border lending. Hence, our major results are robust to this modification. Taken together, the results suggest that cross-border lending is unlikely to generate comparable positive growth effects as foreign bank presence.
7 Conclusion
In this paper, we investigated the real growth effects of banking sector integration in times of financial fragmentation and bank deleveraging in the European Union. Our study is motivated by concerns of European policy makers that the broad fragmentation process in the European financial system since the crisis hampers European growth perspectives. Before the crisis, financial integration in the European Union deepened rapidly. Since the crisis, however, regulators and national governments started to push banks into a re-nationalization of banking sectors and sharp deleveraging. Rescue packages were only granted if they were combined with restructuring plans often containing discouragements of cross-border business, and higher capital requirements forced banks to reduce their balance sheets and the provision of external financing to corporations.
In our econometric analysis, we use industry production data provided by Eurostat from 2000 to 2012, containing the financial crisis as well as the first wave of the European sovereign debt crisis, and apply the Rajan-Zingales methodology to a sample of 35 industries and 24 countries. Banking sector integration in the European Union is measured by total assets of branches and subsidiaries of foreign EU banks relative to GDP. Exploiting the three-dimensional structure of our dataset, we are able to include a large set of fixed effects to credibly identify the effect of banking sector integration on industrial production growth. The fact that, due to their historical background, member countries of the European Union are relatively heterogeneous with respect to the degree their banking sector consists of foreign banks as well as its size further strengthens the robustness of our analysis.
Our results indicate that the concerns regarding financial fragmentation are justified. We find a stronger growth effect during the crisis than in normal times, as well as in times of domestic bank deleveraging relative to other times. During phases of disintegration, however, we do not find consistently stronger growth effect compared to times of integration.
These results suggest an important role of integrated banking sectors in buffering the economic consequences of the crisis and in exploiting growth potentials in the European Union.
We identify a growth effect of banking sector integration during the crisis that is more than four times bigger than during normal times. In economic terms, the differential of real industry production growth rates is about 7.1 percentage points. Similar effects were prevalent in times of domestic bank deleveraging. However, also before the crisis banking sector integration had a statistically significant growth effect. Although we cannot make any statements about the total effect of banking sector integration, the estimated effects on industrial production growth are certainly economically important.
Our results including credit inflows provide evidence for a different role of cross-border lending as compared to lending in foreign countries via branches and subsidiaries. Lending via foreign affiliates generates significant effects on the differential between industrial production growth rates, while cross-border credit provision does not have a robust growth effect. This is particularly pronounced during times of crisis and domestic bank deleveraging, when credit of foreign affiliates helps to buffer the adverse effects of more severe financial constraints for firms, whereas cross-border lending does not. We therefore conclude that obtaining soft information about borrowers by being geographically near is particularly beneficial in times when external financing is scarce. Furthermore, it demonstrates that simply replacing bank presence in the destination countries by cross-border lending is not possible.
Throughout all of our analyses we do not find a robust positive growth effect of domestic bank assets. The substantial difference to the strong growth effect of foreign bank assets is remarkable and requires further investigation. It is in line with the current debate stressing that the size of the banking sector in general plays a minor role in promoting economic growth and points towards a potential "overbanking" problem, as was diagnosed by the European Systemic Risk Board (2014) for the European banking sector. This strand of the literature argues that the growth-enhancing role of a deeper financial sector holds only for relatively small financial sectors. If it exceeds some threshold (relative to the size of GDP), countries do no longer benefit from a bigger financial sector. 22 The statistically
22 One aspect might be that the size of the banking sector is relatively independent from the credit provision to corporations. As Jord`a, Schularick, and Taylor (2014) illustrate, during the last 40 years the banking sector mainly grew because of increased mortgage lending to households.
insignificant coefficients of total assets of domestically owned banks provide evidence in this direction.
Based on our results, we conclude that banking sector integration plays an important role for economic growth in the European Union, particularly in the current phase of fragmentation and deleveraging. Therefore, concerns of European politicians and officials of the ECB about the adverse growth effects of the ongoing disintegration process in the European banking sector seem to be legitimate. Further fragmentation of the European banking sector is likely to make financial constraints even more severe. In particular, in countries whose domestic banks reduce their balance sheets, financial fragmentation has exceptionally strong negative growth effects. However, the ECB seems to be aware of the need for an appropriate management of the deleveraging process. 23 The robustness of strong negative growth effects of financial fragmentation calls for additional international efforts to overcome protectionist tendencies on the national level. The Banking Union and the planned Capital Markets Union may set the stage for a new era of banking sector integration, which we believe is an important building block of future growth perspectives in the European Union.
23 Cœur´e (2014) distinguishes between "good" (deleveraging of impaired assets), "bad" (indiscriminate deleveraging), and "ugly" (deleveraging good assets) deleveraging.
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Appendix
Industry production data
Up to 2008, industry production data of the Eurostat database Structural business statistics are collected on the 2-, 3-, and 4-digit levels of the European industry classification NACE Rev. 1.1 (corresponding to the international classification ISIC Rev. 3.1). Since 2008, the industry classification system in the European Union in use is NACE Rev. 2 (corresponding to ISIC Rev. 4). In order to make results comparable to previous studies, we match the NACE industry classification using official correspondence tables from UNIDO to the 3- and 4-digit industry sectors originally studied in the work of Rajan and Zingales (1998). For sectors where a perfect matching was not possible, we match NACE-sectors to the most closely related sectors of ISIC Rev. 2. We are then left with 93 3-digit NACE Rev. 2 sectors. Note that the sector Synthetic resins (ISIC Rev. 2 code 3513) of the Rajan-Zingales study could not be matched to any single 3-digit NACE Rev. 2 sector and is therefore dropped from the analysis. The 93 3-digit NACE-sectors were then aggregated on the ISIC Rev. 2 level to 35 sectors, in order to obtain a sector classification as close as possible to previous studies with one observation per country, year, and ISIC Rev. 2 classification. Note that we drop all industries with a production value of less than 0.01% of GDP. These industries are so small that they only contain a very small number of firms.
[Table 14]
[Table 15]
Foreign and domestic bank assets
(a)
(b) Total bank assets
Figure 1: Total bank assets per GDP (left chart) and total assets of foreign and domestic banks per GDP (right chart) in the European Union (year 2000 = 100)
Source: Own calculations.
(a) Real production growth rates
(b) Real GDP growth rates
Figure 3: Real industry production growth rates and real GDP growth rates by year over all EU-countries. Boxes denote the median and the 75th and 25th percentile, whiskers denote the closest observation to 1.5 times the interquartile range above the 75th and below the 25th percentile.
Source: Own calculations.
(a) Deleveraging (share of countries)
(b) Disintegration (share of countries)
Figure 4: Share of country-year observations with deleveraging of domestic banks as well as disintegration (both in terms of total assets over GDP) Source: Own calculations.
32
32
Table 2: Definition of financial crises, phases of disintegration and deleveraging
34
34
Table 4: Percentiles of the change of Domestic bank assets and Foreign bank assets
Notes: Percentiles for the change of foreign and domestic bank assets are on the country-year-level and are unweighted by the number of industry-country-year observations.
Table 5: External dependence
Notes: The table contains the external dependence ratios provided by Laeven and Valencia (2013b), constructed from data for the United States for the period 1980–2006.
Table 6: Summary statistics
38
38
Table 8: 90th, 75th and 25th, and 10th percentiles as well as median of Foreign bank assets, Domestic bank assets, Credit inflow and External dependence
Notes: Percentiles for foreign and domestic bank assets and credit inflow are on the country-year-level and for external dependence on the industry level and therefore, are unweighted by the number of industry-country-year observations.
40
40
41
41
42
42
43
43
44
44
Table 14: Country-specific summary statistics (2)
Table 15: Correlation statistics
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UNITED STATES NUCLEAR REGULATORY COMMISSION
WASHINGTON, D.C. 20555-0001
September 28, 2018
John Sauger Executive Vice President EnergySolutions 2701 Deborah Ave. Zion, IL 60099
SUBJECT:
ZION NUCLEAR POWER STATION, UNITS 1 AND 2 - ISSUANCE OF AMENDMENTS 191 AND 178 FOR THE LICENSES TO APPROVE THE LICENSE TERMINATION PLAN
Dear Mr. Sauger:
The U.S. Nuclear Regulatory Commission (NRC) is issuing the enclosed Amendment Nos. 191 and 178 to Facility License Nos. DPR-39 and DPR-48 for the ZionSolutions, Zion Nuclear Power Station (ZNPS), Units 1 and 2. This amendment is in response to your application dated December 19, 2014 (Agencywide Documents Access and Management System (ADAMS) Accession No. ML15005A336), as supplemented by letters dated February 26, 2015 (ML15061A281), March 8, 2016 (ML17129A311), July 20, 2016 (ML16211A200), July 20, 2017 (ML17215A095), February 7, 2018 (ML18052A529 and ML18052A851), April 10, 2018 (ML18103A016) and August 28, 2018 (ML18242A082). This amendment revises the Zion Nuclear Power Station licenses to approve the License Termination Plan. The NRC is also authorizing implementation of the License Termination Plan.
The amendment revises the ZNPS, Units 1 and 2 licenses to add License Condition 2.C.(17). This new license condition incorporates the NRC approved "License Termination Plan" (LTP), and associated addendum, into the ZNPS license and specifies limits on the changes the licensee is allowed to make to the approved LTP without prior NRC review and approval.
A copy of our related Safety Evaluation is also enclosed. The Notice of Issuance will be included in the Commission's next biweekly Federal Register notice.
J. Sauger
In accordance with 10 CFR 2.390 of the NRC's "Agency Rules of Practice and Procedure," a copy of this letter will be available electronically for public inspection in the NRC Public Document Room or from the Publicly Available Records component of NRC's Agencywide Documents Access and Management System (ADAMS). ADAMS is accessible from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html.
Should you have any questions regarding this action please contact me at 301-415-3017 or John. [email protected].
Sincerely,
/RA/
John B. Hickman, Project Manager Reactor Decommissioning Branch Division of Decommissioning, Uranium Recovery and Waste Programs Office of Nuclear Material Safety and Safeguards
Docket Nos. 50-295, 50-304
Enclosures:
1. Amendments
2. Safety Evaluation
cc: w/enclosures: Zion Service List
SUBJECT:
ZION NUCLEAR POWER STATION, UNITS 1 AND 2 - ISSUANCE OF AMENDMENTS 191 and 178 FOR THE LICENSES TO APPROVE THE LICENSE TERMINATION PLAN DATE September 28, 2018
DISTRIBUTION: DCD r/f
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cc:
Ken Robuck Group President Disposal and Decommissioning EnergySolutions 299 South Main Street, Suite 1700 Salt Lake City, UT 84111
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John E. Matthews Morgan, Lewis & Bockius LLP 1111 Pennsylvania Avenue, NW Washington, DC 20004
Tom Rielly, Executive Principal Vista 360 649 Innsbruck Libertyville, IL 60048
Director Spent Fuel & Decommissioning Strategy Exelon Generation Company, LLC 4300 Winfield Road
Warrenville, IL 60555
J. Bradley Fewell Associate General Counsel Exelon Corporation, LLC 4300 Winfield Rd. Warrenville, IL 60555
Document Control Desk - Licensing Exelon Generation Company, LLC 4300 Winfield Road Warrenville, IL 60555
ZIONSOLUTIONS, LLC
DOCKET NO. 50-295
ZION NUCLEAR POWER STATION, UNIT 1
AMENDMENT TO FACILITY OPERATING LICENSE
Amendment No. 191 License No. DPR-39
1. The Nuclear Regulatory Commission (the Commission or NRC) has found that:
A. The application for amendment by ZionSolutions, LLC (the licensee), dated December 19, 2014, as supplemented February 26, 2015, March 8, 2016, July 20, 2016, July 20, 2017, February 7, 2018, April 10, 2018, and August 28, 2018, complies with the standards and requirements of the Atomic Energy Act of 1954, as amended (the Act), and the Commission's regulations set forth in 10 CFR Chapter I;
B. The facility will be maintained in conformity with the application, as amended, the provisions of the Act, and the applicable rules and regulations of the Commission;
C. There is reasonable assurance: 1) that the activities authorized by this amendment can be conducted without endangering the health and safety of the public; and 2) that such activities will be conducted in compliance with applicable portions of the Commission's regulations;
D. The issuance of this amendment will not be inimical to the common defense and security or to the health and safety of the public; and
E. The issuance of this amendment is in accordance with 10 CFR Part 51 of the Commission's regulations and all applicable requirements have been satisfied.
2. Accordingly, the license is amended as follows:
License Condition 2. C. (17) is added to read as follows:
(17) License Termination Plan (LTP)
ZionSolutions shall implement and maintain in effect all provisions of the approved License Termination Plan as approved in License Amendment No. 191 subject to and as amended by the following stipulations:
ZionSolutions may make changes to the LTP without prior approval provided the proposed changes do not meet any of the following criteria:
(A) Require Commission approval pursuant to 10 CFR 50.59.
(B) Result in significant environmental impacts not previously reviewed.
(C) Detract or negate the reasonable assurance that adequate funds will be available for decommissioning.
(D) Decrease a survey unit area classification (i.e., impacted to not impacted; Class 1 to Class 2; Class 2 to Class 3; or Class 1 to Class 3) without providing the NRC a minimum 14 day notification prior to implementing the change in classification.
(E) Increase the derived concentration guideline levels (DCGL) and related minimum detectable concentrations (for both scan and fixed measurement methods).
(F) Increase the radioactivity level, relative to the applicable DCGL, at which an investigation occurs.
(G) Change the statistical test applied other than the Sign test.
(H) Increase the approved Type I decision error above the level stated in the LTP.
(I) Change the approach used to demonstrate compliance with the dose criteria (e.g., change from demonstrating compliance using derived concentration levels to demonstrating compliance using a dose assessment that is based on final concentration data).
(J) Change parameter values or pathway dose conversion used to calculate the dose such that the resultant dose is lower than in the approved LTP and if a dose assessment is being used to demonstrate compliance with the dose criteria.
(K) Reuse concrete from demolished structures, other than from the list of areas specified in Section 2.1.1 of TSD 17-010, "Final Report Unconditional Release Surveys at the Zion Station Restoration Project, Revision 1", as backfill.
(L) Assign a dose for reuse concrete other than the dose values provided along with the LTP (as shown in Table 6-53 (Revision 2) of the LTP) and documented in Section 8 and Table 33 of TSD 14-010, "RESRAD Dose Modeling for Basement Fill Model and Soil DCGL and Calculation of Basement Fill Model Dose Factors and DCGLs, Revision 6."
(M) Use area-specific surrogate ratios that are less than the maximum surrogate ratios (H-3/Cs-137, Ni-63/Co-60, Sr-90/Cs-137) presented in Table 5-15 (Revision 2) of the LTP.
3. This license amendment is effective as of the date of issuance and shall be implemented within 60 days.
FOR THE NUCLEAR REGULATORY COMMISSION
/RA/
John R. Tappert, Director Division of Decommissioning, Uranium Recovery and Waste Programs Office of Nuclear Material Safety and Safeguards
Date of Issuance: September 28, 2018
ATTACHMENT TO LICENSE AMENDMENT NOS. 191 FACILITY OPERATING LICENSE NOS. DPR-39
DOCKET NOS. 50-295
Replace the following pages of the License with the attached revised pages. The revised pages are identified by amendment number and contain marginal lines indicating the areas of change.
(e) The appropriate section of the decommissioning trust agreement shall state that the trustee, investment advisor, or anyone else directing the investments made in the trust shall adhere to a "prudent investor" standard, as specified in 18 CFR 35.32(a)(3) of the Federal Energy Regulatory Commission's regulations.
(15) ZS shall take all necessary steps to ensure that the decommissioning trust is maintained in accordance with the application for approval of the transfer of the Zion, Unit 1, license and the requirements of the Order approving the transfer, and consistent with the safety evaluation supporting the Order.
(16) Deleted.
(17) License Termination Plan (LTP)
ZionSolutions shall implement and maintain in effect all provisions of the approved License Termination Plan as approved in License Amendment No. 191 subject to and as amended by the following stipulations:
ZionSolutions may make changes to the LTP without prior approval provided the proposed changes do not meet any of the following criteria:
(A) Require Commission approval pursuant to 10 CFR 50.59.
(B) Result in significant environmental impacts not previously reviewed.
(C) Detract or negate the reasonable assurance that adequate funds will be available for decommissioning.
(D) Decrease a survey unit area classification (i.e., impacted to not impacted; Class 1 to Class 2; Class 2 to Class 3; or Class 1 to Class 3) without providing the NRC a minimum 14 day notification prior to implementing the change in classification.
(E) Increase the derived concentration guideline levels (DCGL) and related minimum detectable concentrations (for both scan and fixed measurement methods).
(F) Increase the radioactivity level, relative to the applicable DCGL, at which an investigation occurs.
(G) Change the statistical test applied other than the Sign test.
(H) Increase the approved Type I decision error above the level stated in the LTP.
(I) Change the approach used to demonstrate compliance with the dose criteria (e.g., change from demonstrating compliance using derived concentration levels to demonstrating compliance using a dose assessment that is based on final concentration data).
(J) Change parameter values or pathway dose conversion used to calculate the dose such that the resultant dose is lower than in the approved LTP and if a dose assessment is being used to demonstrate compliance with the dose criteria.
(K) Reuse concrete from demolished structures, other than from the list of areas specified in Section 2.1.1 of TSD 17-010, "Final Report - Unconditional Release Surveys at the Zion Station Restoration Project, Revision 1", as backfill.
(L) Assign a dose for reuse concrete other than the dose values provided along with the LTP (as shown in Table 6-53 (Revision 2) of the LTP) and documented in Section 8 and Table 33 of TSD 14010, "RESRAD Dose Modeling for Basement Fill Model and Soil DCGL and Calculation of Basement Fill Model Dose Factors and DCGLs, Revision 6."
(M) Use area-specific surrogate ratios that are less than the maximum surrogate ratios (H-3/Cs-137, Ni-63/Co-60, Sr-90/Cs-137) presented in Table 5-15 (Revision 2) of the LTP.
3. This amended license is issued without prejudice to subsequent licensing action which may be taken by the Commission.
4. This license is effective as of the date of issuance and shall expire at midnight on April 6, 2013.
FOR THE ATOMIC ENERGY COMMISSION
Original Signed by Roger S. Boyd
A. Giambusso, Deputy Director For Reactor Projects Directorate of Licensing
Date of Issuance: October 19, 1973
ZIONSOLUTIONS, LLC
DOCKET NO. 50-304
ZION NUCLEAR POWER STATION, UNIT 2
AMENDMENT TO FACILITY OPERATING LICENSE
Amendment No. 178 License No. DPR-48
1. The Nuclear Regulatory Commission (the Commission or NRC) has found that:
A. The application for amendment by ZionSolutions, LLC (the licensee), dated December 19, 2014, as supplemented February 26, 2015, March 8, 2016, July 20, 2016, July 20, 2017, February 7, 2018, April 10, 2018, and August 28, 2018, complies with the standards and requirements of the Atomic Energy Act of 1954, as amended (the Act), and the Commission's regulations set forth in 10 CFR Chapter I;
B. The facility will be maintained in conformity with the application, as amended, the provisions of the Act, and the applicable rules and regulations of the Commission;
C. There is reasonable assurance: 1) that the activities authorized by this amendment can be conducted without endangering the health and safety of the public; and 2) that such activities will be conducted in compliance with applicable portions of the Commission's regulations;
D. The issuance of this amendment will not be inimical to the common defense and security or to the health and safety of the public; and
E. The issuance of this amendment is in accordance with 10 CFR Part 51 of the Commission's regulations and all applicable requirements have been satisfied.
2. Accordingly, the license is amended as follows:
License Conditions 2. C. (17) is added to read as follows:
(17) License Termination Plan (LTP)
ZionSolutions shall implement and maintain in effect all provisions of the approved License Termination Plan as approved in License Amendment No. 178 subject to and as amended by the following stipulations:
ZionSolutions may make changes to the LTP without prior approval provided the proposed changes do not meet any of the following criteria:
(A) Require Commission approval pursuant to 10 CFR 50.59.
(B) Result in significant environmental impacts not previously reviewed.
(C) Detract or negate the reasonable assurance that adequate funds will be available for decommissioning.
(D) Decrease a survey unit area classification (i.e., impacted to not impacted; Class 1 to Class 2; Class 2 to Class 3; or Class 1 to Class 3) without providing the NRC a minimum 14 day notification prior to implementing the change in classification.
(E) Increase the derived concentration guideline levels (DCGL) and related minimum detectable concentrations (for both scan and fixed measurement methods).
(F) Increase the radioactivity level, relative to the applicable DCGL, at which an investigation occurs.
(G) Change the statistical test applied other than the Sign test.
(H) Increase the approved Type I decision error above the level stated in the LTP.
(I) Change the approach used to demonstrate compliance with the dose criteria (e.g., change from demonstrating compliance using derived concentration levels to demonstrating compliance using a dose assessment that is based on final concentration data).
(J) Change parameter values or pathway dose conversion used to calculate the dose such that the resultant dose is lower than in the approved LTP and if a dose assessment is being used to demonstrate compliance with the dose criteria.
(K) Reuse concrete from demolished structures, other than from the list of areas specified in Section 2.1.1 of TSD 17-010, "Final Report Unconditional Release Surveys at the Zion Station Restoration Project, Revision 1", as backfill.
(L) Assign a dose for reuse concrete other than the dose values provided along with the LTP (as shown in Table 6-53 (Revision 2) of the LTP) and documented in Section 8 and Table 33 of TSD 14-010, "RESRAD Dose Modeling for Basement Fill Model and Soil DCGL and Calculation of Basement Fill Model Dose Factors and DCGLs, Revision 6."
(M) Use area-specific surrogate ratios that are less than the maximum surrogate ratios (H-3/Cs-137, Ni-63/Co-60, Sr-90/Cs-137) presented in Table 5-15 (Revision 2) of the LTP.
3. This license amendment is effective as of the date of issuance and shall be implemented within 60 days.
FOR THE NUCLEAR REGULATORY COMMISSION
/RA/
John R. Tappert, Director Division of Decommissioning, Uranium Recovery and Waste Programs Office of Nuclear Material Safety and Safeguards
Date of Issuance: September 28, 2018
ATTACHMENT TO LICENSE AMENDMENT NOS. 178
FACILITY OPERATING LICENSE NOS. DPR-48
DOCKET NOS. 50-304
Replace the following pages of the License with the attached revised pages. The revised pages are identified by amendment number and contain marginal lines indicating the areas of change.
REMOVE
INSERT
(c) The decommissioning trust agreement for Zion, Unit 2, must provide that no disbursements or payments from the trust shall be made by the trustee unless the trustee has first given the Director of the Office of Nuclear Reactor Regulation 30 days prior written notice of payment. The decommissioning trust agreement shall further contain a provision that no disbursements or payments from the trust shall be made if the trustee receives prior written notice of objection from the NRC.
(d) The decommissioning trust agreement must provide that the agreement cannot be amended in any material respect without 30 days prior written notification to the Director of the Office of Nuclear Reactor Regulation.
(e) The appropriate section of the decommissioning trust agreement shall state that the trustee, investment advisor, or anyone else directing the investments made in the trust shall adhere to a "prudent investor" standard, as specified in 18 CFR 35.32(a)(3) of the Federal Energy Regulatory Commission's regulations.
(15) ZS shall take all necessary steps to ensure that the decommissioning trust is maintained in accordance with the application for approval of the transfer of the Zion, Unit 1, license and the requirements of the Order approving the transfer, and consistent with the safety evaluation supporting the Order.
(16) Deleted.
(17) License Termination Plan (LTP)
ZionSolutions shall implement and maintain in effect all provisions of the approved License Termination Plan as approved in License Amendment No. xxx subject to and as amended by the following stipulations:
ZionSolutions may make changes to the LTP without prior approval provided the proposed changes do not meet any of the following criteria:
(A) Require Commission approval pursuant to 10 CFR 50.59.
(B) Result in significant environmental impacts not previously reviewed.
(C) Detract or negate the reasonable assurance that adequate funds will be available for decommissioning.
(D) Decrease a survey unit area classification (i.e., impacted to not impacted; Class 1 to Class 2; Class 2 to Class 3; or Class 1 to Class 3) without providing the NRC a minimum 14 day notification prior to implementing the change in classification.
(E) Increase the derived concentration guideline levels (DCGL) and related minimum detectable concentrations (for both scan and fixed measurement methods).
(F) Increase the radioactivity level, relative to the applicable DCGL, at which an investigation occurs.
(G) Change the statistical test applied other than the Sign test.
(H) Increase the approved Type I decision error above the level stated in the LTP.
(I) Change the approach used to demonstrate compliance with the dose criteria (e.g., change from demonstrating compliance using derived concentration levels to demonstrating compliance using a dose assessment that is based on final concentration data).
(J) Change parameter values or pathway dose conversion used to calculate the dose such that the resultant dose is lower than in the approved LTP and if a dose assessment is being used to demonstrate compliance with the dose criteria.
(K) Reuse concrete from demolished structures, other than from the list of areas specified in Section 2.1.1 of TSD 17-010, "Final Report - Unconditional Release Surveys at the Zion Station Restoration Project, Revision 1", as backfill.
(L) Assign a dose for reuse concrete other than the dose values provided along with the LTP (as shown in Table 6-53 (Revision 2) of the LTP) and documented in Section 8 and Table 33 of TSD 14010, "RESRAD Dose Modeling for Basement Fill Model and Soil DCGL and Calculation of Basement Fill Model Dose Factors and DCGLs, Revision 6."
(M) Use area-specific surrogate ratios that are less than the maximum surrogate ratios (H-3/Cs-137, Ni-63/Co-60, Sr-90/Cs-137) presented in Table 5-15 (Revision 2) of the LTP.
3. This amended license is issued without prejudice to subsequent licensing action which may be taken by the Commission.
4. This license is effective as of the date of issuance and shall expire at midnight on November 14, 2013.
FOR THE ATOMIC ENERGY COMMISSION
Original Signed by Roger S. Boyd
A. Giambusso, Deputy Director for Reactor Projects Directorate of Licensing
Date of Issuance: November 14, 1973
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MEMORANDUM
TO:
File
FROM:
Thoreau Bartmann Branch Chief Division of Investment Management
DATE: February 26, 2013
RE: Money Market Fund Regulation and Special Study on Money Market Funds
On February 20, 2013, staff from the Division of Investment Management ("IM") and staff from the Treasury department met with the following representatives of the Investment Company Institute: Kathleen Joaquin, Gregory Smith, Martin Burns, Jeff Naylor, and Jane Heinricks.
The following SEC staff participated in the meeting:
Diane C. Blizzard, IM Sarah G. ten Siethoff, IM Thoreau Bartmann, IM Brian Johnson, IM Adam Bolter, IM Virginia Meany, RSFI Woodrow Johnson, RSFI Kelsey Pristach, RSFI
Among other matters, the meeting participants discussed money market fund reform options and the analysis contained in the November 30, 2012 special staff study on money market funds prepared by the Division of Risk, Strategy, and Financial Innovation.
|
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WARNING: The iH6 shuffle port is ONLY for use with an iPod shuffle. DO NOT connect any other device such as iPod or iPhone to this port as doing so can cause damage to the iH6, iPod/iPhone or both.
NOTE: THIS UNIT WILL NOT CONTROL OR CHARGE 3G iPod
Questions? Visit www.ihomeaudio.com
A Consumer Guide to Product Safety
This device complies with part 15 of the FCC Rules. Operation is subject to the condition that this device does not cause harmful interference.
This equipment complies with the limits for a Class B digital device as specified in Part 15 of FCC Rules. These limits provide reasonable protection against radio and TV interference in a residential area.
However, your equipment might cause TV or radio interference even when it is operating properly. To eliminate interference you can try one or more of the following corrective measures:
- Reorient or relocate the receiving antenna.
- Increase the distance between the equipment and the radio or TV.
- Use outlets on different electrical circuits for the equipment and the radio or TV.
Consult your dealer or an experienced radio/television technician if the problem still exists.
Modifying or tampering with your system’s internal components can cause a malfunction and might invalidate the system’s warranty and void your FCC authorization to operate it.
Maintenance
- Place the unit on a level surface away from sources of direct sunlight or excessive heat.
- Protect your furniture when placing your unit on a natural wood and lacquered finish. A cloth or other protective material should be placed between it and the furniture.
- Clean your unit with a soft cloth moistened only with mild soap and water. Stronger cleaning agents, such as Benzine, thinner or similar materials can damage the surface of the unit.
1: power
Attach AC adaptor cable to jack on back of the iH6 and plug the other end into a wall socket.
NOTE: If you do not have an insert for your iPod, please visit an Apple store, www.ihomeaudio.com, or call iHome toll free at 800-288-2792 to purchase one.
2: antenna
Snap AM antenna into provided stand, then plug antenna cable into socket on back of iH6. Move antenna 12” away.
3: inserts
Select the dock insert for your iPod® model from the table below and place insert in dock. Never dock an iPod without an insert in place.
| iPod nano Insert 8 | iPod with video (30 GB) Insert 9 | iPod with video (60,80 GB) Insert 10 |
|-------------------|----------------------------------|-------------------------------------|
| iPod 1G and 2G nano thin (30 GB) iPod with video | thick (60,80 GB) iPod with video |
4: time
Press & hold the Time Zone button on back until it flashes
Turn the Set Wheel to select your time zone
Press the Time Zone button again.
Move the DST switch on back of unit to +1 or -1 (adds or subtracts an hour)
5: iPod/shuffle
iPod: Insert iPod® into dock with proper insert (iPod must not be in a skin or case). iPod will charge while docked. Press iPod Button on iH6 to play iPod.
2nd Gen Shuffle: Insert 2nd Gen shuffle into the shuffle dock included with your shuffle and plug the USB end into the iH6’s shuffle USB port. To charge, set Shuffle Mode Switch to Charge position. To play, set Shuffle Mode Switch to Play. Turn on shuffle, press play on shuffle and iPod button on iH6.
6: radio
Press the Radio button and press again to select AM/FM band. Turn the Set Wheel to tune in a station. Press and hold a preset button (1, 2, 3 or 4) to save the station as a preset.
Controls and Indicators
- Snooze/Dimmer Button 1
- Alarm On/Off Button 4
- Alarm 1 Button 3
- Alarm 2 Button 2
- Volume Wheel 6
- iPod Button 5
- Radio/AM/FM1/FM2Button 7
- Preset Buttons 8
- Dock 9
- Sleep Button 10
- Set Wheel 11
- EQ Button 12
- Alarm Reset/Power Off Button 13
- Clock Adjust Button 17
- AC Adaptor Jack 15
- Line Out Jack 16
- Time Zone Button 18
- DST switch 19
- Line-in Jack 20
- FM Antenna 21
- Shuffle Mode Switch 22
- AM Loop Antenna socket 14
iH6 Display
- Battery Low Indicator
- Daylight Saving Time Indicator
- Time Display
- PM Indicator
- Sleep Display
- Alarm 1, Alarm 2 Indicators
- Volume Indicator
- AM/FM1/FM2 Indicator
- Alarm Time PM Indicator
- iPod Indicator
- Radio Frequency / Alarm Time Display
- iPod Indicator
- FM Antenna
- Line-in Jack
- Time Zone Button
- DST switch
- Line Out Jack
- AC Adaptor Jack
- Snooze/Dimmer Button
- Alarm On/Off Button
- Alarm 1 Button
- Alarm 2 Button
- Volume Wheel
- iPod Button
- Radio/AM/FM1/FM2Button
- Preset Buttons
- Dock
- Sleep Button
- Set Wheel
- EQ Button
- Alarm Reset/Power Off Button
- Clock Adjust Button
- AM Loop Antenna socket
- Shuffle Mode Switch
Connect iH6 to Power Source
a) Plug the AC adaptor cable into the 15 AC Adaptor Jack and the other end into a standard 120v wall socket. Adaptor must be plugged in to operate. The iH6 does not operate on batteries.
Setting the Clock
a) Press and hold the 18 Time Zone Button until the display flashes.
b) Turn the Set Wheel to select your time zone.
c) Press the Time Zone Button again. The clock will display the current time in your time zone.
d) To adjust the time for Daylight Saving Time, slide the 19 DST switch to +1 to advance the time 1 hour. Slide to -1 to turn the clock back 1 hour.
To Set Clock Manually
a) Press and hold the 17 Clock Adjust Button. The clock display will flash.
b) Turn the 11 Set Wheel until the current time is displayed (a PM indicator appears when time is set to PM; there is no AM indicator).
c) Press the Clock Adjust Button to accept the time. The year display will flash.
d) Turn the Set Wheel to adjust the year and press the Clock Adjust Button. The date display will flash.
e) Turn the Set Wheel to adjust the date and press the Clock Adjust Button. Two beeps will indicate clock setting is complete. Use DST switch to adjust for Daylight Saving Time.
Using the Alarms
Setting the Alarms
a) Press and hold the 3 Alarm 1 Button until the alarm time flashes to wake to iPod (buzzer alarm sounds if no iPod is detected) or the 2 Alarm 2 Button to wake to the current radio station at a separate alarm time. You cannot wake to iPod shuffle.
b) Turn the Set Wheel to set the alarm time (a PM indicator appears when time is set to PM; there is no AM indicator).
c) Press the Alarm 1 Button again (or the Alarm2 Button if you are setting second alarm). Alarm is now armed, indicated by the numbered alarm clock icon (alarm 1 iPod or alarm 2 radio).
Arming and Disarming Alarm (Turn Alarm Function ON and OFF)
a) Press the 4 Alarm On/Off Button to arm or disarm alarm functions. When armed, the related alarm icon appears in display.
Resetting the Alarm to Come on the Next Day
a) When the alarm is sounding, press the 16 Alarm Reset/Power Off Button to stop alarm and reset it to come on the following day.
Snooze
a) Press the 1 Snooze/Dimmer Button after the alarm sounds. The alarm will be silenced and come on again 9 minutes later. Snooze can be pressed several times during the 1 hour alarm cycle.
Sure Alarm
The iH6 has a sure alarm feature so the buzzer alarm will still sound in the event of power failure, if backup batteries are installed.
iPod and shuffle
Playing and charging your iPod
a) Place proper insert for your iPod (see insert table under Quick Start) in 9 Dock, then gently dock iPod. When docked, iPod will charge until fully charged. Unit will not overcharge iPod.
b) Press the 5 iPod Button to play iPod, and again to pause.
c) Turn 6 Volume Wheel to adjust iH6 volume up or down
d) Press the EQ Button to select Treble, Bass or Balance. Turn the Set Wheel to adjust settings. EQ settings for iPod and radio mode are independent.
e) Press 13 Alarm Reset/Power Off Button to turn iH6 and iPod off.
Playing and charging your shuffle
a) Dock your 2nd Gen shuffle in the shuffle Dock included with your shuffle, and connect the USB plug into the USB shuffle port on the iH6. To connect 1st Gen shuffle, dock it directly into the USB shuffle port.
b) To charge shuffle, set Shuffle Mode Switch to Charge. **Unit will not overcharge shuffle**
c) To play 2nd Gen shuffle, set Shuffle Mode Switch to Play. Turn on shuffle, press iPod button on the iH6 and press play on your shuffle. To play 1st Gen shuffle, connect audio patch cord from shuffle headphone out jack to iH6 line-in jack.
Note: Please don’t charge and play 1st Gen shuffle at the same time, this will create interference noise.
d) see steps c) and d) under “Playing and Charging your iPod” for adjusting volume and EQ.
Do not play iPod and shuffle (or line-in source) at the same time.
e) To turn shuffle off, use shuffle controls.
Note: If you dock an iPod with a drained battery, it may take up to 6 minutes of charging before the iPod will respond.
Radio
Setting up Antennas
a) Snap AM loop antenna into provided stand, then plug AM antenna cable into 14 AM Loop Antenna socket on back of unit. Move antenna 12” away from unit for best reception.
b) Extend 21 FM Antenna (on back of unit) fully for best reception. Do not strip, alter or attach to other antennas.
Tuning and Playing the Radio
a) Press the 7 Radio Button to select radio play mode. Press as needed to select AM, FM1 or FM2 radio band.
b) Turn the Set Wheel to tune radio to a desired station.
c) To memorize the current station as a preset, press and hold 8 Preset Button 1,2,3 or 4. Repeat steps a,b,and c to preset up to 12 stations (4 AM, 8 FM). To listen to a preset station at any time, simply press the desired preset button.
d) Turn the 6 Volume Wheel to adjust iH6 volume up or down.
e) Press the EQ Button to select Treble, Bass or Balance. Turn the Set Wheel to adjust settings. EQ settings for iPod and radio mode are independent.
f) Press 13 Alarm Reset/Power Off Button to turn iH6 and iPod off.
Using the Line-in and Line-out Jacks
a) An audio patch cord comes with the iH6. Use it to play nondocking iPods or other audio devices through the iH6 20 Line-in Jack (one end in the device’s line out or headphones jack, the other in the iH6 line in jack). Make sure there is no iPod docked in the iH6 when using the line-in jack (however, you can charge shuffle while using line-in). Press the iPod Button.
b) Use the 16 Line Out Jack to connect the iH6 to the line-in jack of other audio devices such as a tape recorder or amplifier. The Volume Wheel of the iH6 does not control line-out volume (adjust on attached device instead). The Line Out Jack is not recommended for headphones.
Using Sleep Mode
Sleep mode lets you sleep to your iPod or the radio, gradually lowering the volume until the unit shuts off at the selected time.
a) Press the 10 Sleep Button to select an amount of time before the iH6 will turn off: 120, 90, 60, 30 or 15 minutes.
b) Turn the Volume Wheel to set the sleep volume (this volume setting is separate from your standard volume setting).
Using Dimmer
a) Press the 1 Snooze/Dimmer Button during normal operation to adjust brightness of LCD display.
Replacing iH6 Backup Batteries
Install/Replace Backup Battery
The iH6 uses a backup battery system to provide continuous alarm operation and clock settings in the event of a power failure. If the Battery Low Icon located on the left of the display is flashing, it is time to replace the backup batteries. Please make sure the AC adaptor is connected, otherwise all settings may be lost during battery replacement.
Open the battery compartment cover located on the bottom of the unit. Insert 2 “AA” batteries as indicated. We recommend the use of alkaline batteries for longer life.
Batteries information:
• Do not mix old and new batteries.
• Do not mix alkaline, standard (carbon-zinc) or rechargeable (nickel-cadmium) batteries.
Using The Remote Control Unit
The Remote Control controls basic functions on the iH6 and certain iPod® functions when the iPod® is docked in the iH6. For best results, use the remote control within 12 feet of the unit.
Install/Replace the Remote Control Batteries
The remote control batteries are already installed at the factory. When the remote control stops operating or its range seems reduced, replace the batteries with new ones.
1. The battery door is located on the back end of the unit.
2. Press to release the battery door latch.
3. Insert one “CR2032” 3-volt lithium batteries. Make sure the polarity (the + and – side of the battery) is correct.
4. Replace the battery holder back in the remote control.
NOTE: PLEASE DISCARD BATTERIES PROPERLY
IMPORTANT SAFETY INSTRUCTIONS
When used in the directed manner, this unit has been designed and manufactured to ensure your personal safety. However, improper use can result in potential electrical shock or fire hazards. Please read all safety and operating instructions carefully before installation and use, and keep these instructions handy for future reference. Take special note of all warnings listed in these instructions and on the unit.
1. **Water and Moisture** – The unit should not be used near water. For example: near a bathtub, washbowl, kitchen sink, laundry tub, swimming pool or in a wet basement.
2. **Ventilation** – The unit should be situated so that its location or position does not interfere with its proper ventilation. For example, it should not be situated on a bed, sofa, rug or similar surface that may block ventilation openings. Also, it should not be placed in a built-in installation, such as a bookcase or cabinet, which may impede the flow of air through the ventilation openings.
3. **Heat** – The unit should be situated away from heat sources such as radiators, heat registers, stoves or other appliances (including amplifiers) that produce heat.
4. **Power Sources** – The unit should be connected to a power supply only of the type described in the operating instructions or as marked on the appliance.
5. **Power-Cable Protection** – Power supply cables should be routed so that they are not likely to be walked on or pinched by items placed upon or against them. It is always best to have a clear area from where the cable exits the unit to where it is plugged into an AC socket.
6. **Cleaning** – The unit should be cleaned only as recommended. See the Maintenance section of this manual for cleaning instructions.
7. **Objects and Liquid Entry** – Care should be taken so that objects do not fall and liquids are not spilled into any openings or vents located on the product.
8. **Attachments** – Do not use attachments not recommended by the product manufacturer.
9. **Lightning and Power Surge Protection** – Unplug the unit from the wall socket and disconnect the antenna or cable system during a lightning storm or when it is left unattended and unused for long periods of time. This will prevent damage to the product due to lightning and power-line surges.
10. **Overloading** – Do not overload wall sockets, extension cords, or integral convenience receptacles as this can result in a risk of fire or electric shock.
11. **Damage Requiring Service** – The unit should be serviced by qualified service personnel when:
A. the power supply cable or plug has been damaged.
B. objects have fallen into or liquid has been spilled into the enclosure.
C. the unit has been exposed to rain.
D. the unit has been dropped or the enclosure damaged.
E. the unit exhibits a marked change in performance or does not operate normally.
12. **Antenna** – Do not connect an external antenna to the unit (other than that provided).
13. **Periods of Nonuse** – If the unit is to be left unused for an extended period of time, such as a month or longer, the power cable should be unplugged from the unit to prevent damage or corrosion.
14. **Servicing** – The user should not attempt to service the unit beyond those methods described in the user’s operating instructions. Service methods not covered in the operating instructions should be referred to qualified service personnel.
Questions? Visit www.ihomeaudio.com
| Symptom | Possible Problem | Solution |
|------------------------------------------------------------------------|----------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| iH6 does not turn on | AC adaptor isn't plugged into a working wall socket or not plugged into the power supply jack on back of the unit | Plug the AC adaptor into a working wall socket and plug the connector into the supply jack on the unit |
| iH6 doesn’t respond | iH6 requires a reset | If unit is plugged in and doesn’t respond, try resetting the unit by following these steps:
a) remove iPod from dock
b) unplug unit from power source
c) remove back up batteries
d) wait 1 hour, then resume use |
| | iPod is not docked properly | Remove your iPod from the dock and check for obstruction on the connectors in the dock and on your iPod. Then reseat it in the dock. |
| Battery Low icon always flashing | Batteries are weak | Replace with new batteries |
| | Batteries were not installed properly | Check to make sure the polarity (+ and – ends) matches the diagram in the battery compartment |
| iPod does not respond to the unit/iPod is playing but no sound comes out | iPod is not docked properly | Remove your iPod from the dock and check for obstruction on the connectors in the dock and on your iPod. Then reseat it in the dock. |
| | Your iPod software is too old | Upgrade software on your iPod. For details visit http://www.apple.com/ipod/download |
| | iPod is locked up/plays but no sound comes out | Check the volume setting. Make sure your iPod is working properly before docking into the unit. Please refer to your iPod manual for details. See above for software upgrade information. You may need to reset your iPod. To do so:
1. Toggle the Hold switch to hold position, then off.
2. Press and hold the Menu and center Select buttons at the same time until Apple logo appears. You may need to repeat this step. |
| | Using 1st or 2nd generation iPod, iPod Shuffle or other devices. | iH6 cannot control those iPods or other devices. |
| Remote Control didn’t work | Battery weak | Replace current battery with new battery |
| | Remote Control is out of range of the iH6 remote sensor | Move within 30 feet of the unit. |
| iH6/iPod performance is erratic | The iH6 is reacting to external interference | Move unit away from potential sources of external interference such as computers, modems, wireless devices (routers) or fluorescent light. |
| No sound from iH6 | Volume is set too low on iH6 | Make sure volume is turned up |
| iPod didn’t charge up | iPod is not installed properly | Remove your iPod from the dock and check for obstruction on the connectors in the dock and on your iPod. Then reseat it in the dock. |
| | iPod is locked up/ frozen | Please make sure your iPod is working properly before docking into the unit. Please refer to your iPod manual for details. |
| | iPod battery has problem | |
| No AM band radio sound but others OK | AM loop antenna is not connected to the unit | Plug the AM loop antenna connector to the jack on the back of the unit |
| AM band radio is very noisy | AM loop antenna isn’t located properly | Move the AM loop antenna away from the main unit/iPod and rotate it for best reception |
| Symptom | Possible Problem | Solution |
|----------------------------------------------|----------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------|
| Sound is distorted | Volume level is set too high | Decrease the volume |
| | Sound source is distorted | If the iPod original sound source (MP3) is old or of poor quality, distortion and noise are easily noticed with high-power speakers. Try a different audio source such as a music CD. |
| | | If you are using an external sound source like older generation of iPod or iPod Shuffle, try reducing the output volume on the device itself. Also try turning bass boost OFF. |
| Unit/adaptor gets warm after extended play at high volume | This is normal | Turn unit off for awhile or lower volume |
| Can't hear headphones/speakers attached to line out jack | Line out jack is not meant for headphones. Speakers need a power source | The signal from the line out jack needs amplification. Use powered speakers/monitors or other amplified audio device. |
| Can't play 1st Gen Shuffle | The iH6 can charge 1st Gen shuffle (when shuffle switch is in Charge position), but cannot play it | Connect 1st Gen shuffle to line in jack to play |
| Síntoma | Causa | Solución |
|----------------------------------------------|----------------------------------------------------------------------|--------------------------------------------------------------------------|
| La unidad no enciende | El adaptador de corriente AC no está conectado a un tomacorriente que funcione o no está conectado en la parte posterior de la unidad | Conecte el adaptador de corriente a un tomacorriente que funcione y a la parte posterior de la unidad |
| La unidad no responde | La unidad debe ser reprogramada | Si la unidad está conectada y no responde, pruebe reprogramarla siguiendo estos pasos:
a) Quite el iPod de la base
b) Desconecte la unidad del tomacorriente
c) Quite las baterías auxiliares
d) Espere 1 hora y vuelva a probar |
| El iPod no encastra correctamente | No ha colocado el encastre del iPod, o está utilizando el encastre incorrecto. | Verifique que el encastre sea el apropiado para su iPod |
| | El iPod no encastra correctamente | Quite el iPod del encastre y retire la posible obstrucción del encastre o de su iPod. Vuelva a colocar el iPod dentro del encastre. |
| El ícono de batería baja está destellando | Las baterías están gastadas | Reemplace las baterías |
| | Las baterías no están instaladas correctamente | Verifique que la polaridad de las baterías (- y +) se encuentren de acuerdo al diagrama del compartimiento de baterías. |
| El iPod no se comunica con la unidad | El iPod no está instalado correctamente | Quite el iPod del encastre y verifique posibles obstrucciones del encastre o de su iPod. Vuelva a colocar el iPod dentro del encastre. |
| | Su software es obsoleto | Renueve su software. Para mayor información, diríjase a http://www.apple.com/ipod/download |
| | El iPod no responde | Verifique que su iPod funcione correctamente antes de conectarlo a la unidad. Refiérase al manual de su iPod para más detalles. |
| | Usted tiene un iPod de primera o segunda generación, un Shuffle u otro tipo de aparato | El iH6 no puede controlar estos otros aparatos |
| No sale sonido de su iH6 | El volumen del iH6 se encuentra muy bajo | Asegúrese de subir el volumen |
| El iPod no carga | El iPod no está instalado correctamente | Quite el iPod del encastre y retire la posible obstrucción del encastre o de su iPod. Vuelva a colocar el iPod dentro del encastre. |
| | El iPod está trabado/no responde | Por favor asegúrese de que su iPod funcione correctamente antes de colocarlo en el encastre. Refiérase al manual de su iPod para mayor información. |
| | La batería del iPod podría tener algún inconveniente | |
| La banda de AM no suena pero las demás sí | La antena no está ubicada correctamente | Aleje la antena de la unidad y gírela para mejorar la recepción |
| El sonido sale distorsionado | El volumen se encuentra muy alto | Baje el volumen |
| | El sonido sale distorsionado de la unidad | Si el sonido original de su iPod era de pobre calidad, las distorsiones y ruidos se harán más notables con los parlantes de alta potencia. Pruebe utilizar otra fuente de audio como un CD. |
| | | Si está utilizando un iPod de primeras generaciones o un Shuffle, intente bajar el volumen de su aparato. También intente apagar el amplificador de bajos |
| El control remoto no funciona | Las baterías están gastadas | Reemplace las baterías por nuevas |
| | No está apuntando el control remoto hacia el iH6 | Apunte el control remoto hacia el iH6 y manténgase a una distancia máxima de 10 pies de la unidad. |
| Síntoma | Causa | Solución |
|------------------------------------------------------------------------|----------------------------------------------------------------------|--------------------------------------------------------------------------|
| La unidad recalienta luego de largos períodos de uso a alto volumen | Esto es normal | Apague la unidad o baje el volumen |
| No puede escuchar los auriculares/parlantes que están conectados a la | La línea de salida no está diseñada para auriculares. Los parlantes | La señal de salida requiere amplificación. Utilice parlantes u otra clase |
Limited 90-Day Warranty Information
iHome Products, a division of SDI Technologies Inc. (hereafter referred to as SDI Technologies), warrants this product to be free from defects in workmanship and materials, under normal use and conditions, for a period of 90 days from the date of original purchase.
Should this product fail to function in a satisfactory manner, it is best to first return it to the store where it was originally purchased. Should this fail to resolve the matter and service still be required by reason of any defect or malfunction during the warranty period, SDI Technologies will repair or, at its discretion, replace this product without charge (except for a $10.00 charge for handling, packing, return UPS/postage, and insurance). This decision is subject to verification of the defect or malfunction upon delivery of this product to the Factory Service Center listed below. The product must include proof of purchase, including date of purchase. The fee for service without proof of purchase is $30.00.
Before returning this product for service, please first replace the batteries (if applicable) with fresh ones, as exhausted or defective batteries are the most common cause of problems encountered.
If service is still required:
1. Remove the batteries (if applicable) and pack the unit in a well padded, heavy corrugated box.
2. Enclose a photocopy of your sales receipt, credit card statement, or other proof of the date of purchase, if within the warranty period.
3. Enclose a check or money order payable to the order of SDI Technologies, for the sum of $10.00 ($30.00 without proof of purchase).
4. Send the unit prepaid and insured, to the Factory Service Center listed below.
Consumer Repair Department
SDI Technologies Inc.
1330 Goodyear Dr.
El Paso, TX 79936-6420
Disclaimer of Warranty
NOTE: This warranty is valid only if the product is used for the purpose for which it was designed. It does not cover (i) products which have been damaged by negligence or willful actions, misuse or accident, or which have been modified or repaired by unauthorized persons; (ii) cracked or broken cabinets, or units damaged by excessive heat; (iii) damage to digital media players, CD's or tape cassettes (if applicable); (iv) the cost of shipping this product to the Factory Service Center and its return to the owner.
This warranty is valid only in the United States of America and does not extend to owners of the product other than to the original purchaser. In no event will SDI Technologies or any of its affiliates, contractors, resellers, their officers, directors, shareholders, members or agents be liable to you or any third party for any consequential or incidental damages, any lost profits, actual, exemplary or punitive damages. (Some states do not allow limitations on implied warranties or exclusion of consequential damages, so these restrictions may not apply to you.) This warranty gives you specific legal rights, and you may also have other rights which vary from state to state.
Your acknowledgment and agreement to fully and completely abide by the above mentioned disclaimer of warranty is contractually binding to you upon your transfer of currency (money order, cashier's check, or credit card) for purchase of your SDI Technologies product.
Questions? Visit www.ihomeaudio.com
For operating instructions: 1-877-ihome01(1-877-446-6301) Toll Free
For any other questions: 1-800-288-2792 Toll Free
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CURRICULUM VITAE
Name:
Ezra Eddy Wyssam Cohen, M.D. 5500 Beaumont Avenue La Jolla, CA 92037 773-307-5548
Home Address:
Phone:
Office:
University of California, San Diego Moores Cancer Center 3855 Health Sciences Drive 4 nd Floor, Room 4344 – Mail Code: 0658 La Jolla, CA 92093-0658 858-534-6161 858-822-5754 [email protected]
Phone:
Fax:
E-mail:
Citizenship:
United States
Education:
Positions Held:
2
Chicago
Honors and Awards:
Clinical Trials
3
Memberships
College of Physicians and Surgeons of Ontario Royal College of Physicians and Surgeons of Canada American Association for Cancer Research American Society of Clinical Oncology European Society of Medical Oncology American Head and Neck Society Society for Immunotherapy of Cancer
Certification
Medical Council of Canada Qualifying Exam - 1991
Certification in Family Medicine, Canada - 1992
American Board of Internal Medicine - 1999
Royal College of Physicians and Surgeons of Canada (Internal Medicine) - 2000
Royal College of Physicians and Surgeons of Canada (Medical Oncology) - 2002
American Board of Internal Medicine (Medical Oncology) – 2002, (recertification 2012)
Licensure
Province of Ontario #62607
State of Illinois #036-099472
State of California #132549
Committees
Intramural:
4
Extramural:
5
2011 – 2013
Member, Education Committee, American Society of Clinical Oncology
2011
Chair, 2012 Multidisciplinary Head and Neck Cancer Symposium
6
2018 –
Organizer, Usha Mahajani Symposium on Molecular Biology
2018 –
AHNS Program Committee, 10
th
International Conference on Head & Neck
Cancer
2019
Faculty Member, 2019 ASCO/AACR Methods in Clinical Cancer Research Workshop
2019 –
Consultant, Council on Scientific Affairs (CSA)
Peer Reviewing
Ad Hoc Reviewer
Annals of Oncology
British Journal of Cancer
Cancer
Cancer Chemotherapy and Pharmacology
Cancer Epidemiology Biomarkers & Prevention
Cancer Research
Head & Neck
Investigational New Drugs
Journal of the National Cancer Institute
Lancet
Lancet Oncology
Leukemia and Lymphoma
Molecular Cancer Research
Molecular Cancer Therapeutics
Molecular Oncology
New England Journal of Medicine
Oncogene
PLoS One
Thyroid
Grant Support (current):
05/01/19-04/30/21
(Cohen Co-Investigator) (Helfer, UCSD Ahrens PI) NIH/NIBIB 2R44EB023761-02 UCSD /Celsense, Inc. Sub Award Product for sensitive imaging of cells in vivo Goal: to continue development and commercialization of a novel and sensitive magnetic resonance imaging (MRI) probe for the cell therapy tools market.
01/01/19-12/31/20
04/17/18-3/31/23
(Cohen PI) C3/Padres Pedal the Cause, UCSD, A Phase 1b Safety and Feasibility Study of Personalized Immunotherapy in Adults with Advanced Cancers. This clinical trial will validate the neoantigen discovery pipeline developed at UCSD and LJI, lay the foundation for personalized immunotherapy, and provide critical preliminary data to perform additional clinical trials testing the efficacy of this approach in patients with metastatic disease and at preventing cancer recurrence following definitive therapy.
(Varner, Cohen MPI) 5R01CA226909-02, NIH/NCI, Therapeutic Targeting of Macrophage PI3Kgamma in HNSCC. The goal of this proposal is to test novel immuno-oncologic therapeutic approaches for HNSCC and identify novel immune biomarkers in clinical trials of IPI-549 that can assess the mechanism of
7
action of these novel therapeutics.
08/01/18-7/31/23
09/01/18-08/31/23
06/26/17-05/31/22
07/01/17-06/30/22
09/15/17-08/31/22
10/01/17-9/30/20
(Cohen Co-Investigator), (Gutkind PI), 1R01DE026870-01, NIH/NIDCR, Targeting the EGFR-PI3K/mTOR Signaling Circuitry: A Network-Based Approach for Oral Cancer Precision Therapy. The goal of this proposal is to exploit the emerging information of the OSCC genomic mutational landscape to identify alterations driving aberrant activation of the tumor promoting pathway PI3K/mTOR, the best targeted therapeutic options, and help prevent or overcome drug resistance.
(Cohen Co-Investigator), (MPI, Schoenberger/Gutkind/Rao), U01DE028227-01, NIH/NIDCR, Stimulating Neo-Antigen Specific T Cell Responses in Head and Neck Cancers. The goals of this project is to study experimentally the tumor-T cell ecosystem in head and neck squamous cell carcinoma (HNSCC), and will exploit the emerging information to develop novel approaches to enhance the anti-tumor immune response, resulting in tumor regression (cure).
(Cohen Co-Investigator), (Ahrens PI), R01CA134633, NCI, Clinical translation of 19F MRI to visualize cancer immunotherapeutic cells. This project aims to use a novel magnetic resonance imaging (MRI) technology to visualize the trafficking of curative tumor infiltrating lymphocytes in head and neck cancer patients. Up until now, we have been blind to the behavior of cells after infusion into patients, but visualizing tumor homing and survival of the lymphocytes may be predictive of responders versus non-responders to treatment. This information can be used to help speed the adoption of these new therapies.
(Cohen MPI), (Tamayo PI), U01CA217885, NCI, A Rational Systematic Approach to Find Combinations of Pharmacologic and Immune Therapies that Target Identifiable Oncogenic States. In this project we propose a rational systematic approach find optimal combinations of pharmacologic and immunological perturbagens that disrupt cancer cells and their interaction with the tumor microenvironment. The final result of this project will be a table of validated combinations of pharmacologic and immune therapies targeting tumors in each of a number of identifiable oncogenic states.
(Cohen Co-Investigator), (Varner PI), 5R01DE027325-01, NIH, Targeting the Innate Immune Response in the Head and Neck Cancer. The goal of this proposal is to test the overall hypothesis that therapeutic strategies that block macrophage-mediated immune suppression will synergize with T cell targeted therapeutics to improve outcomes in HNSCC disease.
(Cohen PI), TRAN1-10258, TRAN 1: CIRM Therapeutic Translational Research Projects, The goal of this application is to conduct preclinical studies that will accelerate advancement of ROR1 CAR-T cell therapy toward first-inhuman clinical studies. The major focus of our proposal will be process development and preparation for GMP manufacturing, generating preclinical proof of concept and pilot safety data that will inform our IND-enabling preclinical plan and provide guidance for our early phase clinical trials. We will conduct preclinical studies with ROR1 CAR-T cell against 5 ROR1+ CSC
8
driven malignancies including chronic lymphocytic leukemia; ovarian, triplenegative breast, pancreatic, and head and neck cancer.
11/01/17-10/31/20
(Cohen MPI), (Varner PI), T2017-001, V Foundation, Novel Strategies to Break Cancer Immune Tolerance. The goal of this proposal is to test the overall hypothesis that therapeutic strategies that block PI3Kγ-mediated immune suppression will synergize with T cell targeted and other therapeutics to improve outcomes in head and neck cancer patients.
7/01/96-04/30/24
(Cohen Director), Solid Tumor Therapeutics Program; Chair, Protocol Review and Monitoring Committee (PRMC) (Lippman PI), P30CA023100 Specialized Cancer Center Support Grant. This grant provides infrastructure and developmental funds support of the Moores UCSD Cancer Center, an NCI designated comprehensive cancer center. The goal of this grant is to provide support for new faculty and development of Head and Neck Cancer group.
Grant Support (past):
9
Development of Rapamycin (RAPA) as an Anti-Neoplastic Agent in
Combination with the CYP3A4 Inhibitor Ketoconazole
with Radiation Therapy of Concomitantly with Weekly Cisplatin
Chemotherapy and Radiation in Patients with Previously Untreated,
Unresectable, Stage II-IV Head and Neck Squamous Cell Carcinoma
Oral Cancer
3/28/07-11/11/10 (Cohen PI), Astra-Zeneca, D4200C00058: An International, Phase II,
Randomized, Double-Blind, Placebo-Controlled, Multi-Center Study to
oral IEN patients with LOH in 3p and/or 9p associated with curatively treated oral cancer. We will test this treatment in a randomized clinical trial with 2
of the Head and Neck
Major Symposia, Invited Lectures, and Medical Education:
Invited Lectures (Dates in bold indicate society meetings with 500 or more registrants)
External:
February 25-28, 2004
Second Annual Opinion Leader Consortium on Novel and Targeted
December 2, 2005
Multidisciplinary Symposium on Head and Neck Cancer (Symposium chairman and speaker), “Targeting Angiogenesis”, Philadelphia, PA
January 23, 2007
Beth Israel Medical Center Oncology Grand Rounds, "Novel
December 1, 2007
Third Annual Head and Neck Cancer Symposium, "Angiogenesis
Inhibitors in Head and Neck Cancer", Philadelphia, PA
San Francisco, CA
September 22, 2008
50
th
Annual Meeting of the American Society for Therapeutic
September 24, 2009
MD Anderson Comprehensive Board Review in Hematology and
Medical Oncology, "Head and Neck Cancer", Houston, TX
July 23, 2010
2010 Best of ASCO, "Head and Neck Cancer", Boston, MA
September 13, 2011
2011 George Washington University Hematology and Medical
June 1, 2012
American Society of Clinical Oncology Annual Meeting, Extended
March 28, 2013
Grand Rounds, Northwestern University, "Predicting Sensitivity to
May 30, 2014
ASCO 2014, 50
th
Annual Meeting of American Society of Clinical
Oncology, Head and Neck Cancer: The Best of the Rest Education
TX
November 7, 2015
European Society for Medical Oncology (ESMO) Summit Americas:
February 24, 2017
ASCO-SITC Clinical Immuno-Oncology Symposium, (Faculty, Chair
& Roundtables participant), Orlando, FL
October 26, 2017
2017 Fall Managed Care Forum, (Speaker), " Advances in the
Taiwan
August 22, 2018
University of California, Los Angeles David Geffen School of Medicine Grand Rounds, (Speaker), "Precision Immunotherapy – the Next Leap Forward", Los Angeles, CA
intratumoral SD-101 in combination with pembrolizumab in anti-PD1 treatment naïve patients with recurrent or metastatic head and neck squamous cell carcinoma (HNSCC)", Chicago, IL.
July 20, 2019
2019 the Japanese Society of Medical Oncology Annual Meeting (JSMO 2019), (Speaker), "Immunotherapy for Recurrent or Metastatic Head and Neck Cancer; Current Status and Future Direction", Tokyo, Japan
Editorial Activities:
Peer Review Activities:
Bibliography
Peer Reviewed Original Articles:
1. Ovens H, Allen R, Cohen EEW: Who Will Practice Emergency Medicine? Survey of Family Medicine Graduates. Canadian Family Physician, 39: 1356-65 (1993).
2. Hoffman PC, Cohen EEW, Masters GA, Haraf DJ, Mauer AM, Rudin CM, Krauss SA, Vokes EE: Carboplatin plus Vinorelbine with Concomitant Radiation Therapy in Advanced Non-Small Cell Lung Cancer: A Phase I Study. Lung Cancer, 38(1): 65 (2002).
3. Cohen EEW, Rosen F, Stadler W, Recant W, Stenson K, Huo D, Vokes EE: Phase II Trial of ZD1839 In Recurrent or Metastatic Squamous Cell Carcinoma of the Head and Neck. Journal of Clinical Oncology, 21(10): 1980-7 (2003).
4. Rudin CM, Cohen EEW, Papadimitrakopoulou VA, Silverman S, Jr., Recant W, El-Naggar AK, Stenson K, Lippman SM, Hong WK, Vokes EE: An Attenuated Adenovirus, ONYX015, as Mouthwash Therapy for Premalignant Oral Dysplasia. Journal of Clinical Oncology, 21(24): 4546-52 (2003).
5. Mehta N, Mauer AM, Hellman S, Haraf DJ, Cohen EEW, Vokes EE, Weichselbaum RR: Analysis of further disease progression in metastatic non-small cell lung cancer: Implications for locoregional treatment. International Journal of Oncology, 25(6):1677-83 (2004).
6. Cohen EEW, Lingen MW, Martin LE, Harris PL, Brannigan BW, Haserlat SM, Okimoto RA, Sgroi DC, Dahiya S, Muir B, Clark JR, Rocco JW, Vokes EE, Haber DA, Bell DW: The response of some head and neck cancers to EGFR tyrosine kinase inhibitors may be linked to mutation of ERBB2 rather than EGFR. Clinical Cancer Research, 11(22): 8105-8 (2005).
7. Cohen EEW, Kane MA, List MA, Brockstein BE, Mehrotra B, Huo D, Mauer AM, Pierce C, Dekker A, Vokes EE: Phase II Trial of Gefitinib 250 mg Daily in Patients with Recurrent and/or Metastatic Squamous Cell Carcinoma of the Head and Neck. Clinical Cancer Research, 11(23):8418-24 (2005).
8. Stenson KM, Huo D, Blair E, Cohen EEW, Argiris A, Haraf DJ, Vokes EE: Planned Postchemoradiation Neck Dissection: Significance of Radiation Dose. Laryngoscope, 16(1):33-6 (2006).
9. Argiris A, Cohen EEW, Karrison T, Esparaz B, Mauer A, Ansari R, Wong S, Lu Y, Pins M, Dancey J, Vokes EE: A Phase II Trial of Perisosine, an Oral AKT Inhibitor, in Recurrent or Metastatic Head and Neck Cancer. Cancer Biology and Therapy, 2:5-7(2006).
10. Cohen EEW, Lingen MW, Zhu B, Zhu H, Straza MW, Pierce C, Martin LE, Rosner MR: Protein Kinase C Zeta Mediates EGF-Induced Growth of Head and Neck Tumor Cells by Regulating MAP Kinase. Cancer Research, 66:6296-6303 (2006).
11. Cohen EEW, Haraf DJ, List MA, Kocherginsky M, Mittal BB, Rosen F, Brockstein B, Williams R, Witt ME, Stenson KM, Kies MS, Vokes EE: High Survival and Organ Function Rates Following Primary Chemoradiotherapy for Intermediate Stage Squamous Cell Carcinoma of the Head and Neck Treated In a Multicenter Phase II Trial. Journal of Clinical Oncology, 24:3438-44 (2006).
12. Cohen EEW, Rosine D, Haraf DJ, Loh E, Shen L, Lusinchi A, Vokes EE, Bourhis J: Phase I Trial of Tirapazamine, Cisplatin, and Concurrent Accelerated Boost Re-irradiation in Patients with Recurrent Head and Neck Cancer. International Journal of Radiation Oncology Biology Physics, 67:678-84 (2007).
13. Seiwert TY, Cohen EEW, Haraf DJ, Stenson K, Blair EA, Mauer A, Dekker A, Vokes EE: A Phase I Trial of Docetaxel Based Induction and Concomitant Chemotherapy in Patients with Locally Advanced Head and Neck Cancer. Cancer Investigation, 25:435-44 (2007).
14. Agulnik M, Cohen EEW, Cohen RB, Chen EX, Hotte SJ, Winquist E, Laurie S, Hayes DN, Dancey JE, Pond GR, Lorimer I, Ho J, Tsao MS, Siu LL: Phase II Study of Lapatinib in Recurrent or Metastatic Epidermal Growth Factor Receptor and/or erbB2 Expressing Adenoid Cystic Carcinoma and Non Adenoid Cystic Carcinoma Malignant Tumors of the Salivary Glands. Journal of Clinical Oncology, 25:3978-84 (2007).
15. Keswani RN, Chumsangsri A, Mustafi R, Delgado J, Cohen EEW, Bissonnette M: Sorafenib inhibits MAPK-mediated proliferation in a Barrett's esophageal adenocarcinoma cell line: Role of cyclin D1. Diseases of the Esophagus, 21:514-21 (2008).
16. Yount S, Du H, Yost K, Bode R, List MA, Brockstein B, Argiris A, Vokes EE, Cohen EEW, Mauer A, Valenzuela V, George J, Egan R, Meddis D, Cella D: Is it OK to Extract Selected Items from an Established Questionnaire? A Randomized Study Comparing Embedded versus Extracted FACT – Head and Neck Symptom Index (FHNSI) Scores. Quality of Life Research, 16:1615-26 (2007).
17. Seiwert TY, Haraf DJ, Cohen EEW, Stenson K, Witt ME, Dekker A, Kocherginsky M, Weichselbaum RR, Chen HX, Vokes EE: A phase I study of Bevacizumab added to Fluorouracil and Hydroxyurea based concomitant Chemoradiotherapy for poor prognosis head and neck cancer, Journal of Clinical Oncology, 26:1732-41 (2008).
18. Dougherty U, Sehdev A, Cerda S, Mustafi R, Little N, Yuan W, Jagadeeswaran S, Chumsangsri A, Delgado J, Tretiakova M, Joseph L, Hart J, Cohen EEW, Fichera A, Bissonnette M: Epidermal Growth Factor Receptor Signals are Required for Cancer Development in the Azoxymethane Rat Model of Colonic Carcinogenesis. Clinical Cancer Research, 14:2253-62 (2008).
19. Salama JK, Stenson KM, List MA, Mell LK, MacCracken E, Cohen EEW, Blair EA, Vokes EE, Haraf DJ: Characteristics Associated with Swallowing Changes Following Concurrent Chemoradiotherapy in Head and Neck Cancer Patients. Archives of Otolaryngology--Head & Neck Surgery, 134:1060-5 (2008).
20. Cohn AB, Lang PO, Agarwal JP, Stenson KM, Haraf DJ, Cohen EEW, Vokes EE, Peng SL, Gottlieb LJ: Free-flap Reconstruction in the Doubly Radiated Patient Population. Journal of Plastic & Reconstructive Surgery, 122:125-32 (2008).
21. Cohen EEW, Rosen LS, Vokes EE, Kies MS, Forastiere AA, Worden FP, Kane MA, Sherman E, Kim S, Bycott P, Tortorici M, Shalinsky DR, Liau KF, Cohen RB: Axitinib (AG-013736) is an active treatment for all histological subtypes of advanced thyroid cancer:
results from a phase 2 study. Journal of Clinical Oncology, 26:4708-13 (2008).
22. Knab BR, Haraf DJ, Solanki A, Stenson K, Cohen EEW, Witt ME, Dekker A, Crowley M, Vokes EE, Salama JK: Functional Organ Preservation with Definitive Chemoradiotherapy for T4 Laryngeal Squamous Cell Carcinoma. Annals of Oncology, 19:1650-4 (2008).
23. Mauer AM, Cohen EEW, Ma PC, Kozloff MF, Coates AI, Hagey AE, Gordon GB: A Phase 2 Study of ABT-751 in Patients with Advanced Non–Small-Cell Lung Cancer. Journal of Thoracic Oncology, 3:631-6 (2008).
24. Cohen EEW, Zhu H, Lingen MW, Martin LE, Kuo WL, Choi EA, Kocherginsky M, Parker JS, Chung CH, Rosner MR: A Feed-Forward Loop Involving Protein Kinase Calpha and microRNAs Regulates Tumor Cell Cycle, Cancer Research, 69:65-74 (2009).
25. Salama JK, Stenson KM, Kistner EO, Mittal B, Argiris A, Witt ME, Rosen F, Brockstein BE, Cohen EEW, Haraf DJ, Vokes EE: Induction Chemotherapy and Concurrent Chemoradiotherapy for Locoregionally Advanced Head and Neck Cancer: A MultiInstitutional Phase II Trial Investigating Three Radiotherapy Dose Levels, Annals of Oncology, 19:1787-94 (2008).
26. Stewart JSW, Cohen EEW, Licitra L, Van Herpen CML, Khorprasert C, Soulieres D, Vodvarka P, Rischin D, Garin AM, Hirsch FR, Varella-Garcia M, Ghiorghiu S, Hargreaves L, Armour A, Speake G, Swaisland A, Vokes EE: A Phase III Randomized Study of Gefitinib 250 mg and 500 mg Versus Intravenous Methotrexate for Patients With Recurrent Squamous Cell Carcinoma of the Head and Neck, Journal of Clinical Oncology, 27:1864-71 (2009).
27. Cohen EEW, Baru J, Huo D, Haraf DJ, Crowley M, Witt ME, Blair EA, Weichselbaum RR, Rosen F, Vokes EE, Stenson K: Efficacy and Safety of Treating T4 Oral Cavity Tumors with Primary Chemoradiotherapy, Head and Neck, 31(8):1013-21 (2009).
28. Vidal L, Tsao MS, Pond GR, Cohen EEW, Cohen RB, Chen EX, Agulnik M, Hotte S, Winquist E, Laurie S, Hayes DH, Ho J, Dancey J, Siu LL: Fluorescence In Situ Hybridization Gene Amplification Analysis of EGFR and HER2 in Patients with Malignant Salivary Gland Tumors Treated with Lapatinib, Head and Neck, 31(8):1006-12 (2009).
29. Seiwert TY, Jagadeeswaran R, Faoro L, Janamanchi V, Nallasura V, Dinali ME, Yala S, Kanteti R, Cohen EEW, Lingen MW, Martin L, Krishnaswamy S, Klein-Szanto A, Christensen J, Vokes EE, Salgia R: The MET Receptor Tyrosine Kinase is a potential novel Therapeutic Target for Head and Neck Squamous Cell Carcinoma, Cancer Research, 69:3021-31 (2009).
30. Cohen EEW, Davis DW, Karrison TG, Seiwert TY, Wong SJ, Nattam S, Kozloff MF, Clark JI, Yan D, Liu W, Pierce C, Dancey JE, Stenson K, Blair E, Dekker A, Vokes EE: Erlotinib and bevacizumab in patients with recurrent or metastatic squamous-cell carcinoma of the head and neck: a phase I/II study, Lancet Oncology, 10:247-57 (2009).
31. Kocherginsky M, Cohen EEW, Karrison T: Design of Phase II Cancer Trials for Evaluation of Cytostatic/Cytotoxic Agents, Journal of Biopharmaceutical Statistics, 19:524-9 (2009).
32. Yefremenko V, Gordiyenko E, Shustakova G, Fomenko Yu, Datesman A, Wang G, Pearson J, Cohen EEW, Novosad V: A Broadband Imaging System for Research Applications, Review of Scientific Instruments, 80(5):056104 (2009).
33. Cohen EEW, Halpern AB, Kasza K, Kocherginsky M, Williams R, Vokes EE: Factors Associated with Clinical Benefit from Epidermal Growth Factor Receptor Inhibitors in Recurrent and Metastatic Squamous Cell Carcinoma of the Head and Neck, Oral Oncology, 45(10):e155-60 (2009).
34. Mell LK, Dignam JJ, Salama JK, Cohen EEW, Polite BN, Dandekar V, Bhate AD, Witt ME, Haraf D, Mittal BB, Vokes EE, Weichselbaum RR: Predictors of Competing Mortality in Advanced Head and Neck Cancer, Journal of Clinical Oncology, 28:15-20 (2010).
35. Choong NW, Kozloff M, Taber D, Hu HS, Wade J III, Ivy P, Karrison TG, Dekker A, Vokes EE, Cohen EEW: Phase II Study of Sunitinib Malate in Head and Neck Squamous Cell Carcinoma, Investigational New Drugs, 28:677-83 (2010).
36. Stenson KM, Kunnavakkam R, Cohen EEW, Portugal LD, Blair E, Haraf DJ, Salama J, Vokes EE: Chemoradiation for patients with advanced oral cavity cancer. Laryngoscope, 120:93-9 (2010).
37. Rothenberg SM, Mohapatra G, Rivera1 MN, Winokur D, Greninger P, Nitta M, Sadow PM, Sooriyakumar G, Brannigan BW, Ulman MJ, Perera RM, Wang R, Tam A, Ma XJ, Erlander M, Sgroi DC, Rocco JW, Lingen MW, Cohen EEW, Louis DN, Settleman J, and Haber DA: A Genome-Wide Screen for Microdeletions Reveals Disruption of Polarity Complex Genes in Diverse Human Cancers. Cancer Research, 70:2158-64 (2010).
38. Seiwert TY, Zuo Z, Keck MK, Khattri A, Pendamallu CS, Stricker TP, Brown CD, Pugh TJ, Stojanov P, Cho J, Lawrence M, Getz G, Bragelmann J, DeBoer R, Weichselbaum RR, Langerman A, Portugal LD, Blair EA, Stenson KM, Lingen MW, Cohen EEW, Vokes EE, White KP, Hammerman PS. Integrative and comparative genomic analysis of HPV-positive and HPV-negative head and neck squamous cell carcinomas. Clin Cancer Res. 2015 Feb 1;21(3):632-41. doi: 10.1158/1078-0432.CCR-13-3310. Epub 2014 Jul 23. PubMed PMID: 25056374; PubMed Central PMCID: PMC4305034.
39. Cohen EEW, Haraf DJ, Kunnavakkam R, Stenson KM, Blair EA, Brockstein B, Lester EP, Salama JK, Dekker A, Williams R, Witt ME, Grushko TA, Dignam JJ, Lingen MW, Olopade OI, Vokes EE: EGFR Inhibitor Gefitinib Added to Chemoradiotherapy in Locally Advanced Head and Neck Cancer, Journal of Clinical Oncology, 28:3336-43 (2010).
40. Rethman MP, Carpenter W, Cohen EEW, Epstein JB, Evans C Jr, Flaitz C, Graham F, Hujoel P, Kalmar J, Koch W, Kohn W, Lambert PM, Lingen MW, Oettmeier B, Patton LL, Perkins D, Reid BC, Sciubba JJ, Tomar SL, Wyatt A: Evidence-Based Clinical Recommendations on Screening for Oral Squamous Cell Carcinomas, Journal of the American Dental Association, 141:509-20 (2010).
41. Kuo WL, Liu J, Mauceri H, Vokes EE, Weichselbaum R, Rosner MR, Cohen EEW: Efficacy of the Multi-Kinase Inhibitor Enzastaurin is Dependent on Cellular Signaling
Context, Molecular Cancer Therapeutics, 9:2814-2824 (2010).
42. Choe KS, Salama JK, Stenson KM, Blair EA, Witt ME, Cohen EEW, Haraf DJ, Vokes EE: Adjuvant Chemotherapy Prior to Postoperative Concurrent Chemoradiotherapy for Locoregionally Advanced Head and Neck Cancer. Radiotherapy and Oncology, 97:318-21 (2010).
43. Mouw KW, Haraf DJ, Stenson KM, Cohen EEW, Xi X, Witt ME, List M, Blair EA, Vokes EE, Salama JK: Factors Associated with Long-Term Speech and Swallowing Outcomes after Chemoradiotherapy for Locoregionally Advanced Head and Neck Cancer. Archives of Otolaryngology and Head and Neck Surgery, 136:1226-34 (2010).
44. Ziliak D, O'Donnell PH, Im HK, Gamazon ER, Chen P, Delaney S, Shukla S, Das S, Cox NJ, Vokes EE, Cohen EEW, Dolan ME, Huang RS: Germline Polymorphisms Discovered via a Cell-based Genome-wide Approach Predict Platinum Response in Head and Neck Cancers, Translational Research, 157:265-72 (2011).
45. Querfeld C Duffy K, Magel G, Oble D, Cohen EEW, Shea CR: Disseminated follicular eruption during therapy with the MEK inhibitor AZD6244, Journal of the American Academy of Dermatology, 64:e17-19 (2011).
:
46. Liu J, Kuo WL, Seiwert TY, Lingen M, Ciaccio MF, Jones RB, Rosner MR, Cohen EEW Effect of complementary pathway blockade on efficacy of combination enzastaurin and rapamycin, Head Neck 33:1774-82 (2011).
47. Gangadhar TC, Cohen EEW, Wu K, Janisch L, Geary D, Kocherginsky M, House LK, Ramirez J, Undevia SD, Maitland ML, Fleming GF, Ratain MJ: Two Drug Interaction Studies of Sirolimus in Combination with Sorafenib or Sunitinib in Patients with Advanced Malignancies, Clinical Cancer Research, 17:1956-63 (2011).
48. Choe KS, Haraf DJ, Solanki A, Cohen EEW, Seiwert TY, Stenson KM, Blair EA, Portugal L, Villaflor VM, Witt ME, Vokes EE, Salama JK: Prior Chemoradiotherapy Adversely Impacts Outcomes of Recurrent and Second Primary Head-and-Neck Cancer Treated with Concurrent Chemotherapy and Reirradiation, Cancer, 2011 Oct 15;117(20):4671-8. doi: 10.1002/cncr.26084. Epub 2011 Jun 13. PubMed PMID: 21671479.
49. Cohen EEW, Sharma MR, Janisch L, Llobrera M, House L, Wu K, Ramirez J, Fleming GF, Stadler WM, Ratain MJ: A Phase I study of Sirolimus and Bevacizumab in Patients with Advanced Malignancies, European Journal of Cancer, 47:1484-9 (2011).
50. Salama JK, Haraf DJ, Stenson KM, Blair EA, Witt ME, Williams R, Kunnavakkam R, Cohen EEW, Seiwert T, Vokes EE: A Randomized Phase II Study of 5-Fluorouracil, Hydroxyurea, and Twice-Daily Radiotherapy Compared with Bevacizumab plus 5Fluorouracil, Hydroxyurea, and Twice-Daily Radiotherapy for Intermediate-Stage and T4N0-1 Head and Neck Cancers, Annals of Oncology, 22:2304-9 (2011).
51. Villaflor VM, Haraf DJ, Salama JK, Kocherginsky M, Langerman A, Gomez-Abuin G, Beniwal P, Blair EA, Stenson KM, Portugal L, Seiwert T, Williams RD, Dekker AJ, Witt ME, Vokes EE, Cohen EEW: Phase II Trial of Pemetrexed-Based Induction Chemotherapy
Followed by Concomitant Chemoradiotherapy in Previously Irradiated Patients with Squamous Cell Carcinoma of the Head And Neck, Annals of Oncology, 22:2501-7 (2011).
52. Langerman A, Patel RM, Cohen EEW, Blair EA, Stenson KM: Airway Management before Chemoradiation for Advanced Head and Neck Cancer, Head Neck 34:254-9 (2012).
53. Rini BI, Schiller JH, Fruehauf J, Cohen EEW, Tarazi JC, Rosbrook B, Bair A, Ricart AD, Olszanski AJ, Letrent K, Kim S, Rixe O: Diastolic Blood Pressure as a Biomarker of Axitinib Efficacy in Solid Tumors, Clinical Cancer Research, 17:3841-9 (2011).
54. Kurzrock R, Sherman SI, Ball DW, Forastiere AA, Cohen RB, Mehra R, Pfister DG, Cohen EEW, Janisch L, Nauling F, Hong DS, Ng CS, Ye L, Gagel RF, Frye J, Müller T, Ratain MJ, Salgia R: Activity of XL184 (Cabozantinib), an Oral Tyrosine Kinase Inhibitor, in Patients With Medullary Thyroid Cancer, Journal of Clinical Oncology, 29:2660-6 (2011).
55. Ramirez J, Wu K, Janisch L, Karrison T, House L, Innocenti F, Cohen EEW, Ratain MJ: The Effect of Thalidomide on the Pharmacokinetics of Irinotecan and Metabolites in Advanced Solid Tumor Patients, Cancer Chemotherapy and Pharmacology, 68:1629-32 (2011).
56. Salama JK, Hasselle MD, Chmura SJ, Malik R, Mehta N, Yenice KM, Villaflor VM, Stadler WM, Hoffman PC, Cohen EEW, Connell PP, Haraf DJ, Vokes EE , Hellman S, Weichselbaum RR: Stereotactic Body Radiotherapy (SBRT) for Multi-Site Extracranial Oligometastases: Final Report of a Dose Escalation Trial in Patients with One to Five Sites of Metastatic Disease, Cancer, 118:2962-70 (2012).
57. Stenson KM, MacCracken E, Kunnavakkam R, Cohen EEW, Portugal LD, Villaflor V, Seiwert T, Blair E, Haraf DJ, Salama JK, Vokes EE: Chemoradiation for Patients with Large Volume Larynx Cancer, Head and Neck, 34:1162-7 (2012).
58. Lukas RV, Piantino J, Ksiazek S, Nichols J, Cohen EEW, Haraf D, Bernard J, Rezania K: Magnetic Resonance Imaging Changes in a Head and Neck Cancer Patient with Wernicke Encephalopathy and Visual Loss, Neuro-ophthalmology. 2011;35(5-6):272-275.
59. Cohen EEW, Subramanian J, Gao F, Szeto L, Kozloff M, Faoro L, Karrison T, Salgia R, Govindan R, Vokes EE: Targeted and Cytotoxic Therapy in Coordinated Sequence (TACTICS)-Erlotinib, Bevacizumab, and Standard Chemotherapy for Non Small Cell Lung Cancer (NSCLC), A Phase II trial, Clinical Lung Cancer, 13:123-8 (2012).
60. Pederson AW, Salama JK, Haraf DJ, Witt ME, Stenson KM, Portugal L, Seiwert T, Villaflor VM, Cohen EEW, Vokes EE, Blair EA: Adjuvant Chemoradiotherapy For Locoregionally Advanced And High-Risk Salivary Gland Malignancies, Head and Neck Oncology, 3:31 (2011).
61. Yang X, Regan K, Huang Y, Zhang Q, Li J, Seiwert TY, Cohen EEW, Xing HR, Lussier YA: Single Sample Expression-Anchored Mechanisms Predict Survival in Head and Neck Cancer, PLoS Computational Biology, 8(1):e1002350 (2012).
62. Hayes DN, Lucas AS, Tanvetyanon T, Krzyzanowska MK, Chung CH, Murphy BA, Gilbert
J, Mehra R, Moore DT, Sheikh A, Hoskins J, Hayward MC, Zhao N , O'Connor W, Weck KE, Cohen RB, Cohen EEW: Phase II Efficacy and Pharmacogenomic Study of Selumetinib (AZD6244; ARRY-142886) in Iodine-131 Refractory Papillary Thyroid Carcinoma (IRPTC) with or Without Follicular Elements, Clinical Cancer Research, 18:2056-2065 (2012).
63. Urba S, Gatz J, Shen W, Hossain A, Stat M, Winfree K, Koustenis A, Pharm B, Peterson P, Cohen EEW: Quality of Life Scores as Prognostic Factors of Overall Survival in Advanced Head and Neck Cancer: Analysis of a Phase III Randomized Trial of Pemetrexed Plus Cisplatin Versus Cisplatin Monotherapy, Oral Oncology, 48:723-9 (2012).
64. de Souza JA, Davis DW, Zhang Y, Khattri A, Seiwert TY, Aktolga S, Wong SJ, Kozloff MF, Nattam S, Lingen MW, Kunnavakkam R, Stenson K, Blair EA, Bozeman J, Dancey JE, Vokes EE, Cohen EEW: A Phase II Study of Lapatinib in Recurrent/Metastatic Squamous Cell Carcinoma of the Head and Neck, Clinical Cancer Research, 18:2336-43 (2012).
65. Cohen EEW, Wu K, Hartford C, Kocherginsky M, Eaton KN, Zha Y, Nallari A, Maitland ML, Fox-Kay K, Moshier K, House L, Ramirez J, Undevia SD, Fleming GF, Gajewski TF, Ratain MJ: Phase 1 Studies of Sirolimus Alone or in Combination with Pharmacokinetic Modulators in Advanced Cancer Patients, Clinical Cancer Research, 18:4785-93 (2012).
66. Perez CA, Song H, Raez LE, Agulnik M, Grushko TA, Dekker A, Stenson K, Blair EA, Olopade OI, Seiwert TY, Vokes EE, Cohen EEW: Phase II Study of Gefitinib Adaptive Dose Escalation to Skin Toxicity in Recurrent or Metastatic Squamous Cell Carcinoma of the Head and Neck, Oral Oncology, 48:887-92 (2012).
67. Mouw KW, Solanki AA, Stenson KM, Witt ME, Blair EA, Cohen EEW, Vokes EE, List M, Haraf DJ, Salama JK: Performance and Quality of Life Outcomes for T4 Laryngeal Cancer Patients Treated with Induction Chemotherapy Followed by Chemoradiotherapy, Oral Oncology, 48:1025-30 (2012).
68. Rethman MP, Carpenter W, Cohen EEW, Epstein J, Evans CA, Flaitz CM, Graham FJ, Hujoel PP, Kalmar JR, Koch WM, Lambert PM, Lingen MW, Oettmeier BW Jr, Patton LL, Perkins D, Reid BC, Sciubba JJ, Tomar SL, Wyatt AD Jr, Aravamudhan K, FrantsveHawley J, Cleveland JL, Meyer DM: American Dental Association Council on Scientific Affairs Expert Panel on Screening for Oral Squamous Cell Carcinomas. Evidence-based clinical recommendations regarding screening for oral squamous cell carcinomas, Texas Dental Journal, 129:491-507 (2012).
69. Seiwert TY, Darga T, Haraf D, Blair EA, Stenson K, Cohen EEW, Salama JK, Villaflor V, Witt ME, Lingen MW, Weichselbaum RR, Vokes EE: A phase I dose escalation study of Ad GV.EGR.TNF.11D (TNFerade™ Biologic) with concurrent chemoradiotherapy in patients with recurrent head and neck cancer undergoing reirradiation. Ann Oncol. 24:769-26 (2013).
70. Golden DW, Rudra S, Witt ME, Nwizu T, Cohen EEW, Blair E, Stenson KM, Vokes EE, Haraf DJ: Outcomes of induction chemotherapy followed by concurrent chemoradiation for nasopharyngeal carcinoma. Oral Oncol. 49:277-82 (2013).
71. Young NR, Liu J, Pierce C, Wei TF, Grushko T, Olopade OI, Liu W, Shen C, Seiwert TY, Cohen EEW: Molecular phenotype predicts sensitivity of squamous cell carcinoma of the head and neck to epidermal growth factor receptor inhibition. Molecular Oncology, 7:35968 (2013).
72. Sivasithamparam J, Visk CA, Cohen EEW, King AC: Modifiable Risk Behaviors in Head and Neck Center Patients. Cancer, 119:2419-26 (2013).
73. Kim, DH, Vitol E, Liu J, Balasubramanian S, Gosztola D, Cohen EEW, Novosad V, Rozhkova E: Stimuli-responsive magnetic nanomicelles as multifunctional heat and cargo delivery vehicles. Langmuir, 29:7425-32 (2013).
74. Brägelmann J, Dagogo-Jack I, El Dinali M, Stricker T, Brown C, Zuo Z, Khattri A, Keck M, McNerney ME, Longnecker R, Bieging K, Domanus M, Alexander K, Salgia R, Lingen MW, Vokes EE, White KP, Cohen EEW, Seiwert T: Oral cavity tumors in younger patients show a poor prognosis and do not contain viral RNA. Oral Oncology, 49:525-33 (2013).
75. Sharma MR, Karrison TG, Kell B, Wu K, Turcich M, Geary DR, Kang SP, Takebe N, Graham RA, Maitland ML, Schilsky R, Ratain MJ, Cohen EEW: Evaluation of food effect on pharmacokinetics of vismodegib in advanced solid tumor patients. Clinical Cancer Research, 19:3059-67 (2013).
76. Maggiore RJ, Curran EK,Witt ME, Haraf DJ, Vokes EE, Cohen EEW: Survival and Selected Outcomes of Older Adults with Locally Advanced Head/Neck Cancer Treated with Chemoradiation Therapy, Journal of Geriatric Oncology, 4:327-33 (2013).
77. Bhatta SS, Wroblewski KE, Agarwal KL, Sit L, Cohen EEW, Seiwert TY, Karrison T, Bakris GL, Ratain MJ, Vokes EE, Maitland ML: Effects of Vascular Endothelial Growth Factor (VEGF) Signaling Inhibition on Human Erythropoiesis, The Oncologist, 18:965-70 (2013).
78. Elisei R, Schlumberger M, Müller S, Schöffski P, Brose M, Shah M, Licitra L, Jarzab B, Medvedev V, Kreissl MC, Niederle B, Cohen EEW, Wirth L, Ali H, Hessel C, Yaron Y, Ball D, Nelkin B, Sherman S: Cabozantinib in Progressive Medullary Thyroid Cancer, Journal of Clinical Oncology, 31:3639-46 (2013).
79. Cohen EEW, Ahmed O, Kocherginsky M, Shustakova G, Kistner-Griffin E, Salama JK, Yefremenko V, Novosad V: Study of functional infrared imaging for early detection of mucositis in locally advanced head and neck cancer treated with chemoradiotherapy. Oral Oncology 49:1025-31, (2013).
80. Wong SJ, Campbell B, Massey B, Lynch DP, Cohen EEW, Blair E, Selle R, Shklovskaya J, Jovanovic BD, Skripkauskas S, Dew A, Kulesza P, Parimi V, Bergan RC, Szabo E: A phase I trial of aminolevulinic acid-photodynamic therapy for treatment of oral leukoplakia. Oral Oncology 49:970-6 (2013).
81. Zakeri K, MacEwan I, Vazirnia A, Cohen EEW, Spiotto MT, Haraf DJ, Vokes EE, Weichselbaum RR, Mell LK: Race and competing mortality in advanced head and neck cancer, Oral Oncology, 50:40-4 (2014).
82. Saloura V, Cohen EEW, Licitra L, Billan S, Dini J, Lisby S, Gauler T: An open-label singlearm, phase II trial of zalutumumab, a human monoclonal anti-EGFR antibody, in patients with platinum-refractory squamous cell carcinoma of the head and neck. Cancer Chemotherapy and Pharmacology, 2014 Jun:73(6):1227-39. doi: 10.1007/s00280-014-2459z. Epub 2014 Apr 9. PubMed PMID: 24714973.
83. Karovic S, Wen Y, Karrison TG, Bakris GL, Levine MR, House LK, Wu K, Thomeas V, Rudek MA, Wright JJ, Cohen EEW, Fleming GF, Ratain MJ, Maitland, ML: Sorafenib Dose Escalation is Not Uniformly Associated with Blood Pressure Elevations in Normotensive Patients with Advanced Malignancies. Clin Pharmacol Ther. 2014 Jul;96(1):27-35. doi: 10.1038/clpt.2014.63. Epub 2014 Mar 17. PubMed PMID: 24637941; PubMed Central PMCID: PMC4165641.
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84. Kuo WL, Sharifi MN, Lingen MW, Ahmed O, Liu J, Nagilla M, Macleod KF, Cohen EEW p62/SQSTM1 Accumulation in Squamous Cell Carcinoma of Head and Neck Predicts Sensitivity to Phosphatidylinositol 3-Kinase Pathway Inhibitors. PLoS One. 2014 Mar 5;9(3):e90171. doi: 10.1371/journal.pone.0090171. eCollection 2014.
85. Hollebecque A, Houédé N, Cohen EEW, Massard C, Italiano A, Westwood P, Bumgardner W, Miller J, Brail LH, Benhadji KA, Soria JC: A phase Ib trial of LY2584702 tosylate, a p70 S6 inhibitor, in combination with erlotinib or everolimus in patients with solid tumours. Eur J Cancer, 50:876-84 (2014).
86. Locati LD, Licitra L, Agate L, Ou SH, Boucher A, Jarzab B, Qin S, Kane MA, Wirth LJ, Chen C, Kim S, Ingrosso A, Pithavala YK, Bycott P, Cohen EEW. Treatment of advanced thyroid cancer with pharmacokinetic/pharmacodynamics and quality-of-life assessments. Cancer. 2014 Sep 1;120(17):2694-703. doi: 10.1002/cncr.28766 Epub 2014 May 20. PubMed PMID: 24844950.
87. Vitol E, Rozhkova E, Rose V, Stripe BD, Young NR, Cohen EEW, Leoni L, Novosad V: Efficient Cisplatin Pro-Drug Delivery Visualized with Sub-100 nm Resolution: Interfacing Engineered Thermosensitive Magnetomicelles With A Living System. 2014 June 06. Advanced Materials Interfaces. doi: 10.1002/ admi.201400182.
88. Kamaria M, Shea CR, Chin RK, Cohen, EEW, Maggiore R, Bolotin D. Eruptive cutaneous squamous cell carcinoma and psoriasis: response to cetuximab. Clin Exp Dermatol. 2014 Jul;39(5):604-7. doi: 10.1111/ced.12341. Epub 2014 Apr 23. PubMed PMID: 24758726.
89. Seiwert TY, Fayette J, Cupissol D, Del Campo JM, Clement PM, Hitt R, Degardin M, Zhang W, Blackman A, Ehrnrooth E, Cohen EEW. A randomized, phase 2 study of afatinib versus cetuximab in metastatic or recurrent squamous cell carcinoma of the head and neck. 2014 June 13. doi: 10.1093/annonc/mdu.216. [Epub ahead of print] PubMed PMID: 24928832.
90. Seiwert TY, Zuo Z, Keck MK, Khattri A, Pendamallu CS, Stricker TP, Brown CD, Pugh TJ, Stojanov P, Cho J, Lawrence M, Getz G, Bragelmann J, DeBoer R, Weichselbaum RR, Langerman A, Portugal LD, Blair EA, Stenson KM, Lingen MW, Cohen EEW, Vokes EE, White KP, Hammerman PS. Integrative and comparative genomic analysis of HPV-positive
and HPV-negative head and neck squamous cell carcinomas. Clin Cancer Res. 2015 Feb 1;21(3):632-41. doi: 10.1158/1078-0432.CCR-13-3310. Epub 2014 Jul 23. PubMed PMID: 25056374; PubMed Central PMCID: PMC4305034.
91. Gross AM, Orosco RK, Shen JP, Egloff AM, Carter H, Hofree M, Choueiri M, Coffey CS, Lippman SM, Hayes DN, Cohen EEW, Grandis JR, Nguyen QT, Ideker T. Multi-tiered genomic analysis of head and neck cancer ties TP53 mutation to 3p loss. Nat Genet. 2014 Sep;46(9):939-43. doi: 10.1038/ng.3051. Epub 2014 Aug 3. PubMed PMID: 25086664; PubMed Central PMCID: PMC4146706.
92. Cohen EEW, Karrison TG, Kocherginsky M, Mueller J, Egan R, Huang CH, Brockstein BE, Agulnik MB, Mittal BB, Yunus F, Samant S, Raez LE, Mehra R, Kumar P, Ondrey F, Marchand P, Braegas B, Seiwert TY, Villaflor VM, Haraf DJ, Vokes EE. Phase III Randomized Trial of Induction Chemotherapy in Patients With N2 or N3 Locally Advanced Head and Neck Cancer. J Clin Oncol. 2014 Sep 1:32(25):2735-43. doi: 10.1200/JCO.2013.54.6309. Epub 2014 Jul 21. PubMed PMID: 25049329; PubMed Central PMCID: PMC4876357.
93. Seiwert TY, Wang X, Heitmann J, Villegas-Bergazzi V, Sprott K, Finn S, O'Regan E, Farrow AD, Weichselbaum RR, Lingen MW, Cohen EEW, Stenson K, Weaver DT, Vokes, EE. DNA Repair Biomarkers XPF and Phospho-MAPKAP Kinase 2 Correlate with Clinical Outcome in Advanced Head and Neck Cancer. PloS One. 2014 Jul 14;9(7): e102112. Doi: 10.1371/journal.pone.0102112. eCollection 2014. PubMed PMID: 25019640; PubMed Central PMCID: PMC4096922.
94. Machiels JP, Licitra LF, Haddad RI, Tahara M, Cohen EEW. Rationale and design of LUXHead & Neck 1: a randomised, Phase III trial of afatinib versus methotrexate in patients with recurrent and/or metastatic head and neck squamous cell carcinoma who progressed after platinum-based therapy. BMC Cancer. 2014 Jun 28;14:473. doi: 10.1186/1471-240714-473. PubMed PMID: 24973959; PubMed Central PMCID: PMC4079914.
95. Gallop K, Kerr C, Simmons S, McIver B, Cohen EEW. A qualitative evaluation of the validity of published health utilities and generic health utility measures for capturing healthrelated quality of life (HRQL) impact of differentiated thyroid cancer (DTC) at different treatment phases. Qual Life Res. 2015 Feb;24(2):325-38. doi: 10.1007/s11136-014-0776-7. Epub 2014 Aug 9. PubMed PMID:25106505.
96. Cohen EEW, Tortorici M, Kim S, Ingrosso A, Pithavala YK, Bycott P. A Phase II trial of axitinib in patients with various histologic subtypes of advanced thyroid cancer: long-term outcomes and parmacokinetic/pharmacodynamic analyses. Cancer Chemother Pharmacol. 2014 Dec;74(6):1261-70. doi: 10.1007/s00280-014-2604-8. Epub 2014 Oct. 15. PybNed OMID:25315258; PubMed Central PMCID: PMC4236619.
97. Tortorici MA, Cohen EEW, Pithavala YK, Garrett M, Ruiz-Garcia A, Kim S, Fruehauf JP. Pharmacokinetics of single-agent axitinib across multiple solid tumor types. Cancer Chemother Pharmacol. 2014 Dec;74(6):1279-89. doi: 10.1007/s00280-014-2606-6. Epub 2014 Oct 22. PubMed PMID: 25336084.
98. Das LC, Karrison TG, Witt ME, Muller C, Stenson K, Blair EA, Cohen EEW, Seiwert TY,
Haraf DJ, Vokess EE. Comparison of outcomes of locoregionally advanced oropharyngeal and non-oropharyngeal squamous cell carcinoma over two decades. Ann Oncol. 2015 Jan;26(1):198-205. doi:10.1093/annonc/mdu511.Epub 2014 Oct 30. PubMed PMID: 25361984.
99. Burtness B, Bourhis JP, Vermorken JB, Harrington KJ, Cohen EEW. Afatinib versus placebo as adjuvant therapy after chemoradiation in a double-blind, phase 111 study (LUXHead & Neck 2) in patients with primary unresected, clinically intermediate-to-high-risk head and neck cancer: study protocol for a randomized controlled trial. Trials. 2014 Nov 29;15:469. doi: 101186/1745-6215-15-469.
100. Keck MK, Zuo Z, Khattri A, Stricker TP, Brown C, Imanguli M, Rieke D, Endhardt K, Fang P, Bragelmann J, DeBoer R, El Dinali M, Aktolga S, Lei Z, Tan P, Rozen SG, Salgia R, Weichselbaum RR, Lingen MW, Story MD, Ang KK, Cohen EEW, White KP, Vokes EE, Seiwert TY. Integrative analysis of Head and Neck Cancer identifies two biologically distinct HPV and three non-HPV subtypes. Clin Cancer Res. 2015 Feb 15;21(4):870-81. doi: 10.1158/1078-0432.CCR-14-2481. Epub 2014 Dec 9. PubMed PMID: 25492084.
101. Xu B, Boero IJ, Hwang L, Le Q, Moiseenko V, Saghvi PR, Cohen EEW, Mell LK, Murphy JD. Aspiration pneumonia after concurrent chemoradiotherapy for head and neck cancer. Cancer. 2015 Apr 15;121(8):1303-11. doi: 10.1002/cncr.29207. Epub 2014 Dec 23. PubMed PMID: 25537836; PubMed Central PMCID: PMC4775446.
102. Khattri A, Zuo Z, Brägelmann J, Keck MK, El Dinali M, Brown CD, Stricker T, Munagala A, Cohen EEW, Lingen MW, White KP, Vokess EE, Seiwert TY. Rare occurrence of EGFRvIII deletion in head and neck squamous cell carcinoma. Oral Oncol. 2015 Jan;51(1):53-8. doi: 10.1016/j.oraloncology.2014.08.014. Epub 2014 Sep 23. PubMed PMID: 25255959.
103. Schechter RB, Nagilla M, Joseph L, Reddy P, Khattri A, Watson S, Locati LD, Licitra L, Greco A, Pelosi G, Carcangiu ML, Lingen MW, Seiwert TY, Cohen EEW, Genetic profiling of advanced radioactive iodine-resistant differentiated thyroid cancer and correlation with axitinib efficacy. Cancer Lett. 2015 Apr 10;359(2):269-74. doi:0.1016/j.canlet.2015.01.024. Epub 2015 Jan 29. PMID: 25641339 [PubMed - indexed for MEDLINE]
104. Machiels JP, Haddad RI, Fayette J, Licitra LF, Tahara M, Vermorken JB, Clement PM, Gauler T, Cupissol D, Grau JJ, Guigay J, Caponigro F, de Castro G Jr, de Souza Viana L, Keilholz U, Del Campo JM, Cong XJ, Ehrnrooth E, Cohen EEW, Afatinib versus methotrexate as second-line treatment in patients with recurrent or metastatic squamous-cell carcinoma of the head and neck progressing on or after platinum-based therapy (LUX-Head & Neck 1): an open-label, randomised phase 3 trial. Lancet Oncol. 2015 May;16(5):583-94. doi: 10.1016/S1470-2045(15)70124-5. Epub 2015 Apr 16. PubMed PMID: 25892145.
105. Raju SC, Hauff SJ, Lemieux AJ, Orosco RK, Gross AM, Nguyen LT, Savariar E, Moss W, Whitney M, Cohen EEW, Lippman SM, Tsien RY, Ideker T, Advani SJ, Nguyen QT. Combined TP53 mutation/3p loss correlates with decreased radiosensitivity and increased matrix-metalloproteinase activity in head and neck carcinoma. Oral Oncol. 2015 May
51(5):470-5. doi: 10.1016/j.oraloncology.2015.01.014. Epub 2015 Feb 27. PMID: 25735654; PubMed Central PMCID: PMC4427339.
106. Taylor RJ, Saloura V, Jain A, Goloubeva O, Wong S, Kronsberg S, Nagilla M, Silpino L, de Souza J, Seiwert T, Vokes E, Villaflor V, Cohen EEW. Ex vivo antibody-dependent cellular cytotoxicity inducibility predicts efficacy of cetuximab. Cancer Immunol Res. 2015 May;3(5):567-74. doi: 10.1158/2326-6066.CIR-14-0188. Epub 2015 Mar 13. PubMed PMID: 25769300; PubMed Central PMCID: PMC4681575.
107. Young NR, Soneru C, Liu J, Grushko TA, Hardeman A, Olopade OI, Baum A, Solca F, Cohen EEW. Afatinib efficacy against squamous cell carcinoma of the head and neck cell lines in vitro and in vivo. Target Oncol. 2015 Dec:10(4):501-8. doi: 10.1007/s11523-0140353-6. Epub 2015 Jan 6. PubMed PMID: 25559287; PubMed Central PMCID: PMC4492891.
108. Sasaki MM, Skol AD, Bao R, Rhodes LV, Chambers R, Vokes EE, Cohen EEW, Onel K. Integrated genomic analysis suggests MLL3 is a novel candidate susceptibility gene for familial nasopharyngeal carcinoma. Cancer Epidemiol Biomarkers Prev. 2015 Aug;24(8):1222-8. doi: 10.1158/1055-9965.EPI-15-0275. Epub 2015 May 26. PubMed PMID: 26014803; PubMed Central PMCID: PMC4526396.
109. O'Donnell PH, Karovic S, Karrison TG, Janisch L, Levine MR, Harris PJ, Polite BN, Cohen EEW, Fleming GF, Ratain MJ, Maitland ML. Serum C-Telopeptide Collagen Crosslinks and Plasma Soluble VEGFR2 as Pharmacodynamic Biomarkers in a Trial of Sequentially Administered Sunitinib and Cilengitide. Clin Cancer Res. 2015 Nov 15;21(22):5092-9. doi:10.1158/1078-0432.CCR-15-0427. Epub 2015 Jul 21. PubMed PMID: 26199386; PubMed Central PMCID: PMC4677671
110. Klionsky DJ…Cohen EEW …Zughaier SM. Guidelines for the use and interpretation of assays for monitoring autophagy (3rd edition). Autophagy 2016 Jan 2:12(1):1-222. PubMed PMID: 26799652.
111. Boero IJ, Paravati AJ, Xu B, Cohen EEW, Mell LK, Le QT, Murphy JD. Importance of Radiation Oncologist Experience Among Patients With Head-and-Neck Cancer Treated With Intensity-Modulated Radiation Therapy. J. Clin Oncol. 2016 Mar 1;34(7):684-90. doi: 10.1200/JCO.2015.63.9898. Epub 2016 Jan 4. PubMed PMID: 26729432; PubMed Central PMCID: PMC4872027.
112. William WN Jr, Papadimitrakopoulou V, Lee JJ, Mao L, Cohen EEW, Lin HY, Gillenwater AM, Martin JW, Lingen MW, Boyle JO, Shin DM, Vigneswaran N, Shinn N, Heymach JV, Wistuba II, Tang X, Kim ES, Saintigny P, Blair EA, Meiller T, Gutkind JS, Myers J, ElNaggar A, Lippman SM. Erlotinib and the Risk of Oral Cancer: The Erlotinib Prevention of Oral Cancer (EPOC) Randomized Clinical Trial. JAMA Oncol. 2016 Feb 1;2(2):209-16. doi: 10.1001/jamaoncol.2015.4364. PubMed PMID: 26540028; PubMed Central PMCID: PMC4771491.
113. Wong SJ, Karrison T, Hayes DN, Kies MS, Cullen KJ, Tanvetyanon T, Argiris A, Takebe N, Lim D, Saba NF, Worden FP, Gilbert J, Lenz HJ, Razak AR, Roberts JD, Vokes EE, Cohen EEW. Phase II trial of dasatinib for recurrent or metastatic c-KIT expressing adenoid
cycsic carcinoma and for nonadenoid cystic malignant salivary tumors. Ann Oncol. 2016 Feb;27(2):318-23. doi: 10.1093/annonc/mdv537. Epub 2015 Nov 23. PMID: 26598548.
114. Chen P, Mancini M, Sonis ST, Fernandez-Martinez J, Liu J, Cohen EEW, Toback FG. A Novel Peptide for Simultaneously Enhanced Treatment of Head and Neck Cancer and Mitigation of Oral Mucositis. PloS One. 2016 Apr 6; 11(4):e0152995. doi:10.1371/journal.pone.0152995. eCollection 2016. PubMed PMID: 27049860; PubMed Central PMCID: PMC4822960.
115. Villaflor VM, Melotek JM, Karrison TG, Brisson RJ, Blair EA, Portugal L, De Souza JA, Ginat DT, Stenson KM, Langerman A, Kocherginsky M, Spiotto MT, Hannigan N, Seiwert TY, Cohen EEW, Vokes EE, Haraf DJ. Response-adapted volume de-escalation (RAVD) in locally advanced head and neck cancer. Ann Oncol 2016 May;27(5):908-13. doi: 10.1093/annonc/mdw051. Epub 2016 Feb 15. PubMed PMID: 26884588.
116. Yamaguchi K, Iglesias-Bartolomé R, Wang Z, Callejas-Valera JL, Amornphimoltham P, Molinolo AA, Cohen EEW, Califano JA, Lippman SM, Luo J, Gutkind JS. A syntheticlethality RNAi screen reveals an ERK-mTOR co-targeting pro-apoptotic switch in PIK3CA+ oral cancers. Oncotarget. 2016 Mar 8:7(10):10696-709. doi:10.18632/oncotarget.7372. PubMed PMID: 26882569.
117. Clement PM, Gauler T, Machiels JP, Haddad RI, Fayette J, Licitra LF, Tahara M, Cohen EEW, Cupissol D, Grau JJ, Guigay J, Caponigro F, de Castro G, Jr., de Souza Viana L, Keilholz U, Del Campo JM, Cong XJ, Ehrnrooth E, Vermorken JB. Afatinib versus methotrexate in older patients with second-line recurrent and/or metastatic head and neck squamous cell carcinoma: subgroup analysis of the LUX-Head & Neck 1 trial. Annals of oncology : official journal of the European Society for Medical Oncology. 2016;27(8):158593. Epub 2016/04/17. doi: 10.1093/annonc/mdw151. PubMed PMID: 27084954; PMCID: PMC4959921.
118. Seiwert TY, Melotek JM, Blair EA, Stenson KM, Salama JK, Witt ME, Brisson RJ, Chawla A, Dekker A, Lingen MW, Kocherginsky M, Villaflor VM, Cohen EEW, Haraf DJ, Vokes EE. Final Results of a Randomized Phase 2 Trial Investigating the Addition of Cetuximab to Induction Chemotherapy and Accelerated or Hyperfractionated Chemoradiation for Locoregionally Advanced Head and Neck Cancer. Int J Radiat Oncol Biol Phys. 2016 Sep 1;96(1):21-9. doi: 10.1016/j.ijrobp.2016.04.030. Epub 2016 May 7. PubMed PMID: 27511844.
119. Adams SR, Yang HC, Savariar EN, Aguilera J, Crisp JL, Jones KA, Whitney MA, Lippman SM, Cohen EEW, Tsien RY, Advani SJ. Anti-tubulin drugs conjugated to anti-ErbB antibodies selectively radiosensitize. Nat Commun. 2016 Oct 4;7:13019. doi: 10.1038/ncomms13019. PubMed PMID: 27698471; PubMed Central PMCID: PMC5059467.
120. Sherman SI, Clary DO, Elisei R, Schlumberger MJ, Cohen EEW, Schöffski P, Wirth LJ, Mangeshkar M, Aftab DT, Brose MS. Correlative analyses of RET and RAS mutations in a phase 3 trial of cabozantinib in patients with progressive, metastatic medullary thyroid cancer. Cancer. 2016 Dec 15;122(24):3856-3864. doi: 10.1002/cncr.30252. Epub 2016 Aug 15. PubMed PMID: 27525386.
121. Bauman JE, Cohen EEW, Ferris RL, Adelstein DJ, Brizel DM, Ridge JA, O'Sullivan B, Burtness BA, Butterfield LH, Carson WE, Disis ML, Fox BA, Gajewski TF, Gillison ML, Hodge JW, Le QT, Raben D, Strome SE, Lynn J, Malik S. Immunothrapy of head and neck cancer: Emerging clinical trials from a National Cancer Institute Head and Neck Cancer Steering Committee Planning Meeting. Cancer. 2017 Apr 1;123(7):1259-1271. doi: 10.1002/cncr.30449. Epub 2016 Dec 1. PMID: 27906454.
122. Kaneda MM, Messer KS, Ralainirina N, Li H, Leem CJ, Gorjestani S, Woo G, Nguyen AV, Figueiredo CC, Foubert P, Schmid MC, Pink M, Winkler DG, Rausch M, Palombella VJ, Kutok J, McGovern K, Frazer KA, Wu X, Karin M, Sasik R, Cohen EEW, Varner JA. Corrigendum: P13Ky is a molecular switch that controls immune suppression. Nature. 2017 Feb 2;542(7639):124. doi: 10.1038/nature21026. Epub 2016 Dec 14. PMID: 27974794.
123. Mateo F, Arenas EJ, Aguilar H, Serra-Musach J, de Garibay GR, Boni J, Maicas M, Du S, Iorio F, Herranz-Ors C, Islam A, Prado X, Llorente A, Petit A, Vidal A, Català I, Soler T, Venturas G, Rojo-Sebastian A, Serra H, Cuadras D, Blanco I, …Cohen EEW, et al. Stem cell-like transcriptional reprogramming mediates metastatic resistance to mTOR inhibition. Oncogene. 2017 May 11;36(19):2737-2749. doi: 10.1038/onc.2016.427. Epub 2016 Dec 19. PMID: 27991928.
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124. Tota JE, Anderson WF, Coffey C, Califano J, Cozen W, Ferris RL, St John M, Cohen EEW Chaturvedi AK. Rising incidence of oral tongue cancer among white men and women in the United States, 1973-2012. Oral Oncol. 2017 Apr;67:146-152. doi: 10.1016/j.oraloncology. 2017.02.019. Epub 2017 Feb 28. PMID: 28351569.
125. Husain H, Melnikova VO, Kosco K, Woodward B, More S, Pingle SC, Weihe E, Park BH, Tewari M, Erlander MG, Cohen EEW, Lippman SM, Kurzrock R. Monitoring Daily Dynamics of Early tumor Response to Targeted Therapy by Detecting Circulating Tumor DNA in Urine. Clin Cancer Res. 2017 Aug 15;23(16):4716-4723. doi: 10.1158/10780432.CCR-17-0454. Epub 2017 Apr 18. PMID: 28402725.
126. Sher DJ, Adelstein DJ, Bajaj GK, Brizel DM, Cohen EEW, Halthore A, Harrison LB, Lu C, Moeller BJ, Quon H, Rocco JW, Sturgis EM, Tishler RB, Trotti A, Waldron J, Eisbruch A. Radiation therapy for oropharyngeal squamous cell carcinoma: Executive summary of an ASTRO Evidence-Based Clinical Practice Guideline. Pract Radiat Oncol. 2017 Jul Aug;7(4):246-253. doi: 10.1016/j.prro.2017.02.002. Epub 2017 Apr 17. PMID: 28428019.
127. Lee N, Ferris R, Beck JT, Harrington K, Haddad RI, Bourhis J, Tahara M, Geraldes M, Nuyten DSA, Goldberg Z, Cohen EEW. JAVELIN head and neck 100: A phase 3 trial of avelumab in combination with chemoradiotherapy (CRT) vs CRT for 1st-line treatment of locally advanced squamous cell carcinoma of the head and neck (LA SCCHN). DOI: 10.1200/JCO.2017.35.15_suppl.TPS6093 Journal of Clinical Oncology 35, no. 15_suppl. Online 2017 May 30.
128. Jacobs MT, Ruiz AL, Cohen EEW. Does chemoselection open the door for immunotherapy? Ann Oncol. 2017 Aug 1;28(8):1697-1699. doi: 10.1093/annonc/mdx269. PMID: 28541375.
129. Sato-Kaneko F, Yao S, Ahmadi A, Zhang SS, Hosoya T, Kaneda MM, Varner JA, Pu M, Messer KS, Guiducci C, Coffman RL, Kitaura K, Matsutani T, Suuki R, Carson DA, Hayashi T, Cohen EEW. Combination Immuntherapy with TLR agonists and checkpoint inhibitors suppresses head and neck cancer. JCI Insight 2017 Sept 21;2(18). pii. 93397. doi: 10.1172/jci.insight 93397. eCollection 2017 Sep 21; PMID: 28931759; PMCID: PMC5621908.
130. Cohen EEW, Licitra LF, Burtness B, Fayette J, Gauler T, Clement PM, Grau JJ, Del Campo JM, Mailliez A, Haddad RI, Vermorken JB, Tahara M, Guigay J, Geoffrois L, Merlano MC, Dupuis N, Krämer N, Cong XJ, Gibson N, Solca F, Ehrnrooth E, Machiels JH. Biomarkers predict enhanced clinical outcomes with afatinib versus methotrexate in patients with second-line recurrent and/or metastatic head and neck cancer. Ann Oncol. 2017 Oct 1;28(10):2526-2532. doi: 10.1093/annonc/mdx344. PubMed PMID: 28961833; PubMed Central PMCID: PMC5834024.
131. Sacco AG, Cohen EEW. Serum antibodies open the door to prediction and prognostication in human papillomavirus-related head and neck cancer. Cancer. 2017 Nov 15;123(22):43104313. doi: 10.1002/cncr.30970. Epub 2017 Sep 26. PMID: 28950413.
132. Schlumberger M, Elisei R, Müller S, Schöffski P, Brose M, Shah M, Licitra L, Krajewska J, Kreissl MC, Niederle B, Cohen EEW, Wirth L, Ali H, Clary DO, Yaron Y, Mangeshkar M, Ball D, Nelkin B, Sherman S. Overall survival analysis of EXAM, a phase III trial of cabozantinib in patients with radiographically progressive medullary thyroid carcinoma. Ann Oncol. 2017 Nov 1;28(11):2813-2819, doi: 10.1093/annonc/mdx479. PMID: 29045520.
133. Foster CC, Melotek JM, Brisson RJ, Seiwert TY, Cohen EEW, Stenson KM, Blair EA, Portugal L, Gooi Z, Agrawal N, Vokes EE, Haraf DJ. Definitive chemoradiation for locallyadvanced oral cavity cancer: A 20-year experience. Oral Oncol. 2018 May;80:16-22. doi: 10.1016/j.oraloncology2018.03.008. Epub 2018 Mar 16. PMID: 29706184.
134. Sher DJ, Adelstein DJ, Bajaj GK, Brizel DM, Cohen EEW, Halthore A, Harrison LB, Lu C, Moeller BJ, Quon H, Rocco JW, Sturgis EM, Tishler RB, Trotti A, Waldron J, Eisbruch A. Response to ASTRO consensus guideline for oropharyngeal cancer: In Regard to Walker et al. Pract Radiat Oncol. 2018 May - Jun;8(3):e185-e186. doi: 10.1016/j.prro.2017.08.002. Epub 2017 Aug 5.
135. Haddad RI, Posner M, Hitt R, Cohen EEW, Schulten J, Lefebvre JL, Vermorken JB. Induction chemotherapy in locally advanced squamous cell carcinoma of the head and neck: role, controversy, and future directions. Ann Oncol. 2018 May 1;29(5):1130-1140. doi: 10.1093/annonc/mdy102. PubMed PMID: 29635316; PubMed Central PMCID: PMC5961254.
136. Akthar AS, Hellekson CD, Ganai S, Hahn OM, Maggiore RJ, Cohen EEW, Posner MC, Chmura SJ, Howard AR, Golden DW. Interdisciplinary Oncology Education: a National Survey of Trainees and Program Directors in the United States. J Cancer Educ. 2018 Jun;33(3):622-626. doi: 10.1007/s13187-016-1139-6. PubMed PMID: 27873183.
137. Sehdev A, Karrison T, Zha Y, Janisch L, Turcich M, Cohen EEW, Maitland M, Polite BN, Gajewski TF, Salgia R, Pinto N, Bissonnette MB, Fleming GF, Ratain MJ, Sharma MR. A pharmacodynamic study of sirolimus and metformin in patients with advanced solid tumors. Cancer Chemother Pharmacol. 2018 Aug;82(2):309-317. doi: 10.1007/s00280-018-3619-3. Epub 2018 Jun 9. PMID: 29948021.
138. Orosko RK, Cohen EEW. Characterizing an Ultra-High Risk Subset of Patients With Hypopharynx and Larynx Cancer: The Power of Lymph Node Burden. JAMA Oncol. 2018 Jul 1;4(7):989-990. doi: 10.1001/jamaoncol.2017.3928. PubMed PMID: 29192300.
139. Ferrarotto R, William WN Jr, Tseng JE, Marur S, Shin DM, Murphy B, Cohen EEW, Thomas CY, Willey R, Cosaert J, Harun N, Jack Lee J, Wistuba IW, Haddad RI, Glisson BS. Randomized phase II trial of cixutumumab alone or with cetuximab for refractory recurrent/metastatic head and neck squamous cell carcinoma. Oral Oncol. 2018 Jul;82:8390. doi: 10.1016/j.oraloncology.2018.05.014. Epub 2018 May 19. PMID: 29909907.
140. Orosco RK, Tapia VJ, Califano JA, Clary B, Cohen EEW, Kane C, Lippman SM, Messer K, Molinolo A, Murphy JD, Pang J, Sacco A, Tringal KR, Wallace A, Nguyen Q. Positive Surgical Margins in the 10 Most Common Solid Cancers. Sci Rep. 2018;8:5686. Published online 2018 April 9. doi: 10.1038/s41598-018-23403-5. PMCID: PMC5890246.
141. Ferris RL, Saba NF, Gitlitz BJ, Haddad R, Sukari A, Neupane P, Morris JC, Misiukiewicz K, Bauman JE, Fenton M, Jimeno A, Adkins DR, Schneider CJ, Sacco AG, Shirai K, Bowles DW, Gibson M, Nwizu T, Gottardo R, Manjarrez KL, Dietsch GN, Bryan JK, Hershberg RM, Cohen EEW. Effect of Adding Motolimod to Standard Combination Chemotherapy and Cetuximab Treatment of Patients With Squamous Cell Carcinoma of the Head and Neck: The Active8 Randomized Clinical Trial. JAMA Oncol. 2018 Nov 1;4(11):1583-1588. doi: 10.1001/jamaoncol.2018.1888. OubMed PMID: 29931076; PubMed Central PMCID: PMC6248084.
142. Bryant AK, Sojourner EJ, Vitzthum LK, Zakeri K, Shen H, Nguyen C, Murphy JD, Califano JA, Cohen EEW, Mell LK. Prognostic Role of p16 in Nonoropharyngeal Head and Neck Cancer. J Natl Cancer Inst. 2018 Dec. 1;110(12):1393-1399. doi: 10.1093/jnc/djy072. PubMed PMID: 29878161; PubMed Central PMCID: PMC6292787.
143. Miller AM, Bahmanof M, Zehn D, Cohen EEW, Schoenberger SP. Leveraging TCR Affinity in Adoptive Immunotherapy against Shared Tumor/Self-Antigens. Cancer Immunol Res. 2019 Jan;7(1):40-49. doi:10.1158/2326-6066.CIR-18-0371. Epub 2018 Nov 27. PMID: 30482746.
144. Nan X, Gold KA, Cohen EEW. Immunotherapeutic Approaches to the Management of Head and Neck Cancer. Oncology (Williston Park). 2018 Dec 17;32(12):617-9, 625-6. PMID: 30632130.
145. Cohen EEW, Soulieres D, Le Tourneau C, Dinis J, Licitra L, Ahn MJ, Soria A, Machiels JP, Mach N, Mehra R, Burtness B, Zhang P, Cheng J, Swaby RF, Harrington KJ. KEYNOTE040 investigators. Pembrolizumab versus methotrexate, docetaxel, or cetuximab for recurrent or metastatic head-and-neck squamous cell carcinoma (KEYNOTE-040): a
randomised, open-label, phase 3 study. Lancet. 2019 Jan 12;393(10167):156-167. doi: 10.1016S0140-6736(18)31999-8. Epub Nov 30.PMID: 30509740.
146. Miyauchi S, Kim SS, Pang J, Gold KA, Gutkind JS, Califano J, Mell LK, Cohen EEW, Sharabi AB. Immune Modulation of Head and Neck Squamous Cell Carcinoma and the Tumor Microenvironment by Conventional Therapeutics. Clin Cancer Res. 2019 Feb 27. pii: clincanres.0871.2018. doi: 10.1158/1078-0432.CCR-18-0871. [Epub ahead of print] PMID: 308141108.
147. Guram K, Kim SS, Wu V, Sanders PD, Patel S, Schoenberger SP, Cohen EEW, Chen SY, Sharabi AB. A Threshold Model for T-Cell Activation in the Era of Checkpoint Blockade Immunotherapy. Front Immunol. 2019 Mar 18;10:491. doi: 10.3389/fimmu.2019.00491. eCollection 2019. Review. PMID: 30936880.
148. Burtness B, Haddad R, Dinis J, Tringo J, Yokota T, de Souza Viana L, Ramanov I, Vermorken J, Bourhis J, Tahara M, Segalla JG, Psyrri A, Vasilevskaya I, Nangia CS, Chaves-Conde M, Kiyota N, Homma A, Holeckova P, Del Campo JM, Asarawala N, Nicolau UR, Rauch D, Even C, Wang B, Gibson N, Ehrnrooth E, Harrington K, Cohen EEW: LUX-Head & Neck 2 investigators. Afatinib vs Placebo as Adjuvant Therapy After Chemoradiotherapy in Squamous Cell Carcinoma of the Head and Neck A Randomized Clinical Trial. JAMA Oncol. 2019 Jun 13 doi: 10.1001/jamaoncol.2019.1146 [Epub ahead of print] PMID: 31194247.
149. Cohen EEW, Bell RB, Bifulco CB, Burtness B, Gillison ML, Harrington KJ, Quynh-Thu L, Lee NY, Leidner R, Lewis RL, Licitra L, Mehanna H, Mell LK, Raben A, Sikora AG, Uppaluri R, Whitworth F, Zandberg DP, Ferris RL. The Society for Immunotherapy of Cancer consensus statement on immunotherapy for the treatment of squamous cell carcinoma of the head and neck (HNSCC). Journal for ImmunoTherapy of Cancer volume 7, Article number: 184; July 7, 2019 doi: 10.1186/s40425-019-0662-5.
Peer Reviewed Commentaries:
150. Cohen EEW, Vokes EE: Commentary on "Pilot and Safety Trial of Carboplatin, Paclitaxel, and Thalidomide in Advanced Non-Small Cell Lung Cancer," Clinical Lung Cancer, 2(1): 53-4, (2000).
151. Cohen EEW, Vokes EE: Commentary on "Gene Therapy in Head and Neck Cancer," Oncology, 15(3): 311-2, (2001).
152. Cohen EEW, Vokes EE: Esophageal Cancer Therapy: A Decade of Inertia, The Cancer Journal, 7(5): 369-71, (2001).
153. Cohen EEW, EE Vokes: Searching for a Standard, Journal of Clinical Oncology, 20(2): 359-61, (2002).
154. Ratain MJ, Cohen EEW: The Value Meal: How to Save $1,700 Per Month or More on Lapatinib. Journal of Clinical Oncology, 25(23):3397 (2007).
155. Cohen EEW: A Disturbance in the Force—Mitochondrial Mutations in
Squamous Cell Carcinoma of the Head and Neck. Clinical Cancer Research, 13(15): 4317 (2007).
156. Cohen EEW: mTOR: The Mammalian Target of Replication. Journal of Clinical Oncology, 26:348-9 (2008).
157. Brown RL, Cohen EEW: Motesanib Diphosphate for the Treatment of Advanced Thyroid Cancer, American Journal of Hematology and Oncology, in press.
158. Chen L, Cohen EEW: Surrogate Endpoints in Head and Neck Cancer, Lancet Oncology, 10:309-10 (2009).
159. Cohen EEW, Rosner MR: A Feed Forward Loop Involving Protein Kinase C and MicroRNAs Regulates Tumor Cell Cycle, Cell Cycle, 8:2477-8 (2009).
160. de Souza JA, Cohen EEW: [18F]Fluorodeoxyglucose Positron Emission Tomography in the Initial Staging of Squamous Cell Carcinoma of the Head And Neck: Promise, Evidence, and Reality, Journal of Clinical Oncology. 28:e516 (2010)
161. Psyrri A, Cohen EEW: Oropharyngeal cancer: Clinical Implications of the HPV Connection, Annals of Oncology, 22:997-9 (2011).
162. Cohen EEW, Schilsky RL: The Next Phase of Chemoprevention Research, Cancer Prevention Research, 4:293-5 (2011).
163. Cohen EEW: New Approaches to Thyroid Cancer, Clinical Advances in Hematology and Oncology 10:255-6 (2012).
164. Haigentz M Jr, Cohen EEW, Wolf GT, Strojan P, Eisbruch A, Ferlito A. The future of induction chemotherapy for head and neck squamous cell carcinoma. Oral Oncol. 2012 Nov;48(11):1065-7. Epub 2012 Sep 14.
165. Simpson, DR, Mell LK, Cohen EEW. Targeting the P13K/AKT/mTOR pathway in squamous cell carcinoma of the head and neck. Oral Oncol. 2015 Apr;51(44):291-8. doi: 10.1016/j.oraloncology.2014.11.012. Epub 2014 Dec 17. PubMed PMID: 25532816.
166. Fakhry C, Cohen EEW. The rise of HPV-positive oropharyngeal cancers in the United States. Cancer Prev Res (Phila). 2015 Jan;8(1):9-11. doi: 10.1158/1940-6207. CAPR-14-0425. Epub 2014 Dec 2. PubMed PMID: 25468833.
167. Abbott DM, Cohen EEW, Sadeghi N, Stein KD, Erb NL. Considering the survivorship care needs of head and neck cancer survivors. Oral Oncol. 2016 Jun:57:61-2. doi:10.1016/j.oraloncology.2016.04.012. Epub 2016 Apr 26. PubMed PMID: 27130576.
Book Chapters:
of the Upper Gastrointestinal Tract, American Cancer Society Atlas of Clinical Oncology, BC Decker Inc, (2002).
169. Cohen EEW, Vokes EE: Non-Small Cell Lung Cancer, Oncologic Therapies, 2 nd edition, Springer-Verlag, (2003).
170. Cohen EEW, Stenson KM, Milano MT, Vokes EE: Solid Tumors: Head and Neck, Oncology: An Evidence-Based Approach, 1 st edition, Springer-Verlag, (2005).
171. Seiwert TY, Cohen EEW: Targeted Therapies in Head and Neck Cancer. Squamous Cell Head and Neck Cancer, 1 st edition, the Humana Press Inc., (2005).
172. Cohen EEW: Cancer of the Head and Neck. Cancer: Principles and Practice of Oncology Review, 1 st Edition, Lippincott, Williams, and Wilkins, (2005).
173. Abidoye O, Cohen EEW: The Management of Recurrent Disease: Current Treatments and New Therapies. Options in the Treatment of Head and Neck Cancer, 1 st Edition, CMP Healthcare Media (2006).
174. Ahmed SM, Villaflor V, Cohen EEW: Systemic Targeted Therapy for Recurrent and Metastatic Head and Neck Cancer. Head and Neck Cancer: A Multidisciplinary Approach, 3 rd Edition, Lippincott, Williams, and Wilkins (2007).
175. Catenacci DVT, Cohen EEW, Villaflor VM: Esophageal Tumors: Principles and Practice. Section III Principles of Therapy, Chapter 27: Principles of Multimodality Therapy, 1 st Edition, Demos Publishing (2009).
176. de Souza JA, Cohen EEW: Molecularly Targeted Agents in Recurrent/Metastatic Squamous Cell Carcinoma of the Head and Neck, Chapter XX: Multidisciplinary Management of Head and Neck Cancer, 1 st Edition, Demos Publishing (2010).
177. Choe KS, Salama JK, Cohen EEW: Concurrent Chemotherapy and Reirradiation for Recurrent Head and Neck Cancer, Chapter 3: Management of Recurrence in Head and Neck Cancer, 1 st Edition, Thieme Medical Publisher (2010).
178. Sacco AG, Cohen EEW: Postoperative Management of High-Risk Resectable Head and Neck Cancer, Chapter 34: Head and Neck Cancer: Multimodality Management, 2 nd Edition, Springer International Publishing, (2016) in press.
Book/Volume Editor:
179. Reviews on Recent Clinical Trials, 2(2), May 2007, "Novel Kinase Inhibitors in Cancer Therapy", Bentham Science Publishers Ltd
180. Reviews on Recent Clinical Trials, 3(1), January 2008, "Immunotherapy of Cancer", Bentham Science Publishers Ltd
181. Seminars in Oncology, 35(3), June 2008, "Head and Neck Cancer", W.B.
Reviews
Peer-Reviewed:
182. Cohen EEW, Stadler WM: Treatment of Metastatic Urothelial Cancer in the Post-MVAC Era, World Journal of Urology, 19: 126-132, (2001).
183. Cohen EEW, Lingen MW, Vokes EE: The Expanding Role of Systemic Therapy in Head and Neck Cancer, Journal of Clinical Oncology, 22(9): 1743 (2004).
184. Cohen EEW: Novel Therapeutic Targets in Squamous Cell Carcinoma of the Head and Neck. Seminars in Oncology, 31(6): 755 (2004).
185. Seiwert TY, Cohen EEW: State-of-the-Art Management of Locally Advanced Head and Neck Cancer. British Journal of Cancer, 92: 1341 (2005).
186. Choong NW, Cohen EEW: Epidermal Growth Factor Receptor-directed therapy in Head and Neck Cancer. Critical Reviews in Oncology/Hematology, 57: 25 (2006).
187. Ganti AK, Cohen EEW: Iodine Refractory Thyroid Carcinoma. Reviews on Recent Clinical Trials, 1: 133 (2006).
188. Cohen EEW: Role of epidermal growth factor receptor pathway-targeted therapy in patients with recurrent and/or metastatic squamous cell carcinoma of the head and neck. Journal of Clinical Oncology, 24(17):2659-65 (2006).
189. Ahmed S, Cohen EEW: Treatment of Squamous Cell Carcinoma of the Head and Neck in the Metastatic and Refractory Settings: Advances in Chemotherapy and the Emergence of Small Molecule Epidermal Growth Factor Receptor Kinase Inhibitors. Current Cancer Drug Targets, 7:666-73 (2007).
190. Brown RL, Cohen EEW: Novel approaches in the treatment of thyroid cancer. Update on Cancer Therapeutics, 3:1-11 (2008).
191. Seiwert TY, Cohen EEW: Targeting Angiogenesis in Head and Neck Cancer, Seminars of Oncology, 35:274-85 (2008).
192. Cooper JB, Cohen EEW: Mechanisms of Resistance to EGFR Inhibitors in Head and Neck Cancer, Head and Neck, 31:1086-94 (2009).
193. de Souza JA, Cohen EEW: Personalizing Cancer Care: Updates on Head and Neck Cancer, Expert Reviews in Anticancer Therapy, 9:1219-22 (2009).
194. Langerman A, Blair EA, Cohen EEW, Dagogo-Jack I: Head and Neck Carcinoma in the Young Patient, eMedicine Web-MD, http://emedicine.medscape.com/article/855871-overview, Apr 21, (2009).
195. Chen LF, Cohen EEW, Grandis JR: New Strategies in Head and Neck Cancer: Understanding Resistance to Epidermal Growth Factor Receptor Inhibitors, Clinical Cancer Research, 16:2489-95 (2010).
196. Brown RL, de Souza JA, Cohen EEW: Thyroid Cancer: Burden of Illness and Management of Disease, Journal of Cancer, 2:193-99 (2011).
197. Perez CA, Santos ES, Arango BA, Raez LE, Cohen EEW. Novel molecular targeted therapies for refractory thyroid cancer. Head Neck. 34:736-45 (2012).
198. Ferreira MB, De Souza JA, Cohen EEW: Role of Molecular Markers in the Management of Head and Neck Cancers, Current Opinion in Oncology, 21:281-95 (2012).
199. Price KA, Cohen EEW. Current Treatment Options for Metastatic Head and Neck Cancer. Current Treatment Options in Oncology 13:35-46 (2012).
200. Nwizu T, Ghi MG, Cohen EEW, Paccagnella A: The Role of Chemotherapy in Locally Advanced Head and Neck Squamous Cell Carcinoma, Seminars in Radiation Oncology, 22:198-206 (2012).
201. Nagilla M, Brown RL, Cohen EEW: Cabozantinib for the Treatment of Advanced Medullary Thyroid Cancer. Advances in Therapeutics 2012 Oct 25. [Epub ahead of print].
202. Saloura V, Langerman A, Rudra S, Chin R, Cohen EEW: Multidisciplinary care of the patient with head and neck cancer. Surgical Oncology Clinics of North America 22:179-215 (2013).
203. Yang JCH, Reguart N, Barinoff J, Köhler J, Uttenreuther-Fischer M, Stammberger U, O'Brien D, Wolf J, Cohen EEW: Diarrhea Associated With Afatinib: An Oral Erbb Family Blocker. Expert Review of Anti-cancer Therapy 2013 March 18 [Epub].
204. de Souza JA, Lopes Gde L, Cohen EEW: Pharmacoeconomic issues in head and neck oncology. Current Opinions in Oncology 25:213-7 (2013).
205. Price KA, Cohen EEW, Mechanisms of and therapeutic approaches for overcoming resistance to epidermal growth factor receptor (EGFR)-targeted therapy in squamous cell carcinoma of the head and neck (SCCHN). Oral Oncol. 2015 May;51(5):399408. doi: 10.1016/j.oraloncology.2015.01.018. Epub 2015 Feb 26. PMID: 25725588.
206. Sacco AG, Cohen EEW: Current Treatment Options for Recurrent or Metastatic Head and Neck Squamous Cell Carcinoma. J Clin Oncol. 2015 Oct 10;33(29):3305-13. doi: 10.1200/JCO.2015.62.0963. Epub 2015 Sep 8. Review. PubMed PMID: 26351341.
207. Perisanidis C, Psyrri A, Cohen EEW, Engelmann J, Heinze G, Perisanidis B, Swift A, Filipits M, Kornek G, Nkenke E: Prognostic role of pretreatment plasma fibrinogen
in patients with solid tumors: A systematic review and meta-analysis. Cancer Treat Rev. 2015 Dec;41(10):960-70. doi: 10.1016/j.ctv.2015.10.002. PMID: 26604093.
208. Yeung KT, Cohen EEW: Lenvatinib in Advanced, Radioactive IodineRefractory, Differentiated Thyroid Carcinoma. Clin Cancer Res. 2015 Dec 15;21(24):54206. doi: 10.1158/1078-0432.CCR-15-0923. Epub 2015 Oct 20. PMID: 26487760
209. Gross AM, Cohen EEW. Towards a personalized treatment of head and neck cancer. AM Soc Clin Educ Book. 2015;35:28-32. Doi:10.14694/EdBook_AM.2015.35.28 PubMed PMID:25993138.
210. Cohen EEW, LaMonte SJ, Erb NL, Beckman KL, Sadeghi N, Hutcheson KA, Stubblefield MD, Abbott DM, Fisher PS, Stein KD, Lyman GH, Pratt-Chapman ML. American Cancer Society Head and Neck Cancer Survivorship Care Guideline. CA Cancer J Clin. 2016 May;66(3):203-39. doi: 10.3322/caac.21343. Epub 2016 Mar 22. Review. PubMed PMID: 27002678.
Invited:
211. Cohen EEW, Vokes EE: Locally Advanced Non-Small Cell Lung Cancer, Current Treatment Options in Oncology, 2(1): 27-42, (2001).
212. Cohen EEW, Rudin CM: ONYX-015, Current Opinion in Investigational Drugs, 2(12): 1770-1775 (2001).
213. Cohen EEW, Vokes EE: Induction Chemotherapy and Radiotherapy in Locally Advanced Non-Small Cell Lung Cancer. Hematology Oncology Clinics of North America, 18(1): 81-90 (2004).
214. Cohen EEW: mTOR inhibitors. Clinical Advances in Hematology and Oncology, 4:38-9 (2006)
215. Choong NW, Cohen EEW: Forthcoming receptor tyrosine kinase inhibitors. Expert Opinion on Therapeutic Targets, 10:793-7(2006)
Mentorship
Gonzalo Gomez-Abuin, mentored as a fellow in Medical Oncology from 7/04-6/05 in the head and neck cancer program. We co-wrote a clinical protocol which is currently accruing patients. Dr. Gomez-Abuin is currently a practicing medical oncologist in Argentina.
Tanguy Seiwert, mentored as a fellow in Medical Oncology from 7/02-6/06 in the head and neck cancer program. We have co-authored several manuscripts, chapters, and protocols. Dr. Seiwert is a faculty member in the Department of Medicine, University of Chicago.
Richard Lee, mentored as a fellow in Hematology/Oncology from 7/05-6/07. Dr. Lee is interested in alternative medicine applications to alleviate symptoms related to cancer and we are preparing a grant and protocol to study acupuncture to relieve dry mouth in head and neck cancer patients. Dr. Lee is a fellow in Hematology/Oncology at the University of Chicago.
Nicholas Choong, mentored as a fellow in Hematology/Oncology from 1/05-6/07 in the head and neck cancer program. We have co-authored a review and a clinical trial that is currently accruing patients. Dr. Choong is currently a faculty member at the Medical College of Wisconsin.
Syed Ahmed, mentored as a fellow in Hematology/Oncology from 7/06-12/07 in the head and neck cancer program. We have co-authored a review paper and abstract. Dr. Ahmed is currently a practicing medical oncology in Chicago.
Oyewale Abidoye, mentored as a fellow in Hematology/Oncology from 7/04-6/06 in the head and neck cancer program. We have co-authored a chapter. Dr. Abidoye and I also presented research at the annual meeting of the American Society of Clinical Oncology regarding an kinase inhibitor, lapatinib, in head and neck cancer. Dr. Abidoye is currently a medical oncologist at Scripps Clinic in California.
Apar Ganti, mentored as a fellow in Hematology/Oncology in April 2005. Dr. Ganti joined the head and neck cancer clinical service for one month and we co-authored a review on thyroid cancer. He is currently a faculty member at the University of Nebraska, Omaha.
Josh Baru, mentored as an internal medicine resident from 1/05-6/06. We investigated the outcome of a specific subset of patients undergoing treatment for head and neck cancer. The findings were presented in abstract form in May 2005 and a manuscript has been submitted for publication. Dr. Baru is currently a practicing internist.
Michael Straza worked for one year (4/02-7/04) in my laboratory after completing his Bachelor degree and contributed to a publication describing PKC zeta in head and neck cancer. He is currently a medical student at University of Massachusetts.
Michelle Bacon spent a summer (5/04-9/04) in my laboratory as an undergraduate student. She contributed to the research regarding resistance to epidermal growth factor inhibitors in head and neck cancer which was presented at this year's annual meeting of the American Association for Cancer Research in abstract form.
Mary Clare Masters spent a summer (5/05-9/05) in my laboratory studying serum levels of growth factors in head and neck cancer patients. She is completing her undergraduate studies at Stanford University.
Merin Stephen spent a summer (5/05-8/05) working on a clinical research project in the head and neck cancer program. Her work generated an abstract which was presented in August 2006. She is completing her medical degree at the University of Illinois, Chicago.
Lucy Chen, mentored as a hematology/oncology fellow in the head and neck cancer program (7/2005-6/2007) with two co-authored publications. She is now a faculty member at University of Illinois, Chicago involved in head and neck cancer research.
Anna Halpern spent a summer (5/06-8/06) working on a clinical research project in the head and neck cancer program. Her data regarding the efficacy of epidermal growth factor inhibitors in head and neck cancer was presented internally at our Head and Neck Tumor Conference and is being prepared for publication. Ms. Halpern is completing her medical degree at Brown University.
Jonas de Souza, mentored as a hematology/oncology fellow in the head and neck cancer program (7/2006-6/2008) with seven co-authored publications. I served as his primary mentor for the ASCO Young Investigator and Career Development Awards. He is now a faculty member at University of Chicago in the head and neck cancer program.
David VanderWeele worked in my laboratory (11/06-8/07) on a project involving c-Met signaling in head and neck cancer cells. His work was presented at the Department of Medicine Medical Student Research Day and won second prize. Dr. VanderWeele is a house officer at the University of Chicago in internal medicine.
Tobenna Nwizu, mentored as a hematology/oncology fellow in the head and neck cancer program (7/2007-6/2009) with two co-authored publications. He is now a faculty member at the Cleveland Clinic in the head and neck cancer program.
Cesar Perez performed clinical research (7/08-5/09) on treatment of thyroid cancers with vascular endothelial growth factor receptor inhibitors. His work was presented at the World Thyroid Congress. One co-authored publication. Currently an Assistant Professor at the University of Miami Health System, Florida.
Jonathan Bryan Cooper worked in my laboratory (5/08-9/08) under the Summer Research Program at University of Chicago Medical School. His work resulted in a manuscript reviewing mechanisms of resistance to epidermal growth factor receptor inhibitors.
Ibiayi Dagogo-Jack performed clinical research (5/08-9/08) in head and neck cancer under the Summer Research Program at University of Chicago Medical School. Her work resulted in a manuscript reviewing the characteristics of this malignancy in young patients.
Erik Bergersen performed clinical research (5/09-9/09) in head and neck cancer under the Summer Research Program and the University of Chicago. His work focused on oral cavity cancer in young patients. Currently an Anesthesiology & Critical Care Resident at University Hospitals of Cleveland.
Neil M. Iyengar performed research (7/09-6/11) in imaging frequency and surveillance in patients treated for head and neck cancer. He presented his work as an abstract at the 2010 American Society of Clinical Oncology annual meeting. Currently a clinical investigator at Memorial Sloan Kettering Cancer Center.
Emily K. Curran performed research (7/09-6/11) in elderly head and neck cancer patients treated with combined modality therapy. Currently a researcher at the University of Chicago Medicine.
Omar Ahmed performed research in my laboratory (5/09-5/11) as a 2 nd year medical student involved in the Summer Research Program and was recently awarded the Pritzker Fellowship (2012-2013) that will allow one full year in the laboratory to develop his project in autophagy and carcinogenesis. Currently a Fellow at the University of Pittsburgh.
Tyler Friedrich performed patient-oriented research on psychosocial functioning of head and neck cancer patients and their caregivers (2012-2014) as part of the Scholarship and Discovery program in the Pritzker School of Medicine. This project starts in second year medical school and carries
through the rest of his training. Currently a Resident Physician at the University of Colorado Hospital.
Jacquelyne Gaddy, medical student, as part of the Conquer Cancer Foundation of ASCO Medical Student Rotation for Underrepresented Populations (06/12-08/12). Currently an Internal Medicine Resident at the University at Buffalo class of 2022.
Vassiliki Saloura, mentored as a hematology/oncology fellow in the head and neck cancer program (7/2011 – 12/13). Currently an Assistant Clinical Investigator, Thoracic and Gastrointestinal Malignancies Branch, NCI/CCR.
Ronald Maggiore mentored as a hematology/oncology fellow in the head and neck cancer program (7/2011-6/2012) with research directed at geriatric patients receiving therapy. Currently an Assistant Professor of Medicine, Hematology/Oncology, University of Rochester, New York.
Miriam Jacobs, mentoring as a Cancer Therapeutics Training Program (CT 2 ) Fellow (4/2015 – 6/2016) at the University of California, San Diego. MD and currently an Internal Medicine Physician at UC San Diego Health.
Aaron Miller, mentored as a Hematology/Oncology Fellow (1/2014 – 2016). Currently Assistant Clinical Professor – Division of Hematology and Oncology at UC San Diego Health.
Sandip Patel, mentored as an Assistant Professor and currently mentoring as Associate Professor, Experimental Therapeutics (7/2014 – current).
Assuntina Sacco, mentored as an Assistant Professor and currently mentoring as an Associate Clinical Professor of Medicine, Division of Hematology/Oncology (8/2014 – current) with coauthored publications.
Matthew Wieduwilt, mentored as an Assistant Clinical Professor and currently mentoring as an Associate Professor of Medicine, Division of Hematologic Cancers with a special focus in acute leukemia and bone marrow transplantation (10/2014 – current).
Eric Roeland, mentored as a Clinical and Translational Research Institute KL2 Junior Faculty (9/2015 – 4/2018). Currently Assistant Professor of Medicine at Massachusetts General Hospital.
Andrew Sharabi, mentoring on a KL2, Assistant Professor of Radiation Medicine and Applied Sciences (8/10/2015-current).
Daniel Aminzadeh, mentoring as a pre medical student in the Regents Scholar Research Initiative (RSRI) Match Program, UC San Diego Health, (1/01/2018-current).
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MINISTRY OF DEFENCE (Office of the JS (Trg.) & CAO)
SUBJECT : REGULAR PROMOTION FROM SECTION OFFICER TO THE GRADE OF DY. DIRECTOR
References :-
(a) Note No. A/47964/SC/CSO/CAO/Impl. Cell dated 27 Oct 2010;
(b) Note No. A/47964/SC/CSO/CAO/Impl. Cell dated 11 Nov 2010; and,
(c) Note No. A/47964/SC/CSO/CAO/Impl. Cell dated 24 May 2011.
2. Consequent to the empanelment in the Select List drawn for the years 2001-02 to 2004-05, the officers mentioned in attached Annexure-I are hereby appointed in the grade of Dy. Director in the pre-revised pay-scale of Rs. 10,000-325-15,200, since revised to the Grade Pay of Rs.6,600/- in Pay Band-3 ( Rs.15,600 – 39,100 ) on regular basis.
3. These officers will be deemed to have been on probation for a period of 02 (Two) years from the deemed date of regular appointment as Dy. Director in terms of Rule 10 (1) of the AFHQ Civil Service Rule, 2001. The same will, however, not be applicable to those officers who have left the AFHQ Civil Service due to Superannuation / Resignation / Vol. Retirement etc., before completion of minimum two years service from the date of regular appointment.
4. Promotion orders in respect of Shri Mahavir Prasad (DoB:15.04.1953) figuring in the Select Panel for the year 2002-03 will be issued separately on expiry of the penalty imposed on the officer vide Order No.A/27937/CAO/DD/04 dated 07 Feb 2011.
5. This order is subject to the outcome of the following cases:
(i) Contempt Petition (C) 289/2009 in Civil Appeal No.1385/2008; and,
(ii) RA No.21/2009 in MA No.204, 205/2009.
Sd/xxxx (TP Srivastava) Dy CAO (P) 25 May 2011
Encl:- As above
All officers concerned (Serving)
Copy to:-
Air HQ/PC_1 Naval HQs/DOA (Civ.)
All Concerned Admin Sections in CAO's Office
All Dy. CAOs PS to Dir (E&A) Notice Board ) Nodal Officer
PPS to JS(T) & CAO PS to Dir (HR)
CAO/Coord CAO/APAR (P-1)
CAO Intranet CAO Website(http://caomod.gov.in
LIST OF SECTION OFFICERS (GROUP 'B' GAZETTED) REGULARLY PROMOTED TO THE GRADE OF DEPUTY DIRECTOR (GROUP 'A' GAZETTED) FOR THE YEARS 2001-02 TO 2004-05
1 of 3
Whether
Date of
Deemed Date of
Remarks (Present
Srl No
Name (Sh/Shri)
Office/Last Office
Served)
Regular Promotion
SC/ST
Birth to the Grade of
2 of 3
:::END OF THE LIST:::
3 of 3
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Separation Checklist
Complete the Checklist at the time of separation of employment. Submit the form along with the individual's personnel file to HRIM.
Employee Name:
Employee Campus ID:
Home Department:
Supervisor's Name:
**Note: Individuals working for more than one department at time of separation should complete one checklist for each department.
EMPLOYEE AND DEPARTMENT REPRESENTATIVE
| | Description | Completed |
|---|---|---|
| | | (Dept Rep |
| | | Initials) |
| 1 | Update Asset Tracking Form to provide proof of return of equipment, etc. | |
| 2 | Obtain all information needed to access computing or other information system accounts and/or equipment (e.g. encryption codes, passwords, etc.). | |
| 3 | Obtain voice mail access code. Change voicemail. | |
| 4 | Direct employee to return parking permit to Transportation (fees will be deducted from last check if not returned timely). | |
| 5 | Finalize timesheet & leave records (f applicable). | |
| 6 | Finalize travel expense receipts & reports. | |
| 7 | Cancel future training or travel. | |
| 8 | Obtain proxy access to email and calendar (GoogleApps) (unless employee is a current or former NC State student). | |
| 9 | Update the MyPack Portal “Employee Self Service” with forwarding address or provide it to HR Payroll for future correspondence. | |
| 10 | If engaged in research as part of job, contact Research Administration to review research agreements, patents, intellectual property agreements, etc. | |
| 11 | Repurpose Compass membership to another employee. | |
| 12 | Contact Benefits at 919-515-2151 to discuss benefits continuation and to ensure benefit vendors have correct forwarding address. | |
| 13 | Complete the online exit survey (password: wolfpack) and/or schedule in person exit interview. • SHRA, EHRA Non-faculty, & Post Docs: HR 919-515-6575 • Faculty: OIED 919-513-2099 | |
| 14 | Let employee know that they may donate excess annual leave (beyond the max 240 hours payout) to a specific person currently in the Shared Leave program is desired. Review the Shared Leave program information for more details or call 919-515-2151. | |
| 16 | Download and save on appropriate university resources all university data from personally-owned computers/devices (ex: laptop, tablet, smartphone) or computing accounts and obtain access. | |
| 17 | Remove university-owned software from personally-owned computers or devices. | |
| 18 | If employee is retiring and want to retain email account, contact department HR representative to submit a no-pay personnel action to continue access | |
Departing Employee Signature: _____________________________________________ Date: ___________________
Dept. Representative Signature: _____________________________________________ Date: __________________
DEPARTMENT REPRESENTATIVE
| | | Description | Completed |
|---|---|---|---|
| 1 | Submit appropriate separation action(s) through HR System prior to payroll cutoff deadline for the final pay date. The following paperwork should be submitted to HRIM to finalize payment. Follow your internal process for workflow and approval. • Resignation/Separation Letter • Annual Leave & Bonus Payment Authorization Form (EHRA & SHRA) • Signed final leave balance report **Leave pay-out penalty applies to EHRA employees who have been employed an aggregate of 24 months or less (See PRR 05.15.01 section 22.214.171.124-Payout of Accrued Annual Leave) **Post Docs are not paid out for annual leave | | |
| 2 | Review System Access Checklist and determine appropriate action. | | |
| 3 | Notify/involve appropriate IT staff to review the individual’s current access to systems (e.g., MySoft, Proteus, Facilities, HR, Financials, SIS, etc.) and submit a revoke/termination access request (Security Access Request- SAR) as needed. | | |
| 4 | Terminate the individual’s signature authority on bank accounts (such as Foundation accounts). | | |
| 5 | Deactivate Purchase Card and cellular plans. | | |
| 6 | Knowledge transfer: Update or create SOPs for position duties. Work with the people who will be taking over responsibilities until the position is filled to train and update them on the status of projects and tasks. | | |
| 7 | Notify colleagues and co-workers of the employee’s departure. | | |
| 8 | Contact Security Applications Technology (919-513-3111) to terminate security access for doors. | | |
| 9 | Process comp time payouts for non-exempt employees. | | |
| 10 | Account for non-salary compensation adjustments. | | |
| 11 | Contact Office of General Counsel (919-515-3071) if separating employee is involved in a Litigation Hold to arrange a successor custodian of records. | | |
| 12 | Update organizational chart and other references to employee (department directory, staff listing, website). | | |
| 13 | Put “tickler” on calendar for 1 month after the termination date to verify all payroll transactions have cleared, and to terminate individual from Leave System. Post leave transactions to reduce leave balances to zero. | | |
| 14 | Suspend/remove access to department-owned systems or any shared accounts and change passwords accordingly. | | |
| 15 | Retain the individual’s student access (student email account, Moodle, etc.) if applicable. | | |
| 16 | Create appropriate reply-back messages and forwarding rules for the individual’s email account. | | |
| 17 | Create appropriate reply-back messages and forwarding rules for the individual’s voicemail. | | |
| 18 | Ensure any files on local or network drives that the individual administers or can access are also accessible to other department personnel. Verify appropriate public record copies of the files exist. | | |
| 19 | Document, re-assign, and terminate, if appropriate: • External accounts used for university business by the individual • Individual’s administration of departmental email lists, groups, generic accounts, items in web registry or use of individual email aliases or departmental aliases • Any resources (e.g., conference rooms, projectors, etc.) • . | | |
| 20 | Send departmental Personnel File to HRIM. | | |
Department Representative Signature____________________________________________ Date ________________
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City of Melville Bridge Club Inc APPLICATION FOR MEMBERSHIP
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Please complete further details over page
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The Fees below include a one off $20 nomination fee, and provide membership for the year up to 28 th of February
| Joining Between | HOME CLUB |
|---|---|
| 1 March and 30 September | $90* |
| 1 October and 31 December | $55* |
| 1 January and 28 February | $20* |
*$20 discount for persons joining as Home Club members immediately after beginners' lessons at the club.
Fee Accompanying Application:
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Membership Application Form updated 29 Dec 2024
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Date of Birth (requested by ABF) _______ / ______ / ___________ (year is Optional)
EMERGENCY CONTACTS:
Name: _____________________________________ Phone # ____________________________
Name: _____________________________________ Phone # ____________________________
The Club needs to keep an up-to-date register of members together with certain basic personal data. Every member is asked to provide the Membership Secretary with up-to-date details of their address, email and phone number. This data is held on the Pianola and MyABF Databases, accessible only to those authorised by the Management Committee. Club members who log in to Pianola or MyABF can access and update their personal records. If you give your permission, your preferred telephone number will be published in the Club’s Membership booklet alongside your name.
My phone number: ___________________________________
Your consent to publish this number in the Membership Booklet:
YES NO
Applicant's Signature: _______________________________ Date: ______ / ______ / ______
Your application form will be posted on the club noticeboard for a minimum of two weeks, and simultaneously your application will be considered by the members of the Management Committee. Once your application is approved, you will be advised, and the Membership Secretary will register you with the Australian Bridge Federation (ABF).
Membership Approved
Membership Secretary: _____________________________ (Signature): _______________________
Date: ______ / ______ / ______
Membership Application Form - updated 29 Dec 2024
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HAS CHINA WON?
THE CHINESE CHALLENGE TO AMERICAN SUPREMACY
The Brazilian Center for International Relations (CEBRI) is an independent think tank that contributes to establishing an international agenda for Brazil. For the last twenty three years, the institution has engaged in promoting pluralistic and proposal-oriented debates on the international landscape and Brazilian foreign policy.
CEBRI prioritizes themes with the greatest potential to leverage the international insertion of Brazil into the global economy, proposing pragmatic solutions for the formulation of public policies. CEBRI’s work was recognized by the University of Pennsylvania’s top global think tank ranking, which considered the institution the 2nd best think tank in South and Central America in 2020.
The Asia Program is one of the twelve regional and thematic programs currently operating at CEBRI. The Program is coordinated by CEBRI’s Trustee Anna Jaguaribe, CEBRI’s International Advisory Board member Ambassador Marcos Caramuru, and by the Senior Fellow Phillip Yang. External experts can be invited to participate in ad hoc activities, projects, and seminars, according to the Program’s agenda.
The Program promotes a systematic monitoring of matters relevant to international relations and Brazilian development, particularly those related to China. Special attention has been given to monitoring the ongoing economic reforms and political transformations in China, considering their global effects and impacts in Latin America and Brazil. This continuous examination allows CEBRI to provide information and analysis to its members, partners and to the Brazilian government, contributing to the construction of Brazil's strategic position towards China, as well as helping increase knowledge about China within Brazilian society.
HAS CHINA WON?
THE CHINESE CHALLENGE TO AMERICAN SUPREMACY
Report by: Kamila Aben Athar
In July 2021, CEBRI’s China Group held a special meeting for the launch of the Brazilian edition of the book “Has China won?: The Chinese Challenge to American Primacy”, which counted with the participation of its author, Professor Kishore Mahbubani, as keynote speaker. Notably, this was China Group meeting with the highest level of participation in 2021. During the event, Professor Mahbubani and other participants discussed the structuring forces surrounding the US-China dispute, as well as the future perspectives on the conflict, and how the COVID-19 pandemic has affected such relations. In addition, the participants discussed the positions of other actors around this dispute, especially Brazil’s in this complex scenario. Given the format of the event, this report largely reflects Professor Mahbubani’s opinion on the matter, while following the standard format for China Analysis Group reports.
# Table of Contents
| Section | Page |
|--------------------------|------|
| Guiding Questions | 07 |
| Meeting Report | 08 |
| Participants | 17 |
Guiding Questions
To help us analyze these complex and dynamic issues, at its Meeting, the China Analysis Group proposes three themes and questions to our speakers and audience:
1. What are the structural forces that drive the U.S-China contest? What were the mistakes made by the United States and China that aggravated this contest?
2. Who will win the contest, the United States or China? How did Covid-19 impact U.S-China relations?
3. What do other countries of the world think of this contest? How to prevent worst-case scenarios and spillover effects emerging from this contest, especially in Brazil?
1. What are the structural forces that drive the U.S-China contest? What were the mistakes made by the United States and China that aggravated this contest?
According to Professor Kishore Mahbubani, the U.S-China geopolitical contest will shake the world for the next 10 years. As stated in the first paragraph of the book, in some ways, Biden’s election demonstrated that “although President Donald Trump launched the first round [of the dispute] in 2018, it will outlast his Administration”. This demonstrates that the U.S-China dispute is driven by deep structural forces.
The first structural force reflects a 2000-year rule of power politics, in which whenever the world’s number one emerging power – which today is China – is about to overtake the world’s number one power – which today is the United States of America –, the most powerful nation always pushes down the emerging nation. Thus, Professor Mahbubani stressed that the U.S endeavor in preventing China from taking the lead is normal behavior, especially because Washington did not expect this to happen as fast. In 2000, the United States’ GNP in nominal market terms was eight times the size of China’s; today, it’s only 1.5 times larger. Within 10 years, China will grow even more and is likely to surpass the United States. Therefore, it is normal for the United States to want to remain the number one power.
The second structural force relates to the fact that decisions are made not only through rationality but also through emotions. For the past nine hundred years, the Western imagination repressed the fear of the yellow peril; however, this emotional element has been present on several occasions. In 1882, the United States Congress passed the Chinese Racial Exclusion Act that prohibited the immigration of Chinese laborers to the United States. Nowadays, yellow peril is a concept that is not considered to be politically correct in Western societies. Nevertheless, the United States’ strong reaction to the return of China shows that this contest is driven by rational and emotional considerations, including the yellow peril perception, with a deep reluctance from the
West to accept a world in which a non-western power is number one. As a result, anti-Chinese incidents happen more frequently within the United States.
The third structural factor concerns the belief the United States had for China to open its economy and political system, becoming a liberal democracy. From the U.S perspective, a young country with less than 250 years of history and one-quarter of the Chinese population could transform China, which has four times the U.S population and four thousand years of history. However, China does not show any signs that it will become a democratic regime anytime soon or ever. This arrogant assumption of the United States being able to transform China has led Washington feeling a deep sense of disappointment with Beijing. The United States did not understand that their success in the last 130 years was exceptional. Now, the world is returning to normalcy. Over the last 2000 years, the two largest economies of the world were always China and India.
In addition, the U.S-China geopolitical contest is also driven by the mistakes made by both sides. Professor Mahbubani dedicated an entire chapter to approach how China wrongfully alienated the U.S business community. For a long time, this community was China's main advocate in Washington, making large amounts of profits in China. As an example, Boeing’s second-largest customer is China, only after the United States. General Motors, the world’s largest automobile company, and the U.S largest company, earns more profits from the Chinese market than it does from the U.S market. Apple is also very dependent on China. However, because of mandatory technology transfer in joint ventures, the losses of intellectual property in China, and unequal level playing field in the competition between a U.S company and a Chinese company, participants stressed that the complaints of U.S businesses were legitimate. Then, when Trump launched the trade war in 2018 against China, the U.S business community, which once would have intervened on China’s behalf, became silent.
In the case of the United States, Professor Mahbubani argued that Washington inappropriately launched a geopolitical conscience against China without working out a comprehensive long-term strategy. In the year 2009, the size of the retail goods market in China was 1.8 trillion dollars, whereas the size of that same market in the United States was 4 trillion dollars. In 2019, two years after Trump’s trade war and the imposition of tariffs, sanctions, restrictions to damage the Chinese economy, the size of China’s retail goods market reached 6 trillion dollars, while the U.S market went from 4 trillion to 5.5 trillion. For exporters, the Chinese market became bigger than the U.S market, and this gap will grow further. Thus, the trade war launched against China did not harm the Chinese market; instead, the American workers, farmers, and consumers. As a result, the bipartisan consensus against China has not been upheld, and the Biden Administration still struggles to reverse the tariffs put in place by the Trump Administration, which reflects a lack of strategy towards China.
In addition, the contest was framed as “democracies versus autocracies” of the world, entering in a national security strategy launched in March 2021 by Washington, and in official statements, such as the G7 communiqué, which emphasized the spirit of the so-called “exclusive multilateralism” and explicitly mentioned core and sensitive issues to China, such as Xinjiang, Hong Kong, South China Sea, Taiwan, and other topics. Nevertheless, Professor Mahbubani highlighted that a democratic China could pose more challenges to U.S-China relations. The Chinese people still carry memories of the humiliation and destruction caused by Western powers in the 19th and 20th centuries. This would result in the election of a more nationalist leader in comparison to President Xi Jinping. Although criticized by U.S authorities and citizens, Xi delivers a global public good by containing the Chinese nationalism, bearing in mind China’s century of humiliation.
The United States’ strong reaction to the return of China shows that this contest is driven by rational and emotional considerations, including the yellow peril perception, with a deep reluctance from the West to accept a world in which a non-western power is number one.
Because of mandatory technology transfer in joint ventures, the losses of intellectual property in China, and unequal level playing field in the competition between a U.S company and a Chinese company, the complaints of U.S businesses were legitimate. Then, when Trump launched the trade war in 2018 against China, the U.S business community, which once would have intervened on China’s behalf, became silent.
Who will win the contest, the United States or China? How did Covid-19 impact U.S-China relations?
Professor Mahbubani mentioned that it is inconceivable for the United States to consider the possibility of losing the trade war against China. From the U.S perspective, this is a contest between a vibrant democracy in the United States and a rigid and inflexible communist party system in China. Thus, as it happened with the Soviet Union during the Cold War, the United States will be victorious. Nevertheless, looking at the current U.S society, the United States is no longer a democracy; rather, it became a plutocracy. For the past 30 years, all the rewards of development have gone to the top 1% of the population, and the bottom 50% have not seen any improvement in their standard of living. As life expectancy in the United States declines and infant mortality increases, a “sea of despair” spreads among the white American working classes, which explains the election of Donald Trump in 2016.
In order to ease the tensions, participants argued that Biden must tackle the challenges faced by the bottom 50%, who largely voted for Trump. The U.S President should not pinpoint China as the number one enemy. Instead, it should be Donald Trump, whose re-election could pose more risks to the world. To prevent Trump from returning to the presidency, Biden should tone down the geopolitical contest with China, and focus on improving the economic development of the American people, lowering wage inequality. This also means decreasing its defense military expenditures. For example, the United States spends almost 10 billion dollars to build an aircraft carrier, which can be sunk by a hundred-thousand-dollar Chinese hypersonic missile. Thus, the United States needs to understand that it cannot treat China like the Soviet Union. Instead of investing massively in defense, it should spend more on improving the livelihood of its people, which will be good for Biden, the United States, and the world.
As stated in Chapter 6, unlike the rigid inflexible communist party that ran the Soviet Union, China became a meritocracy, selecting the most capable individuals to run the society. For decades, China could not harvest the best brains in the country. Now, the Chinese government can attract top professionals to work for the Chinese communist party. In a population of 1.4 billion people, only the number one student can join the Chinese communist party, and this demonstrates the quality of brainpower that the Chinese communist party accumulated. In addition, the successful case of China and the failed case of the United States while managing the Covid-19 shows the discrepancy in the competency level. Although the pandemic started in China, the Chinese government
efficiently mobilized efforts and managed to stop the total number of deaths in five thousand. If the U.S government had the same number of deaths per million as China, instead of having 600,000 deaths, the United States would have a total of 1,000 deaths. Thus, the United States wrongfully underestimates China.
In parallel, Professor Mahbubani stressed that China must not underestimate the United States. The United States continues to be the most successful society in world history. The amount of power the country accumulated across a wide range of areas is far greater than what most societies achieved. The United States still has the advantage of attracting the best experts from all around the world. For example, some of the biggest companies in the United States, such as Google and Microsoft, are run by foreigners. In addition, as a means of upholding the tech competition against China, the Biden administration is currently seeking approval for the largest long-term investment program in infrastructure, with a focus on clean technologies and power transportation. The U.S government made bold state-funded investments in science and technology and streaming to industrial policy, as seen in Chapter 5. Also, to counter back the Chinese dual circulation and the opening of China’s financial market, the United States used a wide range of investments not only from the United States, but also from the whole investments in the portfolio, and increased the level of FDI.
According to participants, the pandemic caused enormous losses economically and socially. There was an increase in political uncertainties and polarization, despite all the significant efforts and the handling of the pandemic by China and other important examples in Asia. Nonetheless, participants argued that there was no leadership emerging from this in terms of the necessary strengthening for multilateralism and multilateral organizations.
Therefore, Professor Mahbubani pinpointed that the outcome depends on the ability of a nation in creating the impression of knowing what it wants, coping successfully with the problems of its internal life, coping with the responsibilities of world power, and having a spiritual vitality before the international community. Considering the United States and the Soviet Union during the Cold War, the former was ahead on all these points. Today, in the contest between Washington and Beijing, the latter may be ahead on all four points. In the last 40 years, the Chinese people witnessed a greater improvement in their standard of living and quality of life in 4,000 years of Chinese history. Yet, Americans still wonder the reasons why the Chinese people continue to support the Chinese communist party, whose support went from 86% in 2003 to 93% in 2016.
The United States needs to understand that it cannot treat China like the Soviet Union. Instead of investing massively in defense, it should spend more on improving the livelihood of its people, which will be good for Biden, the United States, and the world.
The outcome depends on the ability of a nation in creating the impression of knowing what it wants, coping successfully with the problems of its internal life, coping with the responsibilities of world power, and having a spiritual vitality before the international community. [...] Today, in the contest between Washington and Beijing, the latter may be ahead on all four points.
3. What do other countries of the world think of this contest? How to prevent worst-case scenarios and spillover effects emerging from this contest, especially in Brazil?
During the Cold War, many countries sided with the United States against the Soviet Union. The U.S government counted on the support of European countries, East Asian nations, such as Japan, South Korea, and even China, as well as major third world countries, such as Egypt, Pakistan, and Indonesia. Currently, some countries concur with the notion of China further opening its markets, creating a more level playing field for business, and accepting additional norms internationally. Nonetheless, unlike the Cold War, very few countries enthusiastically endorse Washington in the geopolitical contest against Beijing. As an example, all QUAD members claim that the organism is not an anti-China alliance, especially because China is their number one trading partner. For this matter, they cannot afford to alienate China, which explains the motivations of not mentioning China in their final communiqué after their summit in March 2021.
According to Professor Mahbubani, Biden’s strategy towards China is flawed because the United States cannot ask countries to choose sides since they want to do business with both powers. In Asia, there was the signing of the Regional Comprehensive Economic Partnership, which was an important step for the Asian economic space. In Europe, there was the EU-China investment agreement, and the carryout of the Russian-German pipeline, Nordstrom 2. In Latin America, China is now the main destination for Brazilian exports, accounting for around 34% of the total trade value, ahead of other important partners such as the United States, who take the share of 10%, and even local partners, such as Argentina. In addition, ASEAN became China’s largest trading partner. In 2000, ASEAN trade with the United States was 130 billion dollars, whereas with China was only 40 billion dollars. However, similar to what happened to Brazil, ASEAN trade with China has grown, and by 2019, United States trade with ASEAN went from 130 billion to 300 billion, whereas ASEAN trade with China went up from 40 billion to 660 billion. Therefore, participants argued that most countries are not capable of choosing between the United States and China.
For instance, as argued in the last chapter of the book, Professor Mahbubani concluded that this contest is inevitable and avoidable. Thus, other countries must send a consistent message to Washington and Beijing so they can help avoid further damages. Indeed, structural forces are driving this contest. Nonetheless, human intervention can make
a difference at some point. There are 7.8 billion people in the world, with 1.4 billion living in China and 330 million living in the United States. Participants affirmed that it is important for the remaining six billion people around the world to speak out more on this U.S-China geopolitical contest. It is important for all other 191 countries collectively to tell the United States and China to stop this contest and focus on taking care of more important matters.
Regarding China, Professor Mahbubani stressed that, although Beijing has become more assertive, it did not become as aggressive as it could. Inevitably, China behaves according to the size of its economy. The Chinese GNP, which was 10% the size of U.S purchasing power priority terms in 1980, is now bigger than the U.S size. For instance, all great powers are going to have a greater impact on the world, and the international community must adjust to the arrival of a new great power such as China. Countries should persuade Beijing to accept that it is in China’s best interest to support the rules-based order that the West created, advocate for the United Nations, and defend the international law, instead of criticizing China publicly as did by the Trump and Biden administrations.
Concerning the United States, Professor Mahbubani mentioned that it is not clear what Washington aims to accomplish recently with China – whether is trying to prevent China from becoming the number one economy in the world, isolate China, or overthrow the Chinese communist party -. The United States must understand what can or cannot be done. Participants affirmed that if partners such as Brazil emphasize the importance of China for its economy, this can have an impact on Washington. In the Brazilian case, the United States and China have been the most important trade partners of Brazil over the past decade. Since China was the country that reacted and responded more vividly to the pandemic, the consequences for the Chinese growth were diminished, as well in its trade partners. For this matter, even though the Brazilian labor market has not recovered because of its external sector, the partnership between China and Brazil resulted in weaker negative impacts. This declaration could make the U.S government adopt a more intelligent policy that will be better for the American and Chinese peoples.
Lastly, Professor Mahbubani highlighted that there are non-contradictions in the U.S-China relations, in which they have common interests that could reduce the tensions and promote further cooperation. The first area of mutual interest is improving the well-being of their people. Biden’s priority should be to improve the living conditions of the American people by focusing on their economic development and not on the geopolitical contest. The United States has spent five to six trillion dollars fighting unnecessary wars. Reallocating those resources to the bottom 50% would result in each citizen receiving approximately 30,000 dollars. This could change the situation of several vulnerable families living in the United States, especially because 60% of the population does not
have access to 500 dollars in emergency cash. Instead of devoting efforts and assets to a geopolitical contest, participants highlighted that both countries should focus on improving the well-being of their citizens so they can collaborate, considering that the trade war is neither helping the United States nor damaging China. The second area where Washington and Beijing can collaborate is in tackling common global challenges, such as Covid-19 and climate change. As mentioned in the second last paragraph of the book, if the United States and China continue fighting while climate change is happening, historians will describe them as two tribes of apes that continued fighting each other while the forest around them was burning. With the advent of globalization, all nations are interdependent and, thus, there’s a larger common interest in humanity that the United States and China should pay attention to.
This contest is inevitable and avoidable. Thus, other countries must send a consistent message to Washington and Beijing so they can help avoid further damages. [...] If partners such as Brazil emphasize the importance of China for its economy, this can have an impact on Washington, [...] and make the U.S government adopt a more intelligent policy that will be better for the American and Chinese peoples.
There are non-contradictions in the U.S-China relations, in which they have common interests that could reduce the tensions and promote further cooperation. The first area of mutual interest is improving the well-being of their people. [...] The second area where Washington and Beijing can collaborate is in tackling common global challenges, such as Covid-19 and climate change.
Cecília Machado
Chief-Economist at BOCOM BBM Bank and a professor at the Brazilian School of Economics and Finance of the Getúlio Vargas Foundation (EPGE/FGV). She is a columnist for Folha de São Paulo newspaper, where she writes every two weeks. She is an associate researcher at the IZA, and associate editor of Economia magazine. She has research projects funded by international agencies (Gates Foundation and IDRC) and national ones (Young Scientist of Our State by Faperj and Research Productivity Grant by CNPq). She holds a bachelor’s degree in economics from the Federal University of Rio de Janeiro, a master’s degree in economics from PUC-Rio, and a PhD in economics from Columbia University.
Kishore Mahbubani
Diplomat and author of eight books. Mahbubani is currently a Distinguished Fellow at the Asia Research Institute of the National University of Singapore, and former President of the UN Security Council and the Founding Dean of the Lee Kuan Yew School of Public Policy. His books and articles in the New York Times, Washington Post, Financial Times and Foreign Affairs have earned him global recognition. He was inducted into the American Academy of Arts and Sciences in October 2019.
Ricardo Mioto
Editor of Intrínseca responsible for books on business, economics and contemporary issues. He was previously a reporter and editor at Folha de S.Paulo, communications director of the Empiricus investment platform, and, as partner of the FSB agency, communications consultant for multinationals such as McKinsey and Twitter.
Tatiana Rosito
Senior Fellow at CEBRI. She was also the founder and coordinator of CEBRI's China Analysis Group. She is a diplomat and an economist, currently working as a consultant at the New Development Bank (NDB) in Shanghai. She was Petrobras' Chief-Representative in China and General Manager for Business Development in Asia. Previously, she was Executive Secretary at the Brazilian Foreign Trade Board (CAMEX) and Special Advisor to the Ministers of Finance and Planning. She is also an invited member of the Consultative Committee of the Brazil-China Business Council. She holds a Master’s degree in International Development from the Harvard Kennedy School and an Executive MBA from INSEAD and Tsinghua University.
Board
Chairman
José Pio Borges
Emeriti Chairman
Fernando Henrique Cardoso
Vice Chairmen
Jorge Marques de Toledo Camargo
José Alfredo Graça Lima
Tomas Zinner
Vice Chairmen Emeriti
Daniel Klabin
José Botafogo Gonçalves
Luiz Augusto de Castro Neves
Rafael Benke
Trustees Emeriti
Luiz Felipe de Seixas Corrêa
Luiz Fernando Furlan
Marcos Azambuja
Pedro Malan
Rubens Ricupero
Winston Fritsch
Founders
Carlos Mariani Bittencourt
Celso Lafer
Daniel Klabin
Gelson Fonseca Jr.
João Clemente Baena Soares
Marcus Vinicius Pratini de Moraes
Maria do Carmo (Kati) Nabuco de Almeida Braga
Roberto Teixeira da Costa
Eliezer Batista da Silva (in memoriam)
Luciano Martins de Almeida (in memoriam)
Luiz Felipe Palmeira Lampreia (in memoriam)
Luiz Olavo Baptista (in memoriam)
Sebastião do Rego Barros Netto (in memoriam)
Walter Moreira Salles (in memoriam)
CEO
Julia Dias Leite
Board of Trustees
André Clark
Anna Jaguaribe (in memoriam)
Armando Mariani
Arminio Fraga
Clarissa Lins
Claudio Frischtak
Demétrio Magnoli
Edmar Bacha
Henrique Rzezinski
Ilona Szabó
Izabella Teixeira
Joaquim Falcão
José Aldo Rebelo
José Luiz Alquéres
Luiz Ildefonso Simões Lopes
Marcelo de Paiva Abreu
Marcos Galvão
Paulo Hartung
Renato Galvão Flôres Jr.
Roberto Abdenuur
Roberto Jaguaribe
Ronaldo Veirano
Sergio Amaral
Vitor Hallack
International Board
Albert Fishlow
Alfredo Valladão
André Corrêa do Lago
Antonio Patriota
Felix Peña
Flávio Damico
Hussein Kalout
Jackson Schneider
Leslie Bethell
Marcos Caramuru
Marcos Jank
Monica de Bolle
Paolo Bruni
Sebastião Salgado
Senior Fellows
Adriano Proença
Ana Célia Castro
Ana Paula Tostes
Ana Toni
André Soares
Benoni Belli
Carlos Milani
Daniela Lerda
Denise Nogueira Gregory
Diego Bonomo
Evangelina Seiler
Fabrizio Sardelli Panzini
Fernanda Magnotta
José Mario Antunes
Larissa Wachholz
Leandro Rothmuller
Leonardo Burlamaqui
Lia Valls Pereira
Lourival Sant’anna
Mário Ripper
Matias Spektor
Miguel Correa do Lago
Monica Herz
Patrícia Campos Mello
Paulo Sergio Melo de Carvalho
Pedro da Motta Veiga
Philip Yang
Ricardo Ramos
Ricardo Sennes
Rafaela Guedes
Rogerio Studart
Ronaldo Carmona
Sandra Rios
Tatiana Rosito
Vera Thorstensen
Victor do Prado
Members
Institutions
Aegea
Altera
BAMIN
Banco Bocom BBM
BASF
BAT Brasil
BDMG
BMA Advogados
BNDES
BRF
Bristow
Brookfield Brasil
Captalys Investimentos
CCCC/Concremat
Consulado Geral dos Países Baixos no Rio de Janeiro
Consulado Geral da Irlanda em São Paulo
Consulado Geral do México no Rio de Janeiro
Consulado Geral da Noruega no Rio de Janeiro
CTG Brasil
Dannemann, Siemsen, Bigler & Ipanema Moreira
EDP
Eletrobras
Embaixada da China no Brasil
Embaixada da República da Coreia
Embraer
ENEVA
ENGIE Brasil
Equinor
ExxonMobil
FCC S.A.
Galp
Grupo Lorentzen
Grupo Ultra
Haitong
Huawei
IBÁ
IBRAM
Icatu Seguros
Instituto Clima e Sociedade
Itaú Unibanco
JETRO
Klabin
Lazard
Light
Associados
Machado Meyer
Mattos Filho Advogados
Michelin
Museu do Amanhã
Neoenergia
Paper Excellence
Petrobras
Pinheiro Neto Advogados
Prumo Logística
Repsol Sinopec
Sanofi
Santander
Shell
Siemens
Siemens Energy
SPIC Brasil
State Grid
Suzano
Tecnoil
Total E&P do Brasil
Unilever
Vale
Veirano Advogados
Vinci Partners
CEBRI Team
CEO
Julia Dias Leite
Director of Projects
Luciana Gama Muniz
Director of External Relations
Carla Duarte
Projects
Deputy Director of Projects
Marianna Albuquerque
Projects Coordinators
Hugo Bras Martins da Costa
Lea Reichert
Marina Liuzzi
Projects Analysts
Thais Jesinski Batista
Eduardo Neiva
Intern
Larissa Vejarano
Institutional Relations
Partnerships Coordinator
Cintia Hoskinson
Institutional Relations Coordinator
Fernanda Araripe
Special Projects Coordinator
Caio Vidal
Special Projects Analyst
Lucas Bilheiro
Intern
Heron Fiório
Communications and Events
Deputy Director of External Relations
Betina Moura
Events Coordinator
Nana Villa Verde
Communications Officer
Paula Reisdorf
Events Analysts
Nana Maria Barbosa
Priscila Carvalho
Executive Secretary
Rigmor Andersen
Administrative and Financial
Administrative-Financial Coordinator
Fernanda Sancier
Administrative Officer
Kelly C. Lima
WHERE WE ARE:
Rua Marquês de São Vicente, 336
Gávea, Rio de Janeiro – RJ - Brazil
22451-044
Tel: +55 (21) 2206-4400
[email protected]
@cebrionline cebri.org
|
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Alberta Court of Justice
Edmonton Region In Person Appearances by Counsel for
Trials, Hearings, Guilty Pleas and Contested Applications
Effective: October 1, 2023
1. When an accused appears in court in person for trial, hearing, guilty plea or contested application, counsel shall also appear in court in person with their client.
This Practice Note applies to all court locations within the Edmonton Region, including the base court points: Hinton, Stony Plain, St. Albert, Leduc, Sherwood Park, Fort Saskatchewan, Vermilion, St. Paul, Fort McMurray, and all the circuit points serviced from these base points.
2. Leave may be applied for by counsel to appear via Webex when their client appears in court in person.
|
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CC-MAIN-2024-10
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https://www.albertacourts.ca/docs/default-source/pc/in-person-appearances-by-counsel.pdf?sfvrsn=9fb05c82_5
|
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| 642,996,722
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Regd. Office: 314, Sri Ramakrishna Towers Nagarjuna Nagar, Hyderabad - 500 073, Telangana . Corp. Office: 505, 5 th Floor, Block-I, Divyashakti Complex, Ameerpet, Hyderabad – 500 016, Telangana,
Phone:040-23730812/13/14. email:[email protected], web: www.sathavahana.com
NOTICE OF THE 28 TH ANNUAL GENERAL MEETING
NOTICE is hereby given that the 28 th Annual General Meeting of the Company will be held on Friday, the 29 th September, 2017 at Sri Sagi Ramakrishnam Raju Community Hall, Madhura Nagar, Hyderabad – 500 038, Telangana at 3.00 p.m.
The Notice setting out the ordinary and special business proposed to be transacted at the meeting together with Annual Report have been sent to all the Members, whose names appear in the Register of Members / list of Beneficial Owners received from National Securities Depository Limited (NSDL)/ Central Depository Services (India) Limited (CDSL) as on 26 th August, 2017. In terms of Section 101 and 136 of the Companies Act, 2013 and the relevant rules made there under, the Annual Report together with Notice of the 28 th Annual General Meeting have also been sent by CDSL through E-mail on 5 th September, 2017 to those Members who have already registered their email addresses with the Depositories and the Registrar and Share Transfer Agent. In respect of other Members, hard copies of the Annual Report together with Notice of the 28 th Annual General Meeting were sent by Registered Post / Courier before 04 th September, 2017. The Annual Report along with the Notice of the 28 th Annual General Meeting is also available for download from the website of the Company at www.sathavahana.com and https://www.evotingindia.com.
The Company facilitated E-voting with Central Depository Services (India) Limited and can be accessed at https://www.evotingindia.com. A member may exercise voting either by physical ballot or e-voting. For casting vote, the members are requested to read the instructions printed in the Notice carefully. E-voting period commences on and from 26 th September, 2017 at 10.00 a.m. and ends on 28 th September, 2017 at 6.00 p.m. Members wishing to cast vote in physical form may please return the Ballot Paper duly completed in all respects in the self-addressed postage pre-paid envelope so as to reach the Scrutinizer on or before 28 th September, 2017. Postal Ballot Paper received after that date will be treated as if reply from such member has not been received. Voting whether by post or by electronic means shall not be allowed beyond the said date and time.
Notice is hereby further given that pursuant to Section 91 of the Companies Act, 2013 and relevant Rules made there under the Register of Members and Share Transfer Books of the Company will remain closed from 16.09.2017 to 29.09.2017 (both days inclusive) for transfers in physical mode and on closing of 15.09.2017 for electronic mode for determining the name of members eligible for the purpose of Annual General Meeting.
The Board of Directors of the Company appointed Shri D. Hanumanta Raju, Partner, M/s. D. Hanumanta Raju & Co., Practicing Company Secretaries, and Hyderabad as the Scrutinizer for voting process. The Scrutinizer will submit report to the Chairman of the Company and the result of the voting will be announced within forty eight hours of Annual General Meeting. The Result will also be posted on the Company's website: www.sathavahana.com. Shareholders who do not receive the Ballot Paper may apply to the Company and obtain a duplicate thereof.
Any query in relation to the resolutions proposed to be passed at the meeting including voting by electronic means as well as the grievances connected with the voting by ballot and voting by electronic means may be addressed to Registrar and Share Transfer Agents, XL Softech Systems Limited, Plot No.3, Sagar Society, Road No.2, Banjara Hills, Hyderabad – 500 034 Telangana or the Company Secretary, Sathavahana Ispat Limited, 505, 5 th Floor, Block 1, Divyashakti Complex, Ameerpet, Hyderabad – 500 016 Telangana.
NOTICE is also hereby given that in pursuance of Section 91 of the Companies Act, 2013 and the Regulation 42 of Listing Regulations 2015, the Register of Members and Share Transfer Books of the Company will remain closed from 16 th September, 2017 to 29 th September, 2017 (both days inclusive) for transfers in physical mode and on closing of 15 th September, 2017 for electronic mode for the purpose of Annual General Meeting.
A copy of this notice is also available on the Company's Website www.sathavahana.com and also on websites of Stock Exchanges www.bseindia.com (stock code: 526093) and www.nseindia.com (Stock Code: sathaispat).
By order of the Board For SATHAVAHANA ISPAT LIMITED
PLACE: HYDERABAD
Sd/-
Executive Vice Chairman
(A.S.Rao)
DATE: 05.09.2017
|
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CC-MAIN-2018-43
|
http://www.sathavahana.com/28AGM_NOTICE_300917.pdf
|
2018-10-15T11:30:39Z
|
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| 525,265,336
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01/15/21 - Kingdom Possible
RG AUDIO 011521
Mark 10:17-31
My six-year-old daughter Hattie emptied her raccoon change purse on the kitchen counter. She exclaimed in her ever so sassy tone, "I am rich and I am gonna get richer!" She proceeded to tell me how she had taken change from the car, her brother's room, and even under every couch cushion. She was so very proud of every penny she had earned; I mean stolen. We chatted for a while about why she thought it was important to be rich. It was the perfect dad/pastor teaching moment.
We may not be swindling our siblings, but our minds might stray towards things of the world and away from the things of the kingdom. Being a disciple not only asks us to curb our worldview, but demands it. The disciples are shocked that being kingdom people is a difficult task. Why wouldn't Jesus welcome a man of wealth into the ranks with open arms and joyful heart? Because Jesus isn't looking for full pockets, He is looking for sacrifice. It is possible with King Jesus. All things are.
Author: Rachel Kuhn
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|
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| 49,177,982
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Cyber Security in the Office and at Home
Basic Tips and Advice
Keep a Clean Machine
- Keep security software current.
- Automate software updates to defend against known risks.
- Protect all devices that connect to the Internet. Including smartphones and gaming systems.
- USBs and other devices can be infected. Use security software on them.
Be Web Wise
- Stay up to date on latest security information.
- Think before you act. Don't click on anything that impmlore you to act immediately.
- Back up your work with an electronic copy and store it safely.
Protect Your Personal Info
- Lock down your login using security keys or codes.
- Make your passwords into sentences at least 12 characters long.
- Use separate passwords for every account.
- Write all passwords down and keep them in a safe spot.
Be A Good Online Citizen
- What is safe for you online secures the safety of others.
- Post online about others as you would want them to post about you. The Golden Rule applies here.
- Help the authorities fight cyber crime. Report stolen identities or other crimes.
Know your data. Control your data. Grow your business.
Connect with Care
- When in doubt throw out suspicious emails. Do not click on them.
- Don't let other share your wi-fi hotspots.
- Protect your Money when banking or shopping online. Only use security enabled sites.
Own Your Online Presence
- Protect all personal information like it is money.
- Be aware of what's being shared.Set privacy settings on your devices.
- Share with care. Think before posting about yourself and others online.
|
<urn:uuid:e65d67d5-e57b-4157-84ae-165332e261be>
|
CC-MAIN-2020-40
|
https://www.radiusbridge.com/wp-content/uploads/2020/03/RadiusBridge_Advice-for-Computer-Security-Everywhere.pdf
|
2020-09-23T10:25:46+00:00
|
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| 988,237,902
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WORLD TRADE
ORGANIZATION
(97-4136)
International Bovine Meat Agreement
TERMINATION OF THE INTERNATIONAL BOVINE MEAT AGREEMENT
Decision pursuant to Article VI:3
The International Meat Council (the "Council") representing the Parties to the International Bovine Meat Agreement (the "Agreement"),
Having reviewed the functioning of the Agreement in accordance with Article IV:1(b) thereof and as a follow-up to the report of the Council submitted to, and endorsed by, Ministers at the Singapore Ministerial Conference,
Recalling that the Agreement had entered into force on 1 January 1995 for a three-year period ending on 31 December 1997,
Noting that, according to Article VI:3 of the Agreement, its duration shall be extended for a second three-year period, unless the Council, at least eighty days prior to 31 December 1997, decides otherwise,
Recalling that Parties had expressed doubts with respect to the continued usefulness of this Agreement in the post-Uruguay Round trading environment,
Noting that, following the establishment of the WTO, trade policy-related matters affecting meat and meat products as well as other agricultural products were regularly addressed in the Committee on Agriculture and the Committee on Sanitary and Phytosanitary Measures,
Considering that the work of these Committees had clear priority over the work of the Council,
Noting that, as regards market information, Parties may, and increasingly did, rely on other sources of information, including information prepared by other national and intergovernmental bodies regularly evaluating meat market developments,
Considering the resource constraints faced by governments as well as the Secretariat,
Hereby decides:
(a) to terminate the International Bovine Meat Agreement at the end of 1997; and
(b) to request, in accordance with Article X:9 of the Marrakesh Agreement Establishing the World Trade Organization (the "WTO Agreement"), that the WTO Ministerial Conference delete the Agreement from Annex 4 of the WTO Agreement upon termination of the Agreement.
|
<urn:uuid:c58864f0-f1bf-415d-9420-618c058cf2fe>
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CC-MAIN-2024-10
|
https://docs.wto.org/dol2fe/Pages/SS/DirectDoc.aspx?filename=q%3a%2fpluri%2fima%2f8.pdf&
|
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| 200,890,178
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Communications Consumer Panel response to OFT's investigation into children's online games.
The Communications Consumer Panel welcomes this opportunity to respond to the OFT's investigation into children's online games.
Background
The OFT has launched an investigation into whether children are being unfairly pressured or encouraged to pay for additional content in 'free' web and app-based games, including upgraded membership or virtual currency such as coins, gems or fruit. Many children's web- and app-based games are free to sign up to or download. Typically, players can access only portions of these games for free, with new levels or features, such as faster game play, costing money.
The OFT investigation is exploring whether these games are misleading, commercially aggressive or otherwise unfair. In particular, the OFT is looking into whether these games include 'direct exhortations' to children - a strong encouragement to make a purchase, or to do something that will necessitate making a purchase, or to persuade their parents or other adults to make a purchase for them. This is unlawful under the Consumer Protection (from Unfair Trading) Regulations 2008.
As part of the investigation, the OFT will also consider whether the full cost of some of these games is made clear when they are downloaded or accessed, potentially leading to children and parents to make decisions they may not have made if prices were more transparently advertised at the start of the purchasing process.
The information will be used to understand business practices used in this sector, to establish whether consumer protection regulations are being breached and if so what the consumer harm is.
Response
The Communications Consumer Panel is an independent body of eight experts who work to protect and promote people's interests in the communications sector. We were established by the Communications Act 2003. The Panel carries out research,
provides advice and encourages Ofcom, Government, the EU, industry and others to look at issues through the eyes of consumers, citizens and small businesses.
The Panel pays particular attention to the needs of older people and people with disabilities, the needs of people in rural areas and people on low incomes, and the needs of small businesses, which face many of the same problems as individual consumers. There are four members of the Panel who represent the interests of consumers in England, Northern Ireland, Scotland and Wales respectively.
We note the following contextual evidence base:
According to Ofcom's 2012 Children and Parents: Media Use and Attitudes Report 1 games consoles connected to a television and handheld/ portable games consoles are the most commonly-used devices for children's gaming; used by at least half of all children in each age group. Around three in ten 5-7s (33%), two in five 8-11s (40%) and around two in five 12-15s (46%) ever play games using a computer, laptop or netbook.
Around one in ten 5-7s (13%), one in five 8-11s (18%) and three in ten 12-15s (34%) play games using a mobile phone. The proportion of 12-15s who ever play games using a mobile phone has increased since 2011 (34% vs. 23%). This is likely to be due to the increased uptake of smartphones among 12-15s, as two in five children with a smartphone ever play games on their phone (44%) compared to one in five with another type of mobile phone (20%). While less than one in ten children in any age group play games on a tablet computer, the proportion using this device for gaming has increased for each age group since 2011 (6% vs. 1% for 5-7s, 8% vs. 3% for 8-11s, 8% vs. 4% for 12-15s).
In relation to devices used for gaming by children aged 3-4, 35% use a hand held games console, 31% games console connected to a TV, 16% PC/ laptop/netbook, 8% mobile phone, 6% tablet computer, 3% portable media player. 47% do not play games at home on a gaming device. Among those children aged 3-4 who ever play games on devices at home, 9% play games online.
1 http://stakeholders.ofcom.org.uk/binaries/research/media-literacy/oct2012/main.pdf
This relatively high level of online gaming among children would suggest that there is a potential problem if in-app charging is opaque. A consequence of high internet usage among children may also be more exposure to undue inducements.
It is worth noting that Ofcom's research also found that forty-six per cent of parents agree with the statement: "My child knows more about the internet than I do". Agreement increases with each age group, with 22% of parents of a 5-7 yearold agreeing, 35% of parents of an 8-11 year-old and 67% of parents of 12-15s. In addition, 54% of 12-15s say that they know how to delete their online history and 26% say they have done this in the last year. Twenty-two per cent say they know how to disable any online filters or controls, while 8% say they have done this in the last year.
Recent research conducted by Ofcom has found that while there is high awareness of website terms and conditions / privacy statements among adults, only one in four (24%) internet users say they read these thoroughly, with the same proportion (24%) saying they never read them 2 . Also of note is that fact that UK adults are now more likely than in 2011 to think that internet content is regulated (44% vs. 40%) 3 .
Whilst the Panel does not have any specific evidence of harm in relation to in-app purchases, we have a concern that any evidence may well be hidden, inter alia because: consumers (parents and children) don't realise the cost implications; individual amounts could be relatively small, so consumers may feel it's not worthwhile querying or complaining; consumers (of any age, but especially children) may feel embarrassed or fearful about admitting they've unwittingly spent money in this way.
2 Media Use and Attitudes, Ofcom 2012 http://stakeholders.ofcom.org.uk/market-dataresearch/media-literacy/archive/medlitpub/medlitpubrss/adults-media-use-attitudes/
3 http://stakeholders.ofcom.org.uk/market-data-research/media-literacy/media-lit-research/adults2013/
Recent research conducted into Information, Connecting and Signposting Services for PhonepayPlus highlighted the experience of consumers who said that even where they had been misled and had lost money, they generally didn't complain for three main reasons:
They don't know who to complain to
They think it will be too much hassle
They feel "a bit stupid" for having called the number.
The lack of information on complaints and redress mechanism is of concern. Research by Consumer Focus found that, of those consumers who experienced a problem with digital content, the main reasons that 32% did not take action were uncertainty about how to obtain redress (60%) and the low value of the download (40%). Similarly, we are aware of a study by the Office of Fair Trading on consumer detriment that found that consumers are less likely to seek redress for low value transactions.
It is important to understand the context in which consumption of content occurs: a free game or app that later requires a purchase for it to be enjoyed fully could be potentially misleading. Therefore clear, up-front information about the basis of the app/game and all potential costs should be considered as a requirement. This is particularly important given the absorbing nature of many games. 'Spend alerts' could also be considered – particularly as notification of spend is not always instantaneous.
The OFT release refers to whether children are being "unfairly pressured or encouraged" to pay for additional content. We wonder whether those terms could be widened to include the question of whether children being unwittingly and unknowingly enticed?
It is also pertinent to consider the type of payment systems that games/app retailers use. If a product is targeting children and young people there is a question of whether the payment system should have a requirement that each individual purchase should require the account holder to re-input permissions
and/or account details – providing greater assurance that the account holder is aware of the nature and level of spend.
From a design point of view, we are also aware of the risk of inadvertent purchases being made due to the placement of in-app purchase buttons adjacent to a button to activate a feature of the app. Whilst we would obviously not wish to suggest mandating design principles, perhaps there should be some swift method for undoing accidental purchases?
The draft Consumer Rights Bill address the issue of consumers' right to get a repair or a replacement of faulty digital content such as film and music downloads, online games and e-books. In line with this system of redress for consumers, the returns policy for in-app purchases and method for lodging complaints should be clear. Action can then be taken should a number of complaints be received. Consumers in situations like these often feel alone and this only changes if you give them the confidence only strength in numbers provides.
In conclusion, we are pleased that the OFT is investigating this rapidly developing area, and suggest that this is an area that may require further research. We do not believe that in-app purchases should be banned. The important point is that consumers must be made aware of the nature and ultimate costs of an app; and in particular, children must be properly protected.
|
<urn:uuid:740f3cb1-9a11-426b-918d-184786374770>
|
CC-MAIN-2024-10
|
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|
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AAARGH REPRINTS
janvier 2006
RENVERSONS LES IDOLOCAUSTES !
Pouvoir juif
par Paul Eisen
Introducion de Silvia Cattori
Paul Eisen a du s'arracher pour écrire ce texte difficile et terrifiant. Paul Eisen, (comme quelques rares israéliens tel Gilad Atzmon, Ilan Pappe et Israël Shamir) a le courage et l'honnêteté intellectuelle d'aller au fin fond des questions qui se posent. Il ne supporte pas ce demi-soutien - le jeu des négociations, les accords d'Oslo. Genève, etc - qui a permis à Israël, d'arriver là où nous savons.
Je remercie Marcel Charbonnier d'avoir traduit un si important texte. Même si l'on ne partage pas tout ce que Paul Eisen dit, il nous permet de trouver des réponses rares, là où nous sommes dans le doute.
Force est de constater que les mouvements de solidarité nous ont désinformés ; en ce sens, ils n'ont pas fait mieux que les médias pour nous éclairer sur la réalité et les racines de cette guerre. Pire ! Ils n'ont jamais eu le courage de résister aux interventions des pro-israéliens qui avaient eux tout intérêt à "contenir" le mouvement et à envenimer le débat en faisant croire que les plus éclairés d'entre-nous étaient suspects de...
Il n'y a pas d'anti-juifs. Cela n'existe pas. Mais cela a servi à diviser et à écarter du débat les personnes les plus lucides : celles qui voyaient les manipulations destinées à nous affaiblir et à sauvegarder l'image de victime d'Israël pendant que les Palestiniens, eux, se faisaient massacrer.
N'ayez pas peur des mots vrais. N'ayez plus peur d'écouter la voix de ceux qui savent mieux que vous, qui voient avec justesse, et qui pour cette raison sont diabolisés. N'ayez pas peur d'être accusés d'antisémitisme ou autre, quand vous défendez leurs positions. Si nous sommes nombreux à résister aux calomnies, elles ne pourront plus rien contre nous.
C'est avec ces calomnies-là, que des associations, mi-figue mi-raisin, ont réussi à affaiblir le mouvement de solidarité. C'est à ce jeu là que se sont perdues les associations qui se sont laissées manipuler par plus forts qu'elles.
C'est aussi ces accusations là, qui ont frappé tant de personnes admirables et importantes pour mener la guerre des idées et contre les médias, qui ont permis à Israël de gagner sa guerre dehors aussi. Et que nul ne défend. Ceux qui tombent sont nos meilleurs alliés, dite-le vous bien une fois pour toutes.
Il n'est peut-être pas trop tard pour se ressaisir et voir avec lucidité. Donnons-nous la peine de lire ce que des personnes comme Paul Eisen, Michael Neumann,Israël Shamir, Ilan Pappé, chacun avec leur voix propre, ont fait l'effort de nous dire. Car écrire sur la guerre d'Israël et son allié US, dans cet univers de sourds, est un effort ingrat, colossal.
Toute personne qui travaille sur ce sujet, devrait lire ce texte qui couvre tous les aspects de ce difficile sujet. Les erreurs de compréhensions dans ce conflit ont déjà laissé trop de victimes sur le terrain.
Censurer ce texte, le retenir chez soi, par peur, serait malhonnête et faire un grand tort à ceux qui veulent mieux comprendre, mieux donner leurs forces aux opprimés palestiniens alors que les mouvements de solidarité peinent.
Nous ne devons regarder cette guerre inhumaine d'un point de vue humain. La religion qui est notre ne doit pas rentrer en considération.
Reconnaître ses faiblesses en toute humilité, faire confiance à ceux dont la pensée et de l'imagination peut nous tirer en avant est une urgence.
Les Palestiniens, (nous ne parlons pas de ceux à Ramallah, qui "collaborent" avec Israël pour quelques dollars et sont en train de former la police qui va arrêter les résistants, leurs frères), sont au fond du fond.
Nous devons cesser de faire le compte de nos succès. Nous avons lamentablement échoué. Et si on prétend défendre la cause des opprimés qui souffrent des injustices d'Israël et de toutes les trahisons de ceux qui prétendent ouvrer pour la paix, et bien commençons par comprendre, en toute modestie, pourquoi nous n'avons pas pu mieux défendre les Palestiniens.
31 août 2005.
Pouvoir juif
par Paul Eisen *
Traduit de l'anglais par Marcel Charbonnier
Le crime contre le peuple palestinien est en train d'être perpétré par un Etat juif dont les soldats juifs utilisent des armes ornées de symboles religieux juifs, avec l'entier soutien et la complicité de l'immense majorité des juifs organisés, de par le monde. Mais de là à désigner les juifs en tant que responsables de ce crime. : voilà pourtant qui semble impossible !
L'avenir est toujours ouvert, et rien ne peut jamais être écarté. Mais, pour l'instant, il est difficile d'entrevoir comment Israël pourrait être stoppé.
Depuis plus de cinquante ans, ils est clair qu'Israël ne relâchera son attitude exterminatrice envers les Palestiniens et l'existence palestinienne que lorsqu'il sera contraint à le faire. Cette nécessité ne saurait résulter d'une action militaire, et il est néanmoins difficile d'entrevoir de quelle manière quelque chose d'autre pourrait l'imposer. La croyance généralement admise - selon laquelle, si l'Amérique tournait le robinet à dollars, Israël serait mis à genoux est loin d'être prouvée. Tout d'abord, cela n'arrivera pas. Ensuite, ceux qui y croient sous-estiment vraisemblablement tant la cohésion de la société israélienne que la force de l'histoire juive qui l'imprègne. Encore plus invraisemblable est l'option militaire. La seule force, au monde, qui pourrait éventuellement réduire Israël, c'est l'armée américaine. Et, là encore, cela n'arrivera pas.
La résistance palestinienne nous surprendra toujours. Après plus de cinquante ans d'agression brutale par ce qui risque fort d'être considéré un jour comme l'une des puissances les plus impitoyables et irrationnelles des temps modernes, confronté à la coalition de la quasi totalité des puissances terrestres, les Palestiniens sont encore parmi nous, ils tiennent toujours bon, ils savent encore qui ils sont et d'où ils viennent ! Néanmoins, actuellement, la résistance effective est peut-être déjà derrière nous (bien que la possibilité d'une résistance non-violente ne puisse jamais être totalement écartée) et, pour l'instant, la seule stratégie qui s'offre encore à eux risque fort de n'être qu'une stratégie pour la survie.
Pour nous, il est tellement plus facile de nier cette réalité, plutôt que l'accepter, et sans aucun doute : le combat va continuer. Jusqu'à quel point ce combat sera-t-il fructueux, personne ne peut le prédire. Bien que le présent semble totalement désespéré, la survie est toujours vitale, et personne ne sait quand de nouvelles opportunités pourront se présenter. Quoi qu'il en soit, le combat contre l'injustice vaut toujours le coup d'être mené. Mais quid, si ce combat devient tellement décevant qu'il fait obstacle à la résistance, plutôt qu'il ne la seconde ? Quid si la lutte devient une manière d'éviter la réalité, plutôt que de l'affronter ? Ces slogans : « A bas l'occupation ! » et « Deux Etats, pour deux peuples » sont désormais rejoints par un nouveau slogan : « Une seule solution : un Etat unique ! ».
Ce sìogan est exactement aussi fantasmatique que ses prédécesseurs, parce que, de la même manière que l'occupation ne prendra jamais fin, et qu'il n'y aura jamais de véritable Etat palestinien, il n'y a pour l'instant, aucune
possibilité d'un quelconque « Etat unique » que l'Etat d'Israël, qui s'étend désormais de la Méditerranée au Jourdain, et la seule « solution » est une solution finale, laquelle - même elle - ne saurait être écartée du revers de la main.
« Le sionisme, ce n'est pas le judaïsme ; le judaïsme, ce n'est pas le sionisme ».
Le crime contre le peuple palestinien est en train d'être perpétré par un Etat juif dont les soldats juifs utilisent des armes ornées de symboles religieux juifs, avec l'entier soutien et la complicité de l'iímense majorité des juifs organisés, de par le monde. Mais de là à désigner les juifs en tant que responsables de ce crime. : voilà pourtant qui semble impossible ! Le passé est simplement trop terrible. Nous savons tous à quelle haine et à quelle violence ont conduit, dans le passé, les accusations portées contre les juifs. Aussi, si nous nous mettions à examiner d'un œil critique le rôle des juifs dans ce conflit, qu'en adviendrait-il de nous, et de notre combat ? Serions-nous étiquetés d'antisémites, perdant l'essentiel du soutien que nous avons tant peiné à conquérir ?
Le présent, lui aussi, est plein d'ambiguïtés. Le sionisme n'est pas le judaïsme ; le judaïsme n'est pas le sionisme : voilà qui est devenu un article de foi, répété comme un mantra, à l'infini, ainsi que l'assertion selon laquelle le sionisme serait une idéologie laïque, opposée, pour l'essentiel de son histoire, à l'immense majorité des juifs religieux et à laquelle s'opposent encore aujourd'hui des juifs véritablement respectueux de la Torah, tels ceux du mouvement Neturei Karta. Mais le sionisme est désormais au cœur de la vie juive, car il se trouve des juifs religieux parmi les sionistes les plus virulents. Et les Neturei Karta, en dépit de leur judaïsme impeccable, de leurs magnifiques discours et de l'enthousiasme avec lequel ils sont accueillis dans les meetings de solidarité, etc., risquent fort de n'être que des juifs de carnaval, à des années lumières de la réalité de la vie juive.
Et, quand bien même le sionisme pourrait être désolidarisé du judaïsme,pourrait-il être distingué d'une identité juive plus large, ou de la judéité ? Très souvent, le sionisme est donné comme un ajout moderne à l'identité juive, une nouvelle idéologie colonialiste de peuplement, fût-elle anachronique, à la seule différence qu'elle serait adoptée par des juifs, en réponse à leur vocation. Mais ne serait-ce pas plutôt que notre besoin d'échapper à l'accusation d'antisémitisme et nos propres perceptions et sentiments conflictuels, notre insistance à affirmer que le sionisme et la judéité sont disjoints, nous ont amenés à interpréter la situation de manière erronée ? Notre refus de regarder en face la judéité même du sionisme et ses crimes ne nous a-t-il pas empêché de comprendre exactement ce contre quoi nous nous battons ?
Les juifs, le judaïsme et le sionisme
Les juifs sont complexes ; l'identité juive est complexe et la relation entre le judaïsme, une religion, et une identité juive, ou judéité, plus large et souvent laïque, est véritablement très complexe. La judéité, cela peut s'expérimenter à l'écart de toute synagogue, de toute yeshiva [école talmudique] ou de tout autre aspect formel de vie juive religieuse. Et pourtant, elle n'en est pas moins
inextricablement liée au judaïsme. C'est la raison pour laquelle les juifs laïcs sont enclins à proclamer leur laïcisme au moins aussi fort qu'ils clament leur judéité. Marc Ellis, un juif religieux, dit que lorsque vous examinez ces juifs qui sont solidaires des Palestiniens, l'immense majorité d'entre eux sont laïcs mais, d'un point de vue religieux, l'Alliance les concerne tout autant. Pour Ellis, ces juifs laïcs sont peut-être porteurs de l'avenir de la vie juive, à leur insu, voire même à leur corps défendant.
L'identité juive, qui lie les juifs entre eux, provient des profondeurs de l'histoire juive. Il s'agit d'une histoire partagée, à la fois réelle et imaginaire, en ceci qu'elle est à la fois littérale et théologique. Beaucoup de juifs, en Occident, partagent une véritable histoire de vie commune en tant que peuple distinct, ayant vécu tout d'abord en Europe orientale ou centrale, puis en Europe occidentale et en Amérique. D'autres partagent une authentique histoire d'installation en Espagne, suivie d'une expulsion, puis d'une réinstallation un peu partout dans le monde, et en particulier dans les pays arabes et musulmans. Mais cela n'est peut-être pas ce qui unit tous les juifs, parce que cela n'est pas avéré pour tous les juifs, mais d'autres liens existent, qui peuvent être théologiques ou historiques. La plupart des Palestiniens, aujourd'hui, ont sans doute plus de sang hébreu dans leurs petits doigts que la plupart des juifs occidentaux n'en ont dans tout leur corps. Et néanmoins, l'histoire de la Sortie d'Egypte est aussi réelle, pour beaucoup d'entre eux, et - plus important - cette histoire a été aussi réelle pour eux, quand ils étaient enfants - que s'ils s'étaient personnellement trouvés, avec tous les juifs, en compagnie de Moïse lui-même, au pied du Mont Sinaï.
Et des histoires comme celles-ci ne s'arrêtent pas à l'époque contemporaine.
Même pour des juifs laïcs, il existe un sentiment, même s'ils ne le reconnaissent pas ou n'en ont pas conscience, non seulement d'une histoire en partage, mais aussi d'un destin commun. Le sentiment d'une mission axée sur l'exil et le retour est central dans l'histoire juive, tant religieuse que profane. Comment expliquer autrement la dévotion extraordinaire de si nombreux juifs, religieux et laïcs, envers le « retour » sur une terre avec laquelle, en termes réalistes, ils n'ont qu'un lien extrêmement ténu, et encore, lorsqu'ils en ont un ?
Pour bien des juifs, cette histoire leur confère une « spécificité ». Cela n'est pas unique aux juifs - après tout, qui, au plus profond de soi-même, ne se sent-il pas un tant soi peu différent d'autrui ? Mais, pour les juifs, cette spécificité est au centre de leur auto-identification, et la plupart des hommes, autour d'eux, semblent y apporter leur concours. Pour les juifs religieux, leur spécificité découle d'une alliance supposée avec Dieu. Mais pour les juifs laïcs, leur spécificité provient d'une histoire particulière.
Dans les deux cas, cela peut être une bonne chose, et même une très belle chose. Dans l'essentiel de la tradition religieuse juive, cette spécificité n'est pas autre chose qu'une obligation morale, qu'une responsabilité particulière, à offrir en exemple au monde, et pour beaucoup de juifs laïcs, cela les a conduits à lutter pour la justice, en beaucoup d'endroits, dans le monde entier.
Au cour de cette spécificité juive, il y a la souffrance et la victimitude juives. Comme l'histoire partagée elle-même, cette souffrance peut - mais pas nécessairement - correspondre à la réalité. Les juifs ont indéniablement souffert, mais leur souffrance demeure inexpliquée, car inexplorée. L'Holocauste, qui représente désormais le paradigme de la souffrance juive,
n'appartient plus depuis longtemps à l'histoire : il s'agit désormais d'un phénomène théologique, considéré comme tel aussi bien par les laïcs que par les religieux - presque un texte sacré - et il est, partant, au-delà de tout examen critique. Et la souffrance ne trouve jamais de fin. Quelque grande qu'ait été leur souffrance, les juifs ne souffrent pas, aujourd'hui, c'est une évidence. Mais, pour de nombreux juifs, leur histoire de souffrance n'est pas simplement un passé auquel on ne saurait rien changer ; c'est aussi un futur possible. Aussi, peu importe le degré de sécurité dont puissent jouir les juifs, beaucoup parmi eux ont le sentiment qu'ils ne sont qu'à un jet de pierre d'Auschwitz.
Le sionisme est au cœur de tout ceci. Le sionisme est, lui aussi, complexe, et il provient, lui aussi, du tréfonds de l'histoire juive, avec ce même sentiment d'exil et d'aspiration au retour. Le sionisme, lui aussi, confirme que les juifs ont une spécificité, dans leur souffrance, et il explique que les juifs doivent « retourner » sur une terre qui leur aurait été donnée - à eux, exclusivement par Dieu, s'ils sont croyants, ou par l'histoire, s'ils ne le sont pas et, cela, pour la « bonne » et simple raison qu'ils ne sauraient être en sécurité, où que ce soit, ailleurs, sur Terre.
Et alors, allez vous demander ? Si les juifs pensent qu'ils sont un peuple doté d'un lien avec une terre et s'ils ont un désir profond d'y « retourner », en quoi cela nous regarde-t-il, dès lors que cette terre ne serait pas déjà peuplée par les Palestiniens ? Et si les juifs ont le sentiment qu'ils sont spéciaux et que Dieu a conclu quelque marché spécial avec eux, où est le problème, dès lors que cela ne les amène pas à exiger de traitement préférentiel, ni à user de discrimination envers d'autres qu'eux-mêmes ? Et si les juifs ont le sentiment qu'ils ont souffert comme nul autre sur Terre, très bien, dès lors qu'ils n'utilisent pas leur souffrance afin de justifier la souffrance qu'ils imposent à d'autres, ni de manière à exercer un chantage moral sur le monde entier, en lui imposant un silence complice, sinon.
C'est bien là le problème, avec le sionisme. Il exprime l'identité juive, mais il lui donne aussi le pouvoir. Il dit aux juifs (et à beaucoup de non-juifs, aussi) que les juifs peuvent faire ce que les juifs ont toujours rêvé faire. Il s'empare des sentiments religieux parfaitement acceptables des juifs, ou si vous préférez, des illusions parfaitement inoffensives des juifs, et il s'efforce de les transformer en une réalité terrible. Les notions juives de spécificité, d'élection, voire même de suprématisme, sont parfaites, pour un petit peuple errant, mais lorsque ce peuple s'est doté d'un Etat, et d'une armée équipée d'avions de chasse F-16, elles deviennent préoccupantes pour chacun d'entre nous.
Le sionisme, en tant qu'accession des juifs à la nationalité, change tout. Israël n'est pas simplement un Etat comme les autres, c'est un Etat juif, et ceci signifie quelque chose de plus que simplement un Etat pour les juifs.
Cet Etat juif est édifié sur des traditions et des modes de pensée qui ont évolué, parmi les juifs, à travers les siècles - et parmi ces modes de pensées, se trouvent notamment les notions que les juifs sont particuliers et que leur souffrance est particulière. De leur propre aveu, les juifs sont une « nation qui vit à part », et pratique le « nous, et eux », et même, dans bien des cas, le « nous, ou eux ». Et ces tendances trouvent leur traduction dans l'Etat moderne d'Israël. Il s'agit d'un Etat qui ne connaît pas de frontières. D'un Etat qui croit, et utilise en guise de justification de ses propres agressions, en la notion que sa survie est en permanence en jeu, et que par conséquent tout et n'importe quoi est justifié afin d'assurer cette survie. Israël est un pays qui pense
manifestement que les règles tant juridiques qu'humanitaires applicables à tous les autres Etats ne s'appliquent tout simplement pas à son propre son cas.
Leur pire cauchemar, mais un cauchemar bien à eux.
Quelle terrible ironie, de constater que cette accession au pouvoir des juifs en est venu à ressembler comme deux gouttes d'eau aux avènements de ces pouvoirs sous lesquels les juifs ont souffert mille morts. Le christianisme au pouvoir, là aussi un mariage entre foi et puissance, a imposé son idéologie et poursuivi ses dissidents et ses ennemis avec une ferveur en rien supérieure à celle manifestée par le judaïsme au pouvoir.
Dans son zèle et sa confiance en lui-même, le sionisme en est venu à ressembler aux idéologies modernes les plus brutales et les plus implacables. Mais, à la différence du rationalisme brutal du stalinisme, prêt à sacrifier des millions d'êtres humains au nom de la révolution politique et économique, cette idéologie juive, dans son zèle et son irrationalité, s'apparente plutôt au national socialisme, qui a pourtant condamné des millions de personnes au nom de l'atteinte d'une suprématie raciale et ethnique insensée.
Bien sûr, il y a des différences. Mais il y a aussi des similitudes. Le national socialisme, comme le sionisme, autre alliage entre mysticisme et pouvoir, a acquis une crédibilité en tant que moyen supposé susceptible de redresser des torts infligés à un peuple victime. Le national socialisme, comme le sionisme, aspirait à maintenir la pureté raciale / ethnique d'un groupe humain déterminé et à maintenir les droits de ce groupe ethnique particulier au-dessus de ceux des autres peuples. Le national socialisme, comme le sionisme, a proposé, lui aussi, un attachement quasi mystique de ce groupe humain déterminé à un territoire particulier. De même, tant le social nationalisme que le sionisme avaient en partage un intérêt commun : séparer les juifs des non-juifs, dans ce cas particulier, en faisant partir les juifs d'Europe - et ils coopérèrent activement dans la poursuite de ce but.
Et si la similarité entre ces deux idéologies est tout simplement trop profonde et trop amère pour être admise, on peut se demander de quoi le national socialisme, avec ses uniformes, ses oriflammes et sa jeunesse enrégimentée avait l'air, aux yeux des Allemands désespérés par les accords de Versailles et les ravages subis par l'Allemagne du fait de la Première guerre mondiale ? Sans doute l'image qu'ils en eurent n'était pas si différente de celle retirée des uniformes, des oriflammes et de la jeunesse au pas cadencé de l'Etat pré- et post-sioniste par les juifs, après leur histoire faite de souffrances, en particulier après l'Holocauste.
Il s'agit là, pour les juifs, de leur propre pire cauchemar : ce qu'ils aiment le plus au monde est devenu ce qu'ils haïssent par-dessus tout. Quant à ces juifs, et d'autres aussi, qui pâlissent en comparaison, laissons-les se poser eux-mêmes la question suivante : qu'est-ce qu'un Allemand moyen, quand bien même eût-il été un nazi fanatique, aurait dit, par exemple en 1938, si vous aviez évoqué devant lui la possibilité d'un Auschwitz ? A ses yeux, vous auriez passé pour dément !
Les juifs américains et l'Amérique juive
Au cour du conflit, il y a la relation entre Israël et l'Amérique. Il est inutile de rappeler ici les statistiques - des milliards de dollars d'aides et de prêts, les
veto américains automatiques à l'ONU,etc. - le soutien américain à Israël semble sans limite. Mais quelle est la nature de ce soutien ? Pour beaucoup de gens, sans doute la majorité, la réponse est relativement simple. Israël est un Etat client de l'Amérique, et cet Etat sert les intérêts américains ou, plus précisément, les intérêts de ses élites au pouvoir. Cette vision des choses est sous-tendue par l'importance évidente du pétrole, l'énorme importance stratégique de la région du Moyen-Orient et le fait que, si Israël ne défendait pas les intérêts des gens qui contrôlent l'Amérique, alors nous pourrions être certains que l'Amérique ne soutiendrait pas Israël. Aussi nul doute que l'Amérique ait trouvé dans les Forces israéliennes « de défense » une armée merveilleusement souple et efficace, aisément mobilisable et excitable, et qu'on peut laisser se déchaîner à loisir, dès lors qu'un quelconque groupe d'Arabes se monterait un peu trop le bourrichon.
Mais est-ce là toute l'histoire ? Israël sert-il réellement les intérêts de l'Amérique, et leur relation est-elle entièrement fondée sur ces intérêts partagés ? Considérons l'immensité des pertes, en terme de bonne volonté de la part d'autres pays, accusées par l'Amérique en raison de son soutien à Israël, et considérons la puissance et l'influence du lobby « juif », « sioniste » ou « proisraélien » (comme on voudra), qui fait que beaucoup de législateurs généralement responsables, confrontés à la perspective d'une intervention du lobby juif susceptible de leur faire remporter les prochaines élections, semble trop heureux de placer leurs perspectives de réélection très au-dessus de ce qui serait simplement « bon, pour l'mérique ».
Les détails, qui filtrent, de temps à autre, sur les agissements de l'Aipac (et d'autres officines) et les mécanismes grâce auxquels ces groupes exercent des pressions sur les législateurs et les gouverneurs américains, ont été traités ailleurs ; nous voulons simplement relever ici que ce groupe de pression est sans aucun doute extraordinairement efficace et qu'il rencontre beaucoup de succès. Il ne s'agit pas simplement de petits groupes de juifs favorables à Israël, comme leurs financeurs et soutiens voudraient nous le donner à accroire : il s'agit d'idéologues, puissants et motivés : des multimilliardaires, des magnats des médias, des hommes politiques, des activistes et des leaders religieux. Quoi qu'il en soit, le capacité du lobby juif à bâtir - ou à démolir - toute personnalité publique est légendaire - ce n'est pas pour rien qu'on y fait le plus souvent référence en utilisant l'expression elliptique « The Lobby » [Le Lobby, par excellence].
Mais, là encore, il y a sans doute bien plus, dans les relations israéloaméricaines, qu'une simple communauté d'intérêts et l'efficacité de certains groupes de pression. Le fait que le soutien d'Israël serve nécessairement les intérêts des gens qui contrôlent l'Amérique est certainement la réalité, mais : qui contrôle l'Amérique ? Sans doute, la véritable relation n'est-elle pas entre Israël et l'Amérique, mais entre les juifs et l'Amérique.
L'écrasante majorité des juifs, en Amérique, vivent leur vie, exactement comme le font tous les Américains, non-juifs. Ils sont aisés, et ils sont indubitablement satisfaits de voir l'Amérique soutenir leurs coreligionnaires juifs en Israël, mais les choses s'arrêtent là. Néanmoins, un groupe considérable de juifs contrôle une partie considérable de l'Amérique - oh, bien sûr, pas les muscles industriels de l'Amérique, tels la sidérurgie, les transports, etc., ni le pétrole et les industries de l'armement, ces usines à fric traditionnelles. Non, si les juifs ont une influence, quelque part, en Amérique, ce n'est ni sur les muscles ni sur les tendons, mais plutôt sur le sang et le cerveau. C'est dans la finance et
les médias que nous trouvons beaucoup de juifs à des positions extrêmement stratégiques. Les listes abondent (bien que vous deviez consulter des sites ouèbes particulièrement sulfureux pour les trouver) de juifs éminents dans la finance et la vie culturelle : Les juifs dans le secteur bancaire, Les juifs figurant dans la liste des Américains les plus fortunés, établie par Forbes Magazine ; les juifs d'Hollywood ; les juifs de la télévision ; les journalistes, écrivains, critiques juifs, etc.
Les juifs n'ont pas été particulièrement manchots lorsqu'il s'est agi d'exploiter leur position. Ils n'ont pas hésité à utiliser les moyens (quelsqu'ils fussent) dont ils disposaient pour assurer la promotion de leurs intérêts bien sentis. Inutile d'adhérer à une quelconque théorie du complot pour remarquer combien il est naturel, pour un juif des médias, de faire la promo des juifs et de leurs valeurs, qu'ils présentent comme positifs et dignes d'être imités. Qui, parmi vous, a vu dernièrement un juif présenté sous un jour autre que favorable ? Les juifs sont intelligents, moraux, intéressants, trépidants, chaleureux, futés, complexes, éthiques, contradictoires, prophétiques, insupportables, parfois passablement irritants, mais toujours formidablement séduisants. Pas étonnant, dès lors, si les juifs occupant des positions enviables sont enclins à faire la promotion de ce qu'ils pensent être les intérêts collectifs des juifs. N'est-il pas tout simplement incroyable que les conseillers juifs qui entourent la présidence américaine aient les intérêts d'Israël à l'esprit lorsqu'ils prodiguent leurs conseils en matière de politique étrangère au président américain ?
Mais bon. Ainsi, il y a beaucoup de juifs qui ont beaucoup d'argent, et beaucoup de juifs qui ont beaucoup de choses à dire et aussi les moyens de les dire et d'être entendus. Si les juifs, en vertu de leur capacité à utiliser des ressources (gagnées tout aussi honnêtement que celles des autres), font la promotion de ce qu'ils perçoivent être leur propre intérêt collectif, qu'y a-t-il à redire à cela ? Tout d'abord, à de rares et notables exceptions, la grande majorité des juifs peuvent, en toute bonne foi, mettre la main sur leur cœur et jurer qu'ils n'ont jamais pris la moindre décision, ni entrepris la moindre action, en ayant à l'esprit des intérêts collectifs juifs, en tout cas, certainement pas consciemment. Et même si c'est le cas, ils ne se comportent pas différemment de tout un chacun. A quelques exceptions près, les juifs ont gagné durement leurs positions avantageuses. Ils sont partis de rien, ils ont joué en respectant les règles du jeu, et s'ils utilisent leur influence afin de promouvoir ce qu'ils pensent être des intérêts juifs, qu'y a-t-il là de si répréhensible ?
Les Polonais, les Ukrainiens, le lobby des armes, les évangélistes chrétiens, n'œuvrent-ils pas, eux aussi, à l'avancement de leurs intérêts spécifiques ?
La différence, entre les juifs et les autres groupes, c'est que les juifs le font probablement mieux que les autres. Les juifs sont, en fonction de quasiment la totalité des critères, le groupe ethnique qui réussit le mieux aux Etats-Unis et, quelle qu'en soit la raison, ils sont depuis longtemps extraordinairement doués lorsqu'il s'agit d'assurer leur auto-promotion, tant individuelle que collective. Et ils n'y aurait probablement rien à redire à cela, si ce n'est le fait que ces mêmes personnes qui exercent une telle influence et un tel contrôle sur la vie américaine sont aussi celles qui semblent refuser d'être tenus de rendre des comptes. C'est subrepticement que les juifs sont perçus comme ayant atteint le succès, ce qui soulève des soupçons. Les juifs, c'est le moins qu'on puisse en dire, se montrent particulièrement chatouilleux sur le chapitre de l'influence qu'on leur prête ou qu'ils ont véritablement. Prononcez simplement l'expression « pouvoir juif », et vous verrez la réaction ! Ils affirment que cette susceptibilité
tient au fait que cette accusation a souvent été utilisée à leur encontre, et qu'elle a été le signe annonciateur de discriminations et de violences dirigées contre eux, mais ils ne prennent jamais en considération la possibilité que leur propre réticence à discuter du pouvoir qu'ils détiennent puisse susciter des soupçons, voire même de l'hostilité à leur encontre.
Et puis il y a cette autre allégation, plus subtile, et aussi plus inquiétante. C'est celle selon laquelle ce pouvoir n'existerait pas ; les juifs ne détiendraient aucun pouvoir ; il n'y aurait pas de lobby juif ; les juifs en Amérique n'exerceraient aucun pouvoir et aucune influence afin de promouvoir des intérêts juifs, et même que des intérêts juifs, cela n'existe pas ! Il n'y a pas d'intérêts juifs impliqués dans la guerre en Irak, il n'y a pas d'intérêts juifs en Amérique ; plus étonnant encore, il n'y a pas d'intérêts juifs non plus, ni en Israël, ni en Palestine ! Il n'existe pas de collectif juif. Les juifs n'agissent pas collectivement afin de promouvoir leurs intérêts. Ils disent même que le lobby pro-israélien n'a en réalité pas autant à voir qu'on le dit avec les juifs, que la judéité d'Israël n'a aucune importance et que les Comités pour les Affaires Publiques [Public Affairs Committees - PACs) qui font un lobby effréné en faveur d'Israël ne font rien de plus, en réalité, que soutenir un allié, et par conséquent veiller aux intérêts bien sentis de l'Amérique, allant même jusqu'à dissimuler leur véritable objectif sous des noms d'emprunt d'organismes tels « American for Better Citizenship » [Les Américains pour une meilleure citoyenneté], « Citizen's Organized PAC » ou encore « National PAC » - dont aucun ne fait la moindre allusion, dans sa raison sociale, ni à Israël, ni au sionisme, ni aux juifs. De même, les juifs et les organisations juives sont censés faire la promotion non tant des valeurs et des intérêts juifs qu'américains, voire universels. Ainsi, le plus grand musée de l'Holocauste, présenté comme « Musée de la Tolérance », met l'accent non seulement sur l'antisémitisme, mais sur toutes les formes d'intolérance connues de l'humanité (excepté celle dont des juifs font preuve envers les non-juifs, en Israël et en Palestine.). De même, l'Anti-Defamation League ne serait rien d'autre qu'une organisation visant à assurer la promotion des principes universels de tolérance et de justice, non seulement en ce qui concerne les juifs, mais pour tout le monde.
Cette convergence entre intérêts juifs et américains n'est nulle part plus éclatant que dans le domaine de la politique extérieure américaine actuelle. Si jamais un tableau a pu évoquer puissamment une conspiration mondiale juive, c'est bien le spectacle donné par les néocons juifs assemblés autour de la présidence actuelle et dirigeant sa politique au Moyen-Orient. Mais on nous dit que le fait que les néocons juifs soient si nombreux à avoir des liens avec des formations de droite en Israël et à être aux premières lignes pour inciter (l'administration américaine) à (adopter) une politique pro-israélienne n'est pas autre chose qu'une simple coïncidence, et toute suggestion que ces personnages puissent être influencés par leur judaïté et leurs liens avec Israël est immédiatement repoussée du revers de la main : elle ne saurait relever que des mythes antisémites surannés concernant la loyauté duplice des juifs. L'idée que l'intervention américaine en Irak, seule véritable contrepoids militaire à l'hégémonie israélienne au Moyen-Orient, et, partant, instigateur de la résistance palestinienne, serve essentiellement des intérêts israéliens, bien avant les intérêts américains, a été elle aussi consignée dans le monde succube des mythes antisémites médiévaux. La suggestion que ces juifs, dans l'entourage du président américain, agissent poussés par des motivations autres que la promotion des intérêts de l'ensemble des Américains, voilà qui n'est pas autre
chose que de la diffamation antisémite. Et peut-être ont-ils raison. Peut-être ceux qui assurent la promotion des intérêts juifs sont bien, en fait, en train de défendre des intérêts américains, dès lors que, tout au moins pour l'instant, ils semblent ne faire qu'un.
La Juimérique
A Washington, District of Columbia, on peut admirer un mémorial immortalisant une terrible tragédie. Non pas un mémorial dédié à une tragédie infligée par une puissance étrangère aux Américains, comme à Pearl Harbour, ou encore les attentats du 11 septembre 2001. Non pas un mémorial dédié à une tragédie infligée à des Américains par des Américains, comme la mise à sac de la ville d'Atlanta. Non pas un mémorial de contrition pour une tragédie infligée par des Américains à un autre peuple, tels l'esclavage ou l'histoire de la discrimination raciale en Amérique. Rien de tout cela. Le mémorial de l'Holocauste est là pour rappeler une tragédie infligée à des gens qui n'étaient pas Américains, par des gens qui n'étaient pas Américains, et en un lieu très très éloigné de l'Amérique. Et les coreligionnaires, ou même, si vous voulez, les concitoyens de gens auxquels cette tragédie fut infligée et auxquels le mémorial est dédié représentent environ 2 % de la population américaine. Comment se fait-il qu'un groupe de personnes qui représentent un pourcentage tellement minime de la population américaine générale puisse imposer un respect et une prévenance tels qu'un monument leur soit dédié au cour symbolique même de la vie nationale américaine ?
Le narratif juif occupe désormais le centre de la vie américaine, en tous les cas, avec certitude, de celle des élites culturelles et politiques de l'Amérique. Il existe, quoi qu'il en soit, beaucoup de choses, dans la façon dont les Américains veulent se voir et voir leur histoire, qui est tout à fait naturellement compatible avec la manière dont les juifs se perçoivent eux-mêmes et dont ils perçoivent leur histoire. Pourrait-il y avoir paradigme plus adéquat, pour un pays fondé sur l'immigration, que l'histoire d'immigration massive des juifs à la fin du dixneuvième et au début du vingtième siècles ? Pour beaucoup d'Américains, l'histoire de ces juifs venus vers leur Goldenes Medina, comme ils disent en yiddish, vers leur Eldorado, démunis de tout, et parvenus, à force de travail acharné et de persévérance, au top niveau même de la société américaine, c'est aussi leur propre histoire. Et pourrait-il y avoir meilleur sujet d'inspiration, pour un pays (sinon officiellement, en tous les cas viscéralement et profondément chrétien) que l'histoire des juifs, le peuple même de Jésus, et le peuple élu de Dieu, retournant dans son ancienne patrie et la transformant en un Etat moderne ? Et pour une nation qui se perçoit comme un phare de démocratie illuminant le monde, quelle meilleure âme-sœur que l'Etat d'Israël, qui passe largement pour « la seule démocratie au Moyen-Orient » ?
Enfin, quelle plus éclatante validation, pour un pays lui-même fondé sur une narration de conquête et d'épuration ethnique que le narratif biblique de la conquête et de la purification ethnique de la Terre promise, à laquelle vient se surimposer la colonisation tout aussi violente de la Palestine moderne, avec sa propre épuration ethnique, suivie du « refleurissement du désert » ?
Bien sûr, la notion de peuple juif = peuple souffrant a encore bien plus de résonances. Le fait que ce « peuple souffrant » jouisse aujourd'hui d'un succès qui va bien au-delà des rêves les plus fous d'un quelconque autre groupe ethnique aux Etats-Unis semble n'avoir aucune espèce d'importance.
Tout aussi ignorée est la manière dont les juifs américains sont parvenus à accéder au sommet du sommet de la société américaine, tout en se plaignant, tout au long de leur ascension, de la manière dont ils ont fait l'objet de discrimination. Néanmoins, pour l'Amérique, les juifs ont connu une histoire ininterrompue de souffrances et de victimitude. Mais cette histoire a, il est vrai, rarement été étudiée, voire même débattue.
Un peuple souffrant
Le fait que les juifs aient souffert est indéniable, mais la souffrance juive est présentée comme ayant duré si longtemps, comme ayant été si intense et si particulière qu'elle doit être tenue pour différente de toute autre souffrance. Ce sujet est complexe et ne saurait être débattu de manière exhaustive ici, mais les points suivants sont susceptibles de susciter la discussion et de stimuler le débat.
Même au plus fort des périodes les plus terribles de la souffrance juive, telles les Croisades ou les massacres de Chmielnitzky, dans l'Ukraine du dixseptième siècle, et encore plus à d'autres époques historiques, il a été dit que le paysan moyen aurait donné ce à quoi il tenait par-dessus tout pour pouvoir devenir juif. La signification de ceci est évidente : d'une manière générale, au travers de la plus grande partie de leur histoire, la condition des juifs fut le plus souvent supérieure à celle de la masse de la population.
Les massacres ukrainiens auxquels nous avons fait allusion sont intervenus dans le contexte d'une révolte paysanne contre l'oppression imposée aux paysans ukrainiens par leurs seigneurs féodaux polonais. Comme cela fut souvent le cas, les juifs furent perçus comme occupant une position coutumière consistant à être alliés à la classe dirigeante, et participant de ce fait à l'oppression des paysans. Chmielnitzky, le chef de cette insurrection populaire, est aujourd'hui célébré comme le héros de la nation ukrainienne, non pas pour ses assauts contre les juifs (on fait même souvent allusion au fait qu'il avait offert à des juifs pauvres de se joindre à l'insurrection paysanne afin de participer au combat contre leurs coreligionnaires exploiteurs - offre que les juifs déclinèrent), mais pour sa défense des droits des Ukrainiens opprimés. Là encore, l'inférence est simple : des explosions de violence antisémite, même si elles ne sauraient jamais être justifiée, ont bien souvent été des réponses face au comportement juif, tant concret qu'imaginaire.
Dans l'Holocauste, trois millions de juifs polonais ont péri, mais il en alla de même pour trois millions de Polonais non-juifs. Des juifs furent pris pour cibles, mais il y eut aussi des Tziganes, des homosexuels, des Slaves, principalement des Polonais. De même, l'Eglise a brûlé les juifs en raison de leurs croyances non conformes au dogme. Mais l'Eglise a brûlé de la même manière quiconque entretenait des croyances non conformes. Aussi, là encore, il faut poser la question suivante : qu'a donc la souffrance juive de tellement spécial ?
L'Holocauste, ce paradigme de tout l'antisémitisme et de toute la souffrance juive, est traité comme s'il était au-delà de tout examen et de toute critique. Remettre en question la narration de l'Holocauste, est , dans le meilleur des cas, socialement inacceptable. Cela conduit souvent à l'exclusion et à la discrimination sociales et, au pire, dans certains pays, cela est illégal et entraîne de très lourdes sanctions pénales. Les spécialistes du révisionnisme de
l'Holocauste, généralement qualifiés de négationnistes de l'Holocauste par leurs détracteurs, ont relevé le défi.
Ils ne dénient pas la réalité d'un assaut brutal et extensif du régime nazi sur les juifs, mais ils rejettent une narration de l'Holocauste telle celle qui est présentée de nos jours par les establishments et les élites. Plus spécifiquement, leur déni se limite à trois aires principales. Tout d'abord, ils dénient l'existence d'un quelconque projet, chez Hitler, ou n'importe quel autre responsable du parti nazi, d'éliminer physiquement et systématiquement tous les juifs d'Europe ; ensuite, ils dénient l'existence de quelconques chambres à gaz à usage d'extermination d'hommes ; enfin, ils affirment que le nombre des victimes juives de l'agression nazie a été fortement magnifié.
Mais là n'est pas la question. Que ceux qui mettent en doute le narratif de l'Holocauste soient des universitaires révisionnistes aspirant à trouver la vérité et scandaleusement persécutés pour avoir osé s'opposer à une faction puissante, ou qu'il s'agisse de fous haïssant les juifs, qui dénient une tragédie tout en en diffamant les victimes bien réelles, demeure le fait qu'il est tout à fait loisible de remettre en question le génocide arménien, que l'on peut discuter librement du commerce des esclaves, qu'on peut affirmer que l'assassinat de millions d'Ibos, de Cambodgiens et de Rwandais n'a jamais eu lieu et que la lune n'est pas autre chose qu'un morceau de gruyère géant flottant dans l'espace, mais qu'on ne saurait mettre en doute l'Holocauste juif. Pourquoi ? Parce que, comme le reste de l'histoire de la souffrance juive, l'Holocauste sous-tend le narratif de l'innocence juive, qui est utilisé afin de leurrer et d'aveugler toute tentative de voir et de comprendre ce que sont tant le pouvoir juif que la responsabilité juive en Israël / Palestine, et ailleurs, dans le monde.
Le pouvoir juif : qu'est-ce qu'un juif ?
L'écrivain israélien, originaire de Russie, Israël Shamir, est partisan du droit qu'ont toutes les personnes, quelle que soit leur ethnie ou leur religion, à vivre ensemble en totale égalité entre la mer Méditerranée et leJourdain. Shamir condamne le comportement d'Israël et de la diaspora juive, et il en appelle à ce qu'un terme soit mis à leur traitement préférentiel, mais il propose, également, une opposition au judaïsme lui-même, raison pour laquelle il est accusé d'anti-judaïsme - accusation qu'il ne dénie nullement, puisqu'en réalité, il la revendique.
Shamir pose l'existence d'une idéologie juive, qu'il appelle le « paradigme juif », et il suggère que c'est l'adhésion volontaire à cet « tournure d'esprit » qui fait d'un juif qu'il est juif. Pour lui, la judaïté n'est ni une race, ni une ethnicité pour Shamir, il n'existe pas de « tribu » ni de « famille » juives - il ne s'agit donc pas d'un corps biologique ou ethnique d'où nul ne saurait se libérer. De plus, cette idéologie (juive), basée sur des notions d'élection, d'exclusivisme voire même de suprématisme est, tout au moins lorsqu'elle s'est emparée du pouvoir, incompatible avec la paix, l'égalité et la justice en Palestine, ou n'importe où, d'ailleurs.
Il ne viendrait à l'idée de personne de s'opposer à un quelconque juif pour la simple raison qu'il est juif, ni même en raison de ses croyances. Cette opposition ne saurait concerner que ce que ce juif fait. Le problème étant que, dès lors, comme le dit Shamir, que ce que les juifs pensent et même font est précisément ce qui fait d'eux des juifs, l'opposition à la judaïté en tant qu'idéologie se rapproche dangereusement de l'hostilité envers les juifs en
raison du simple fait qu'ils le sont. Mais, pour Shamir, les juifs sont juifs parce qu'ils choisissent d'être juifs. On peut être né de parents juifs et avoir été élevé dans les traditions juives, mais on peut toujours, si on le veut, rejeter cette éducation juive et devenir un non-juif. Et c'est ce que beaucoup de juifs ont fait, dont des renégats aussi célèbres que Karl Marx, Saint Paul, Léon Trotsky (et Israël Shamir lui-même.). L'opposition aux juifs n'a donc rien de comparable à l'hostilité envers les Noirs ou les Asiatiques, ou à n'importe quelle autre attitude raciste, dès lors que ceux qui font l'objet de ce rejet sont parfaitement à même d'abandonner l'idéologie dont il est question.
Jamais Shamir n'a appelé d'aucune manière que ce soit à ce qu'il soit fait du mal à des juifs ou à quiconque d'autre, ni à ce que des juifs ou qui que ce soit d'autre fassent l'objet d'une quelconque forme de discrimination. L'adhésion à cette idéologie juive est, pour Shamir, regrettable, mais elle ne constitue pas, en elle-même, un motif pour une opposition active. Cela ne signifie pas non plus que Shamir s'opposerait à tout individu juif pour la simple raison qu'il s'agirait d'un juif ou d'une juive. Non. Ce à quoi Shamir objecte activement, ce n'est pas aux « juifs », mais c'est à la « juiverie ». Dans la même acception que l'Eglise catholique, la juiverie consiste en ces juifs organisés avec leurs dirigeants, qui font la promotion active d'intérêts et de valeurs juifs corrosifs, en particulier, aujourd'hui, ceux qui contribuent à l'oppression des Palestiniens.
Nul besoin d'être d'accord à cent pour cent avec Shamir pour comprendre ce dont il nous parle. Pourquoi les juifs n'auraient-ils pas une « mentalité » ? Arès tout, un concept tel que celui-ci a bien été évoqué et étudié, concernant toutes les autres nations ? « Il est dangereux, il est erroné, de parler « des Allemands », ou d'un quelconque autre peuple, comme s'il s'agissait d'une unique entité indifférenciée, qui inclurait tous les individus dans une même appréciation.
Et pourtant, je ne pense pas que j'irais jusqu'à nier qu'il existât une mentalité propre à chaque peuple (sinon, ce peuple ne serait pas un peuple) : une Deutschtum, une italianité, une hispanité : ce sont les sommes de traditions, de coutumes, d'histoires nationales, de langues et de cultures. Quiconque ne ressent pas en lui-même cet esprit, cette mentalité, qui est national(e) au meilleur sens de ce terme, non seulement n'appartient pas complètement à son propre peuple, mais n'est pas non plus partie de la civilisation humaine. Par conséquent, autant je considère insensé le syllogisme « Tous les Italiens sont des passionnels ; vous êtes Italien, donc, vous êtes un passionnel », autant je pense légitime, dans certaines limites, d'attendre des Italiens, pris dans leur ensemble, ou des Allemands, etc., un comportement spécifique, collectif, plutôt qu'un autre. Il y aura certes des exceptions individuelles, mais une prévision prudente, probabiliste, est à mon avis possible. » (Primo Levi)
Et, s'agissant des juifs, cette analyse est sans doute encore plus appropriée. La place du judaïsme, en tant qu'idéologie, au centre de l'ensemble de l'identité juive peut être débattue, mais peu de gens contesteraient l'idée que le judaïsme soit au minimum au centre historique de la judaïté, et, quels que puissent être par ailleurs les liens éventuels qui lient les juifs entre eux, il est certainement vrai que la religion joue un rôle important. Ensuite, pour un groupe de personnes qui ont acquis une telle identité collective extrêmement forte, sans avoir jamais partagé l'occupation d'un même territoire, d'une même langue, ni même, dans bien des cas, une même culture, il est difficile d'envisager ce qu'il
pourrait y avoir d'autre, qui fasse que les juifs sont des juifs. Assurément, pour des juifs, en l'absence d'autres facteurs, plus évidents, c'est précisément une telle mentalité qui les a rendu capables d'acquérir leur identité distinctive, depuis si longtemps, et en dépit d'une telle adversité.
Mais, s'il existe bien une quelconque forme d'esprit juif ou d'idéologie juive, de quoi s'agit-il ? En ce qui concerne le judaïsme, je parle ici de la religion, il semble tout à fait clair qu'il y a une idéologie, fondée sur l'élection d'Israël par Dieu, cette relation spéciale que les juifs sont supposés entretenir avec Dieu, et la mission spéciale confiée aux juifs par Dieu. Aussi, pour les juifs pratiquants, il existe une qualité spécifique, intrinsèque à l'alliance et au judaïsme même, bien qu'ils ne soient pas tous unanimes à trouver cette qualité particulièrement enthousiasmante :
« Il existe une tendance, dans la pensée juive, qui dit qu'il y aurait quelque chose de spécial, de Divin, ou autre, qui se serait transmis à travers les générations, formant une certaine lignée génétique, et qui confèrerait une qualité particulière à des gens, et que, par conséquent, la judaïté serait une qualité spéciale. Pour ma part, j'appelle ça du racisme métaphysique ».
Le rabbin Mark Solomon.
Mais s'il est aisé de constater un tel esprit partagé chez les juifs religieux après tout, n'est-ce pas précisément cet esprit qui fait d'eux des religieux ? - il est beaucoup plus difficile, en revanche, de le définir chez les juifs laïcs, ces juifs qui rejettent, souvent d'une manière on ne saurait plus vocale, tous les aspects de la foi juive. Ils clament bien souvent qu'ils n'ont pas d'idéologie, ou que leur idéologie est une idéologie, disons, de gauche : non seulement cette idéologie n'aurait rien de juif, mais elle serait même opposée à toutes les religions, le judaïsme compris. Cependant, tout en étant en apparence aussi libres de toute cette superstition ignorante, ces mêmes personnes n'en continuent pas moins à se définir comme juives, et dans bien des cas, elles épousent d'autres juifs et continuent à assister à des réunions de solidarité, auxquels n'assistent que des juifs, sous des bannières exclusivement juives. Leur idéologie ne serait-elle pas un petit peu juive, sur les bords ?
Pour moi, il s'agit d'exactement le même sentiment de spécificité que celle que l'on trouve chez les juifs, mais avec une référence spéciale à la victimitude. « Oui, mais seulement au sens hitlérien du terme », répondit le philosophe Maxime Rodinson [= en fait, linguiste et historien] après qu'on lui eut posé la question de savoir s'il se considérait comme juif. Pour beaucoup de ces juifs-là, c'est leur identité de peuple menacé et victimisé qui fait d'eux des juifs. « Hitler a dit que j'étais juif, alors pourquoi ne serais-je pas juif, après tout ? » est une réponse, ou encore « Etre juif, quelque part, cela revient à dénier une victoire à tous ceux qui ont pu persécuter des juifs, à travers l'histoire - aussi : je suis juif ! » Pour ces juifs, bien qu'ils soient totalement étrangers à la vie religieuse juive, et même à la vie communautaire juive, le célèbre 614ème commandement post-holocaustique (à ajouter aux 613 commandements classiques) créé par Emil Fackenheim : « Tu survivras ! » est un impératif absolu. Mais, quelle que soit la raison, cette auto-identification va vraiment très profondément en eux. Parmi ces juifs, peu importe à quel point ils peuvent être de gauche ou progressistes, vous pouvez critiquer Israël à la puissance N, vous pouvez vous moquer de l'establishment juif, vous pouvez même dénigrer effrontément la religion juive, mais dérogez ne serait-ce que d'un iota à la ligne du parti en
matière d'antisémitisme et de souffrance juive, et vous aurez droit à une soufflée dans les bronches. Pour ces personnes pourtant rationnelles, la souffrance juive et l'antisémitisme sont tout aussi inexplicables, mystérieux et, partant, tabous qu'ils le sont pour n'importe quel juif religieux.
La sécularité juive est souvent citée à titre de preuve qu'il n'existerait pas d'identité juive agglutinée autour d'une quelconque idéologie partagée. Après tout, si tous les juifs adhèrent à la même idéologie fondamentale, comment se fait-il donc que des juifs aussi nombreux, de toute évidence, n'y adhèrent pas ? Et si tous les juifs défendent essentiellement les mêmes intérêts, comment se fait-il qu'ils soient si nombreux, de toute évidence, à ne pas le faire ? Mais est-ce si évident ? Non seulement des juifs laïcs, très souvent, semblent bel et bien adhérer à des notions juives telles l'élection, la spécificité et la victimitude, mais aussi, dans leurs attitudes vis-à-vis des non-juifs en général, et vis-à-vis des Palestiniens en particulier, ils ne diffèrent absolument en rien de juifs religieux.
On invoque souvent le grand nombre de juifs militant dans des mouvements de solidarité avec les Palestiniens, et à quel point la majorité de ces mouvements sont laïcs. Et c'est vrai : il y a beaucoup de juifs qui sont en sympathie avec les Palestiniens, et ces juifs sont très majoritairement laïcs, et dans sa flambée principale, consécutive à 1967, le sionisme virulent s'est trouvé associé à la droite religieuse. Mais cette tradition juive laïque, en réalité, s'est trouvée aux premières lignes de l'assaut sioniste contre les Palestiniens. Ce sont les sionistes laïcs travaillistes qui ont créé l'idéologie sioniste et la société « juifs seulement » pré-étatique. Ce sont des sionistes laïcs - de braves kibbutzniks, humanistes, de gauche - qui ont dirigé et mené à « bien » l'épuration ethnique de 750 000 Palestiniens, ainsi que la destruction de leurs villes et villages. Ce sont des sionistes laïcs qui ont créé l'Etat actuel, avec toutes ses pratiques discriminatoires ; et ce sont des gouvernements largement laïcs qui ont maintenu les citoyens palestiniens d'Israël sous gouvernement militaire, dans leur propre pays, dix-huit années durant.
Enfin, c'est un gouvernement travailliste laïc qui a conquis la Cisjordanie et la bande de Gaza, commencé à construire des colonies et embarqué dans le processus d'Oslo, froidement planifié afin de tromper les Palestiniens et de les amener à brader leurs droits légitimes. Eh bien, même ces juifs laïcs, qui soutiennent effectivement les droits des Palestiniens, offrent dans bien des occasions une solidarité limitée par leur intérêt propre. Que ces gens, au moins autant que n'importe qui d'autre, agissent sous l'empire de leurs motivations les plus élevées, est peut-être vrai. Beaucoup ont été des militants, toute leur vie durant, de multiples causes et beaucoup ont le sentiment que leur activisme découle, consciemment ou inconsciemment, de ce qu'ils considèrent être leurs idéaux les plus élevés inhérents à leur judaïté. Mais, néanmoins, pour beaucoup d'entre eux, la solidarité avec les Palestiniens signifie, avant tout, la protection des juifs. Ils en appellent à la création d'un Etat palestinien sur 22 % du territoire de la Palestine historique, mais à seule fin de pérenniser et de protéger la « judaïté » de l'Etat juif. L'Etat palestinien qu'ils appellent de leurs vœux serait inévitablement faible, dominé par l'économie israélienne et sous le feu des canons de l'armée israélienne – on ne nous fera pas croire qu'ils ne savent pas ce que cela signifie ! Meeting après meeting, discours après discours, tract après trac et banderole après banderole, ces juifs dénoncent l'occupation. « A bas l'occupation !. A bas l'occupation !. A bas l'occupation !. » Mais sur l'injustice inhérente à un Etat réservé aux seuls juifs : pas un mot !
— 16 —
Peut-être, éventuellement, une mention du butin bien mal acquis en 1948, mais rien sur le droit au retour des réfugiés, aucune restitution. Peut-être, simplement une « juste solution », prenant en compte, bien entendu, des « préoccupations démographiques d'Israël ».. « Nous sommes avec vous. Nous sommes avec vous. Nous sommes avec vous. » disent-ils. « mais. » Qu'il s'agisse de telle ou telle forme prise par la Résistance palestinienne, qu'ils désapprouvent, ou d'une occurrence - réelle, ou perçue - d'antisémitisme, pour ces juifs, il y a toujours un « mais. ».
Ils devraient prendre de la graine chez un Henry Herskovitz. Il appartient à une association, Les Témoins Juifs pour la Paix, qui installe des vigiles silencieux devant les synagogues les jours de Shabbat. Bien entendu, tous les autres militants juifs lui gueulent après qu'il ne doit pas cibler les juifs dans ses protestations, qu'il faut faire un distinguo entre les juifs, les Israéliens et les sionistes, qu'il ne fera que s'aliéner les gens que nousvoulons mobiliser. Mais il n'en a cure. Il sait que le soutien provenant des juifs consensuels, comme le trotskiste Tony Cliffavait coutume de dire, « . c'est comme du miel sur ton épaule : tu le vois, tu le sens, mais tu ne pourras jamais y goûter ! » Henry le sait, lui aussi, parfaitement, que dire que les juifs, en Amérique, individuellement, et dans leurs associations communautaires et religieuses ne doivent pas être tenus responsablesdece qui est en train de se passer, c'est un mensonge. Et que cela discrédite tous les juifs, aux yeux du monde non-juif.
Ainsi, ces juifs laïcs finissent-ils bien souvent par n'être qu'une énième tourné de ce que Michael Neuman a qualifié d' « authentique jeu de bonneteau » de l'identité juive. « Regardez ! On est une religion ! Et non : on est une race ! Et hop ! Non : on est une identité culturelle ! Désolés : on est de nouveau une religion ! » La raison ? C'est là la clé pour maintenir le pouvoir juif : il faut qu'il soit indéfinissable, il faut qu'il soit invisible. Comme un bombardier « furtif » Stealth (vous ne le décelez pas sur votre écran radar, mais vous êtes sûr que vous l'aviez au-dessus de la tronche quand vous sautez), le pouvoir juif, avec ses contours estompés et ses formes changeantes, devient invisible. Et si vous ne pouvez pas le voir, vous ne pouvez pas le combattre. Pendant ce temps-là, l'agression contre le peuple palestinien continue.
« Les juifs »
L'expression - « les juifs » - est en elle-même terrifiante, à cause de son association passée avec la discrimination et la violence à l'encontre des juifs. Mais les juifs, eux-mêmes, n'ont aucun problème à l'employer. La notion de peuple juif est au centre de la foi juive, avec des juifs présentant tous les degrés d'adhésion religieuse, voire pas du tout, affirmant encore et toujours son existence. Elle est aussi au centre du sionisme, même dans ses avatars les plus laïcs, et elle est inscrite dans les textes fondateurs de l'Etat d'Israël. Le concept a même reçu une approbation légale internationale quand le peuple juif a été déclaré, par l' Etat allemand, les héritiers de juifs intestats disparus, vivant dans l' après-guerre de 1939-1945. Et c'est néanmoins un article de foi absolu, pour tout le monde, y compris au sein de mouvement de solidarité (avec les Palestiniens), que nous pouvons critiquer et affronter Israël et les Israéliens, mais nous ne pouvons pas critiquer et affronter le peuple juif. A la différence d'Israël et de n'importe quel autre pays, le peuple juif n'a pas de politique commune, et toute critique à l'encontre du peuple juif ne saurait, par conséquent, que viser ce qu'ils sont et n'ont pas ce qu'ils font !
Mais le fait de parler des juifs faisant ceci ou cela est-il plus ou moins acceptable que le fait de parler, disons, des Américains ? Si l'armée américaine dévaste un pays du tiers monde, elle le fait en fonction des ordres que lui a donnés un gouvernement (un gouvernement, c'est un tout petit groupe), avec l'entier soutien des élites gouvernantes (autre tout petit groupe), le soutien tacite d'une partie conséquente de la population (un groupe plus important), la désapprobation silencieuse, probablement, de la majorité de la population (un groupe très nombreux) et l'opposition d'une toute petite minorité (un petit groupe). Les choses sont-elles si différentes, chez les juifs ?
Peut-être. A la différence des Etats-Unis, « les juifs » ne sont pas un corps légalement constitué, et ils n'ont pas une politique commune évidente et définie. « Les juifs » n'ont pas de leadership officiellement désigné, ils n'habitent pas une région particulière, ils ne parlent pas une langue commune, ni mêmes ils ne partagent une culture commune. Théoriquement, tout du moins, il semble y avoir tellement de différences que cela rend toute comparaison intenable. Dans la pratique, l'histoire ne se résume pas à cela.
Il est vrai que « les juifs » ne constituent pas un corps légalement reconnu. Mais le sionisme, avec sa prétention à représenter tous les juifs, a rendu la question de plus en plus confuse. Il est vrai, également, que les sionistes ne représentent pas tous les juifs. Mais ils représentent bel et bien les opinions de très nombreux juifs, vraiment très nombreux. Et certainement aussi des juifs les plus puissants et influents. Et il n'y a aucun doute que l'écrasante majorité des juifs organisés soutiennent totalement le projet sioniste. Que « les juifs » n'aient pas de leadership formellement désignés ne signifie nullement qu'ils n'aient aucun leadership - des corps, à nouveau, auxquels l'écrasante majorité des juifs organisés font acte d'allégeance : le gouvernement israélien, l'Organisation sioniste mondiale [WZO] ; beaucoup de grandes organisations juives puissantes, comme l'Anti-Defamation League et la Conférence des Présidents des Grandes Organisations Juives Américaines, le Centre Simon Wiesenthal ; des organismes moins considérables, comme le Bureau des Députés Juifs Britanniques et des associations analogues dans tous les pays où vivent des juifs. Et puis, il y a le réseau très étendu des institutions juives, souvent liées, via des synagogues, à l'ensemble du spectre de la vie communautaire et religieuse juive. Toutes ces institutions, avec leur vaste réseau interconnecté représentent un leadership, et comment ! Ils ont des politiques clairement définies, et ils sont sur un seul rang (on ne voit qu' une tête) derrière le sionisme et Israël, dans leur agression contre les Palestiniens.
Ceci est-il constitutif d'un collectif juif identifiable engagé dans la promotion d'intérêts juifs ? Officiellement, peut-être pas. Mais effectivement, quand on relève la remarquable unanimité des intentions de toutes ces institutions, la réponse est peut-être bien « oui ». Bien sûr, elles ne représentent pas tous les juifs, et tous les individus juifs ne sont pas responsables des agissements de ces institutions, mais néanmoins, « les juifs » - les juifs organisés, actifs et efficients - sont tout aussi responsables de la poursuite d'intérêts juifs en Palestine et ailleurs que l'étaient « les Américains » au Vietnam, « les Français » en Algérie et « les Britanniques » en Inde.
Alors : pourquoi faudrait-il que notre réponse soit différente ? Pourquoi « les juifs » ne seraient-ils pas aussi responsables que « les Américains » et même pourquoi les juifs ordinaires ne seraient-ils pas aussi responsables que les Américains de base ? Pourquoi ne faisons-nous pas des sit-in devant les bureaux de l'Anti-Defamation League, de la Conférence des Présidents, ou devant les
bureaux, et pourquoi pas devant le domicile, des Abe Foxman, Edgar Bronfman et autres Mort Zuckerman, aux Etats-Unis, ou Neville Nagler, en Angleterre ? Pourquoi ne harcelons-nous pas Alan Dershowitz, aux Etats-Unis, ou Melanie Phillips, au Royaume-Uni ? Qu'en est-il du grand rabbin d'Angleterre, qui, en son temps, avait tellement de choses à dire sur Israël et la Palestine ? Pourquoi ne portons-nous pas la lutte devant la moindre synagogue et le moindre centre communautaire juif, où que ce soit, dans le vaste monde ? Après tout, chaque prière de shabbat est dite pour l'Etat d'Israël, dans chaque synagogue majoritaire du pays, dont la plupart sont des points de ralliements pour la propagande et les fêtes de charité sionistes destinées à recueillir des fonds. Alors : pourquoi ces juifs qui choisissent délibérément de mélanger leurs prières et leur politique jouiraient-ils d'une immunité totale, quand et parce qu'ils font leur prière, de nos protestations légitimes contre leur politique ? Quand à ces rares juifs qui se préparent réellement à se lever et à ce qu'on puisse compter sur leur solidarité avec les Palestiniens, pourquoi ne pouvons-nous toujours pas leur manifester la déférence et le respect que nous leur devons, comme nous l'avons fait pour ces rares Américains qui se sont opposés à l'impérialisme américains et pour ces quelques Blancs sud-africains qui se sont opposés à l'apartheid ?
La réponse est simple : nous avons peur. Même en sachant que les juifs sont des gens responsables, qui devraient donc être tenus pour tels, et à qui par conséquent nous devrions demander des comptes, nous sommes effrayés. Nous avons peur, parce que la critique des juifs, en raison de son histoire terrible de violence et de discrimination, semble tout simplement une position trop dangereuse pour être prise - elle risquerait de donner libre cours à une déferlante de haine anti-juive. Nous avons peur, si nous nous mettions à contester le rôle des juifs dans ce conflit, et dans d'autres régions, et si nous nous mettions à tenir les juifs responsables pour responsables, de risquer d'être qualifiés d'antisémites, et de perdre tout soutien. Et, peut-être par-dessus tout, nous avons peur des passions en conflit à l'intérieur de nous-mêmes, qui nous surprennent et nous désarment, dès lors que nous commençons à nous pencher sur la réalité des problèmes. Le fait de dire la vérité sur l'identité juive, le pouvoir juif et l' histoire juive, entraîne-t-il inéluctablement le fait que des juifs soient traînés dans des camps de concentration et des crématoires ? Bien sûr que non ! C'est la haine, la peur et la suppression de la liberté de pensée et de parole qui conduisent à ces horreurs-là - que la haine, la peur et la censure soient dirigées contre les juifs, ou qu'elles soient commandées par des juifs. Quoi qu'il en soit, en dépit des efforts pour nous convaincre du contraire, nous ne vivons plus au treizième siècle. Il est fort improbable que les Californiens sortent un jour de leurs salles de cinéma, après avoir vu la Passion du Christ de Mel Gibson, chantant « Mort aux juifs ! » sur l'air des lampions. Et, en des temps où des juifs, en Israël / Palestine, soutenus par l'écrasante majorité des organisations juives en Occident, sont en train de profaner des églises et des mosquées en gros et d'oppresser grossièrement des populations chrétiennes et musulmanes entières, on nous pardonnera de l'avoir saumâtre quand nous assistons à un branle-bas de combat pour quelques graffitis, quelque part, sur le mur d'une synagogue. Si nous nous mettions à marcher sur les brisées des juifs, dans ce conflit, on aurait vite fait d'être taxés d'antisémitisme et nous perdrions vraisemblablement, tout du moins, au début, nos soutiens. La malédiction portée par le mot "antisémitisme" sert depuis si longtemps à effrayer et à
réduire au silence toute critique envers les juifs, Israël et le sionisme, et elle serait à coup sûr utilisée, pour discréditer la cause que nous défendons.
Mais quoi ? Ils nous traitent d'antisémites, d'ores et déjà, alors qu'avons-nous à perdre ? Edward Said a consacré sa vie à se frayer un chemin dans le champ de mines Israël / sionisme / judaïsme, et il n'a pas une seule fois critiqué les juifs. Cela n'a pas empêché qu'il soit vilipendé pour son « antisémitisme » durant toute sa trop brève vie. Et même après sa mort, cela continue ! En tant que mouvement, nous avons probablement passé au moins autant de temps à être gentils avec les juifs qu'à élever la voix pour défendre les Palestiniens. Et tout ça, pour quoi ? Qu'est-ce que cela nous a rapporté ? Nous ne sommes pas racistes et nous ne sommes pas antisémites, alors qu'ils fassent donc le pire, ça ils savent faire ! Quant à nous, disons le fond de notre pensée !
Cela fait désormais tellement longtemps qu'on dit aux gens que noir, c'est blanc et non seulement ça, mais si quelqu'un s'avisait de nier que noir c'est blanc, il serait immédiatement dénoncé pour antisémitisme, avec toutes les pénalités afférentes. On nous maintient dans un cul-de-sac moral et intellectuel, dont la finalité est de réduire au silence toute critique du pouvoir israélien et juif. En disant l'indicible, nous pouvons nous libérer nous-mêmes, et libérer autrui. Et pensez-y : quelle ne sera pas votre satisfaction, la prochaine fois où on vous taxera d'antisémitisme, de pouvoir répondre : « Eh bien, je n'en sais rien. Mais j'ai des critiques très fortes, mais légitimes à faire aux juifs et à la manière qu'ils ont de se comporter. et j'ai bien l'intention de le faire savoir » ?
Et puis, on ne sait jamais. Qui sait : vous pourriez être agréablement surpris. Israël Shamir, qui n'a aucun problème à appeler un juif un juif, a été spontanément fêté, récemment, lorsqu'il s'est présenté, depuis la salle, lors d'un meeting de solidarité, à Londres ? J'en suis le témoin direct. Son premier livre en anglais venait d'être publié ; Shamir correspond librement avec de nombreux intellectuels respectés, et il appartient au conseil d' administration de l'Association pour Un Etat Unique et Démocratique en Palestine ainsi qu'à celui de Deir Yassin Remembered. Peut-être s'agit-il tout simplement d'une nouvelle histoire de vêtements du roi : on va peut-être se rendre compte que le roi est nu ! ? ! Peut-être n'attendons-nous plus qu'un enfant innocent donne le coup de sifflet qui nous le fera remarquer ?
La situation à laquelle le peuple palestinien est confronté est absolument terrible. Les vieilles stratégies politiques ne nous ont menés nulle part. Il nous faut un débat nouveau et élargi. Peut-être un discours nouveau, et crédible, qui mette les juifs et la judaïté au centre critique de nos discussions fait-il partie des solutions ? Et, encore ceci : dans un article précédent, paraphrasant Marc Ellis, j'écrivais :
« Aux chrétiens et pour l'ensemble du monde non-juif, les juifs disent ceci : « Vous présenterez des excuses pour la souffrance juive, encore et encore et encore. Et quand vous vous serez excusés, vous vous excuserez encore. Quand vous aurez assez présenté d'excuses, nous vous pardonnerons. à condition que vous nous laissiez faire ce que bon nous semble, en Palestine ! »
Shamir m'a pris au mot. « Eisen pêche par optimisme », a-t-il commenté, ajoutant : « La Palestine n'est pas l'objectif ultime des juifs. Leur objectif ultime, c'est le monde. » Eh bien, je n'en sais rien. Mais si, comme cela semble aujourd'hui vraisemblable, la conquête de la Palestine est terminée et l'Etat
d'Israël s'étend de Tel Aviv jusqu'au Jourdain, à quoi pouvons-nous nous attendre ? Les juifs d'Israël, soutenus par les juifs en-dehors d'Israël, vont-ils désormais respecter le droit, vivre pacifiquement à l'intérieur de leurs frontières et jouir des fruits de leur victoire, ou en voudront-ils encore plus ? A qui le tour, maintenant ?
* Paul Eisen ([email protected] ) est le président de l'association Deir Yassin Remembered [= souvenons-nous de Deir Yassin]
http://bellaciao.org/fr/article.php3?id_article=18262
L'ORIGINAL ANGLAIS
Jewish Power
By Paul Eisen - (August 19, 2004)
The crime against the Palestinian people is being committed by a Jewish state with Jewish soldiers using weapons displaying Jewish religious symbols, and with the full support and complicity of the overwhelming mass of organised Jews worldwide. But to name Jews as responsible for this crime seems impossible to do.
The future is always open and nothing can ever be ruled out; but, for now, it's hard to see how Israel can be stopped. After over fifty years, it is clear that Israel will only relinquish its eliminationist attitude to Palestinians and Palestinian life when it has to. This need not be through military action but it is hard to see how anything else will do. The conventional wisdom - that if America turned off the tap, Israel would be brought to its knees - is far from proven. First, it's not going to happen. Second, those who believe it may well be underestimating both the cohesiveness of Israeli society and the force of Jewish history which permeates it. Even more unlikely is the military option. The only force on earth which could possibly confront Israel is the American military, and, again, that is not going to happen.
Palestinian resistance has been astonishing. After over fifty years of brutal assault by what may well one day be seen as one of the most ruthless and irrational powers of modern times, and with just about every power on earth ranged against them, Palestinians are still with us, still steadfast, still knowing who they are and where they come from. Nonetheless, for the time being effective resistance may be over (though the possibility of organised non-violent resistance can never be ruled out), and, for now, the only strategy open may be no more than one for survival.
For us it is so much easier to deny this reality than to accept it, and doubtless the struggle will continue. How fruitful this will be no-one can say. Although the present seems hopeless, survival is still vital and no-one knows when new opportunities may arise. Anyway, to struggle against injustice is always worth doing. But what if the struggle becomes so delusional that it inhibits rather than advances resistance? What if the struggle becomes a way of avoiding rather than confronting reality? Those slogans "End the Occupation!" and "Two States for Two Peoples!" are now joined by a new slogan, "The OneState Solution!" This is every bit as fantastic as its predecessors because, just as there never was going to be an end to the occupation, nor a real Palestinian state, so, for now, there is no possibility of any "one state" other than the state of Israel which now stretches from the Mediterranean Sea to the Jordan River, and
the only "solution" is a final solution and even that cannot be ruled out.
"Zionism is not Judaism; Judaism is not Zionism…."
The crime against the Palestinian people is being committed by a Jewish state with Jewish soldiers using weapons with Jewish religious symbols all over them, and with the full support and complicity of the overwhelming mass of organised Jews worldwide. But to name Jews as responsible for this crime seems impossible to do. The past is just too terrible. All of us know of the hatred and violence to which accusations against Jews have led in the past. Also, if we were to examine critically the role of Jews in this conflict, what would become of us and of our struggle? Would we be labelled anti-Semites and lose much of the support that we have worked so hard to gain?
The present, too, is full of ambiguities. Zionism is not Judaism; Judaism is not Zionism has become an article of faith, endlessly repeated, as is the assertion that Zionism is a secular ideology opposed, for much of its history, by the bulk of religious Jews and even now still opposed by true Torah Jews such as Neturei Karta. But Zionism is now at the heart of Jewish life with religious Jews amongst the most virulent of Zionists and Neturei Karta, despite their impeccable anti-Zionism, their beautiful words and the enthusiasm with which they are welcomed at solidarity rallies, etc., may well be just Jews in fancy dress, a million miles from the reality of Jewish life.
And even if Zionism can still be disentangled from Judaism, can it be distinguished from a broader Jewish identity or Jewishness? So often Zionism is proclaimed to be a modern add-on to Jewish identity, another, albeit anachronistic, settler-colonial ideology simply adopted by Jews in response to their predicament. But, could it be that our need to avoid the accusation of antiSemitism and our own conflicted perceptions and feelings, our insistence that Zionism and Jewishness are separate, has led us seriously to misunderstand the situation? Has our refusal to look squarely at the very Jewishness of Zionism and its crimes caused us to fail to understand exactly what we are up against?
Jews, Judaism and Zionism
Jews are complex; Jewish identity is complex and the relationship between Judaism the religion, and a broader, often secular, Jewish identity or Jewishness is very complex indeed. Jewishness may be experienced a long way from synagogue, yeshiva or any other formal aspect of Jewish religious life, yet is often still inextricably bound to Judaism. That is why secular Jews are able to proclaim their secularity every bit as loudly as they proclaim their Jewishness. Marc Ellis, a religious Jew, says that when you look at those Jews who are in solidarity with Palestinians, the overwhelming majority of them are secular but, from a religious point of view, the Covenant is with them. For Ellis, these secular Jews unknowingly and even unwillingly may be carrying with them the future of Jewish life.
Jewish identity, connecting Jews to other Jews, comes from deep within Jewish history. This is a shared history, both real and imagined, in that it is both
literal and theological. Many Jews in the west share a real history of living together as a distinct people in Eastern, Central and then Western Europe and America. Others share a real history of settlement in Spain followed by expulsion and then settlement all over the world, particularly in Arab and Islamic lands. But this may not be what binds all Jews, because for all Jews it is not a real, but maybe a theological, history that is shared. Most Palestinians today probably have more Hebrew blood in their little fingers then most western Jews have in their whole bodies. And yet, the story of the Exodus from Egypt is as real to many of them, and most importantly was as real to them when they were children, as if they, along with all Jews, had stood with Moses at the foot of Mount Sinai.
And histories like that don't stop at the present. Even for secular Jews, though unacknowledged and even unrealized, there is a sense, not only of a shared history, but also of a shared destiny. Central to Jewish identity both religious and non-religious is the sense of mission centered on exile and return. How else to explain the extraordinary devotion of so many Jews, religious and secular, to the "return" to a land with which, in real terms, they have very little connection at all?
For many Jews, this history confers a 'specialness'. This is not unique to Jews - after all, who in their heart of hearts does not feel a little bit special? But for Jews this specialness is at the centre of their self-identification and much of the world seems to concur. For religious Jews, the specialness comes from the supposed covenant with God. But for secular Jews, the specialness comes from a special history. In either case this can be a good, even a beautiful, thing. In much of Jewish religious tradition this specialness is no more than a special moral obligation, a special responsibility to offer an example to the world, and for so many secular Jews it has led them to struggle for justice in many places around the world.
At the heart of this Jewish specialness is Jewish suffering and victimhood. Like the shared history itself, this suffering may, but need not, correspond to reality. Jews have certainly suffered but their suffering remains unexamined and unexplained. The Holocaust, now the paradigm of Jewish suffering, has long ceased to be a piece of history, and is now treated by religious and secular alike, as a piece of theology - a sacred text almost - and therefore beyond scrutiny. And the suffering never ends. No matter how much Jews have suffered they are certainly not suffering now, but for many Jews their history of suffering is not just an unchallengeable past but also a possible future. So, no matter how safe Jews may be, many feel just a hair's-breadth away from Auschwitz.
Zionism is at the heart of this. Zionism is also complex and also comes from deep within Jewish history with the same sense of exile and return. Zionism also confirms that Jews are special in their suffering and is explicit that Jews should 'return' to a land given to them, and only them - by God if they are religious, or by history if they are not - because they simply are not safe anywhere else on earth.
But so what? If Jews think that they are a people with a religious link to a land and have a deep wish to 'return', why should we care, so long as the land is
not already populated by Palestinians? And if Jews feel that they are special and that God has made some kind of special arrangement with them, so what, so long as this does not lead them to demand preferential treatment and to discriminate against others? And if Jews feel that they have suffered like no-one else on the face of the earth, fine, so long as they do not use this suffering to justify the imposition of suffering on others and to blackmail morally the whole world into quiescent silence.
This is the problem with Zionism. It expresses Jewish identity but also empowers it. It tells Jews (and many others too) that Jews can do what Jews have always dreamed of doing. It takes the perfectly acceptable religious feelings of Jews, or if you prefer, the perfectly harmless delusions of Jews, and tries to turn them into a terrible reality. Jewish notions of specialness, choseness and even supremacism, are fine for a small, wandering people, but, when empowered with a state, an army and F16s become a concern for us all.
Zionism as Jewish empowerment in statehood changes everything. Israel is not just any state, it is a Jewish state and this means more than just a state for Jews. This Jewish state is built on traditions and modes of thought that have evolved amongst Jews for centuries - amongst which are the notions that Jews are special and that their suffering is special. By their own reckoning, Jews are "a nation that dwells alone" it is "us and them" and, in many cases, "us or them". And these tendencies are translated into the modern state of Israel. This is a state that knows no boundaries. It is a state that both believes, and uses as justification for its own aggression, the notion that its very survival is always at stake, so anything is justified to ensure that survival. Israel is a state that manifestly believes that the rules of both law and humanity, applicable to all other states, do not apply to it.
Their own worst nightmare
It is a terrible irony that this empowerment of Jews has come to most resemble those empowerments under which Jews have suffered the most. Empowered Christianity, also a marriage of faith and power, enforced its ideology and pursued its dissidents and enemies with no greater fervor than has empowered Judaism. In its zeal and self belief, Zionism has come to resemble the most brutal and relentless of modern ideologies. But unlike the brutal rationality of Stalinism, willing to sacrifice millions for political and economic revolution, this Jewish ideology, in its zealotry and irrationality, resembles more the National Socialism which condemned millions for the attainment of a nonsensical racial and ethnic supremacy.
Of course there are differences but there are also similarities. National Socialism, like Zionism, another blend of mysticism and power, gained credibility as a means to right wrongs done to a victimized people. National Socialism, like Zionism, also sought to maintain the racial/ethnic purity of one group and to maintain the rights of that ethnic group over others, and National Socialism, like Zionism, also proposed an almost mystical attachment of that group to a land. Also, both National Socialism and Zionism shared a common interest - to separate Jews from non-Jews, in this case to remove Jews from Europe - and actively co-operated in the attainment of this aim. And if the
similarity between these two ideologies is simply too great and too bitter to accept, one may ask what National Socialism with its uniforms, flags and mobilized youth must have looked like to those Germans, desperate after Versailles and the ravages of post-First World War Germany. Perhaps not so different from how the uniforms, flags and marching youth of pre- and poststate Zionism must have looked to Jews after their history of suffering, and particularly after the Holocaust.
This is, for Jews, their own worst nightmare: the thing they love the most has become the thing they hate the most. And for those Jews and others, who shrink from the comparison, let them ask themselves this: What would an average German, an enthusiastic Nazi even, have said in, say, 1938 had they been confronted with the possibility of an Auschwitz? They would have thought that you were stark, staring mad.
American Jews and Jewish America
At the heart of the conflict is the relationship between Israel and America. The statistics - billions in aid and loans, UN vetoes, etc., etc. need not be repeated here - American support for Israel seems limitless. But what is the nature of this support? For many, perhaps most, the answer is relatively simple. Israel is a client state of America, serving American interests or, more particularly, the interests of its power elites. This view is underpinned by the obvious importance of oil, the huge strategic importance of the region and the fact that, if Israel did not further the interests of those who control America, then we can be sure America would not support Israel. Also, there is no doubt that, in the IDF, America has found a marvellously flexible and effective force, easily aroused and let loose whenever any group of Arabs get a little above themselves.
But is this the whole story? Does Israel really serve America's interests and is their relationship wholly based on the sharing of these interests? Consider how much in terms of goodwill from other nations America loses by its support for Israel, and consider the power and influence of the "Jewish", "Zionist" or "pro-Israel" lobby, as when many an otherwise responsible lawmaker, faced with the prospect of an intervention in their re-election campaign from the Jewish lobby, seems happy to put his or her re-election prospects way in front of what is good for America.
The details of the workings of AIPAC and others, and the mechanics by which these groups exert pressure on America's lawmakers and governors, have been dealt with elsewhere; we need only note that this interest group is undoubtedly extraordinarily effective and successful. Not just a small group of Jews supporting Israel, as its supporters would have us believe, these are powerful and committed ideologues: billionaires, media magnates, politicians, activists and religious leaders. In any event, the power of the Jewish lobby to make or break pretty well any public figure is legendary - not for nothing is it often referred to simply as "The Lobby".
But again, there may be far more to the Israel/U.S. relationship than just a commonality of interest and the effectiveness of certain interest groups. That
support for Israel must be in the interests of those who control America is certainly true, but who controls America? Perhaps the real relationship is not between Israel and America but between Jews and America.
The overwhelming majority of Jews in America live their lives just like any other Americans. They've done well and are undoubtedly pleased that America supports their fellow Jews in Israel but that's as far as it goes. Nonetheless, an awful lot of Jews certainly do control an awful lot of America - not the industrial muscle of America - the steel, transport, etc., nor the oil and arms industries, those traditional money-spinners. No, if Jews have influence anywhere in America, it's not over its muscle and sinew but over its blood and its brain. It is in finance and the media that we find a great many Jews in very influential positions. Lists abound (though you have to go to some pretty unpopular websites to find them) of Jews, prominent in financial and cultural life: Jews in banks; Jews in Forbes Magazine's Richest Americans; Jews in Hollywood; Jews in TV; Jewish journalists, writers, critics, etc., etc.
Nor have Jews been slow in exploiting their position. Jews have not hesitated to use whatever resources they have to advance their interests as they see them. Nor does one need to subscribe to any conspiracy theory to note how natural it is for Jews in the media to promote Jews and their values as positive and worthy of emulation. When did anyone last see a Jew portrayed in anything other than a favourable light? Jews are clever, moral, interesting, intense, warm, witty, complex, ethical, contradictory, prophetic, infuriating, sometimes irritating, but always utterly engaging. Nor is it any wonder that Jews in influential positions are inclined to promote what they see as Jewish collective interests. Is it really all that incredible that Jewish advisers around the Presidency bear Israel's interests at heart when they advise the President on foreign affairs?
But so what? So there are a lot of Jews with a lot of money, and a lot of Jews with a lot to say and the means to say it. If Jews by virtue of their ability and use of resources (as honestly gained as by anyone else) promote what they perceive as their own collective interest, what's wrong with that? First, with some notable exceptions, the vast majority of Jews can, in good faith, lay hands on hearts and swear that they never take decisions or actions with collective Jewish interests in mind, certainly not consciously. And even if they did, they are acting no differently from anyone else. With a few exceptions, Jews have earned their advantageous positions. They came with nothing, played according to the rules and, if they use their influence to further what they perceive as Jewish interests, what's so special about that? Do not the Poles, the Ukrainians, the Gun lobby, the Christian Evangelicals also not work to further their group interests?
The difference between Jews and other groups is that they probably do it better. Jews are, by pretty well any criteria, easily the most successful ethnic group in America and, for whatever reason, have been extraordinarily successful in promoting themselves both individually and collectively. And there would probably be nothing wrong with this were it not for the fact that these same people who exert so much control and influence over American life also seem to refuse to be held accountable. It is the surreptitiousness with which Jews are
perceived to have achieved their success which arouses suspicion. Jews certainly seem cagey about the influence they have. Just breathe the words "Jewish power" and wait for the reaction. They claim it's because this charge has so often been used as a precursor to discrimination and violence against them, but never consider the possibility that their own reluctance to discuss the power they wield arouses suspicion and even hostility.
But there is another claim, subtler and more worrying. This is that it doesn't exist; that Jews do not wield power, that there is no Jewish lobby; that Jews in America do not exert power and influence to advance Jewish interests, even that there are no such things as Jewish interests! There are no Jewish interests in the war in Iraq, there are no Jewish interests in America; most amazing, there are no Jewish interests even in Israel and Palestine. There is no Jewish collective. Jews do not act together to advance their aims. They even say that the pro-Israeli lobby has actually not all that much to do with Jews, that the Jewishness of Israel is irrelevant and the Public Affairs Committees (PACs) which lobby so hard for Israel are in fact doing no more than supporting an ally and thus looking after America's best interests even to the extent of concealing their true purpose behind names such as "American for Better Citizenship", "Citizen's Organised PAC" or the "National PAC" - none of which make one reference in their titles to Israel, Zionism or Jews. Similarly, Jews and Jewish organisations are said to be not so much furthering Jewish interests and values as American, or, even, universal interests and values. So, the major Holocaust Museum, styled as a "Museum of Tolerance", focuses not only on anti-Semitism, but on every kind of intolerance known to mankind (except that shown by Jews to non-Jews in Israel and Palestine). Similarly, the Anti-Defamation League is but an organisation for the promotion of universal principles of tolerance and justice, not just for Jews but for everyone.
This conflation of Jewish interests with American interests is nowhere more stark than in present American foreign policy. If ever an image was reminiscent of a Jewish world conspiracy, the spectacle of the Jewish neo-cons gathered around the current presidency and directing policy in the Middle East, this must be it. But we are told that the fact that the Jewish neo-cons, many with links with right wing political groups within Israel, are in the forefront of urging a pro-Israel policy, is but a coincidence, and any suggestion that these figures might be influenced by their Jewishness and their links with Israel is immediately marginalised as reviving old anti-Semitic myths about Jewish dual loyalty. The idea that American intervention in Iraq, the one viable military counterweight to Israeli hegemony in the Middle East and therefore an inspiration to Arab and Palestinian resistance, primarily serves Israeli rather than American interests has also been consigned to the nether world of mediaeval anti-Semitic myth. The suggestion that those Jews around the president act from motives other than those to promote the interests of all Americans is just anti-Semitic raving. And maybe they're right. Perhaps those who promote Jewish interests are in fact promoting American interests because, for now at least, they appear to be one and the same.
Jewish America
In Washington, D.C. is a memorial to a terrible tragedy. Not a memorial to
a tragedy visited on Americans by a foreign power as at Pearl Harbour or 9/11, nor to a tragedy visited by Americans on Americans such the sacking of Atlanta. Nor is it a memorial of contrition to a tragedy inflicted by Americans onto another people, such as to slavery or to the history of racial injustice in America. It is to none of these. The Holocaust memorial is to a tragedy inflicted on people who were not Americans, by people who were not Americans, and in a place a very long way from America. And the co-religionists or, even, if you like, the conationals, of the people on whom the tragedy was visited and to whom the memorial is built make up around two percent of the American population. How is it that a group of people who make up such a tiny percentage of the overall American population can command such respect and regard that a memorial to them is built in the symbolic heart of American national life?
The Jewish narrative is now at the centre of American life, certainly that of its cultural and political elites. There is, anyway, much in the way that Americans choose to see themselves and their history which is quite naturally compatible with the way Jews see themselves and their history. What more fitting paradigm for a country founded on immigration, than the story of the mass immigration of Jews at the end of the nineteenth and early twentieth centuries? For many Americans, the story of those Jews who came to their Goldenes Medina, their Golden Land, with nothing and, through hard work and perseverance, made it to the very top of American society, is also their story. And what could be more inspirational for a country, if not officially but still viscerally, deeply Christian than the story of the Jews, Jesus' own people and God's chosen people, returning to their ancient homeland and transforming it into a modern state. And for a nation which sees itself as a beacon of democracy in the world, what better international soul-mate than the state of Israel, widely held to be "the only democracy in the Middle-East"? Finally what greater validation for a country itself founded on a narrative of conquest and ethnic cleansing than the Biblical narrative of the conquest and ethnic cleansing of the Promised Land with the addition of the equally violent settlement of modern Palestine with its own ethnic cleansing and then "making the desert bloom"?
Most resonant, of course, is the notion of Jews as a suffering people. The fact that this "suffering people" is now enjoying a success beyond the dreams of any other ethnic group in America seems irrelevant. Also ignored is how American Jews have made it to the very top of American society whilst, every step of the way, complaining about how much they're being discriminated against. Nonetheless, to America, Jews have an enduring and ongoing history of suffering and victimhood. But this history has rarely been examined or even discussed.
A Suffering People
That Jews have suffered is undeniable, but Jewish suffering is claimed to have been so enduring, so intense and so particular that it is to be treated differently from other sufferings. The issue is complex and cannot be fully debated or decided here but the following points may stimulate thought and discussion.
— During even the most terrible times of Jewish suffering such as the
Crusades or the Chmielnitzky massacres of seventeenth century Ukraine, and even more so at other times in history, it has been said that the average peasant would have given his eye-teeth to be a Jew. The meaning is clear: generally speaking, and throughout most of their history, the condition of Jews was often far superior to the mass of the population.
— The above-mentioned Ukrainian massacres took place in the context of a peasant uprising against the oppression of the Ukrainian peasantry by their Polish overlords. As has often been the case, Jews were seen as occupying a traditional position of being in alliance with the ruling class in their oppression of the peasantry. Chmielnitzky, the leader of this popular uprising, is today a Ukrainian national hero, not for his assaults on Jews (there are even references to his having offered poor Jews to join the uprising against their exploitative co-religionists - the Jews declined) but for his championing of the rights of the oppressed Ukrainians. Again, the inference is plain: outbreaks of anti-Semitic violence, though never justified, have often been responses to Jewish behaviour both real and imaginary.
— In the Holocaust three million Polish Jews died, but so did three million non-Jewish Poles. Jews were targeted but so were Gypsies, homosexuals, Slavs and Poles. Similarly, the Church burned Jews for their dissenting beliefs but then the church burned everyone for their dissenting beliefs. So again, the question must be asked: what's so special about Jewish suffering?
The Holocaust, the paradigm for all anti-Semitism and all Jewish suffering, is treated as being beyond examination and scrutiny. Questioning the Holocaust narrative is, at best, socially unacceptable, leading often to social exclusion and discrimination, and, at worst, in some places is illegal and subject to severe penalty. Holocaust revisionist scholars, named Holocaust deniers by their opponents, have challenged this. They do not deny a brutal and extensive assault on Jews by the Nazi regime but they do deny the Holocaust narrative as framed by present day establishments and elites. Specifically, their denial is limited to three main areas. First, they deny that there ever was an official plan on the part of Hitler or any other part of the Nazi regime systematically and physically to eliminate every Jew in Europe; second, they deny that there ever existed homicidal gas-chambers; third, they claim that the numbers of Jewish victims of the Nazi assault have been greatly exaggerated.
But none of this is the point. Whether those who question the Holocaust narrative are revisionist scholars striving to find the truth and shamelessly persecuted for opposing a powerful faction, or whether they are crazy Jewhaters denying a tragedy and defaming its victims, the fact is that one may question the Armenian genocide, one may freely discuss the Slave Trade, one can say that the murder of millions of Ibos, Kampucheans and Rwandans never took place and that the moon is but a piece of green cheese floating in space, but one may not question the Jewish Holocaust. Why? Because, like the rest of the Jewish history of suffering, the Holocaust underpins the narrative of Jewish innocence which is used to bewilder and befuddle any attempt to see and to comprehend Jewish power and responsibility in Israel/Palestine and elsewhere in the world.
What is a Jew?
Israel Shamir, the Russian-born Israeli writer, advocates the right of all people, whatever their ethnicity or religion, to live together in complete equality between the Mediterranean and the Jordan River. Shamir condemns the behaviour of Israel and of Diaspora Jews and calls for an end to their preferential treatment, but he also proposes an opposition to Judaism itself for which he stands accused of being anti-Jewish - a charge he does not deny but actually embraces.
Shamir proposes the existence of a Jewish ideology, or "Jewish paradigm" as he puts it, and proposes that it is the voluntary adherence to this "spirit" which makes a Jew into a Jew. For him, Jewishness is neither race nor ethnicity - there is, for Shamir, no such thing as a Jewish 'tribe' or 'family' - no biological or ethnic body from which there can be no escape. Further, this ideology, based on notions of choseness, exclusivity and even supremacism is, at least when empowered, incompatible with peace, equality and justice in Palestine or anywhere else for that matter.
No-one wants to oppose any Jews simply for being Jews, or even for what they believe, but only because of what they do. The problem is that since, according to Shamir, what Jews believe and even do is precisely what makes them into Jews, so opposition to Jewishness as an ideology surely comes dangerously close to opposition to Jews simply for being Jews. But for Shamir, Jews are Jews because they choose to be Jews. Someone may be born of Jews and raised as a Jew but they can if they wish reject their Jewish upbringing and become a non-Jew. And many have done just that including such famous escapees as Karl Marx, St. Paul, Leon Trotsky (and Shamir himself), etc. Opposition to Jews is not, therefore, like opposition to Blacks or to Asians or to other common racist attitudes since the object of the opposition is perfectly able to relinquish the ideology in question.
Shamir has never in any way called for any harm to be done to Jews or anyone else, nor for Jews or anyone else to be discriminated against in any way. Adherence to this Jewish ideology is, for Shamir, regrettable, but not, in itself, a matter for active opposition. Nor does this mean that Shamir is opposed to any individual Jew just because he or she is a Jew. What Shamir actively opposes is not "Jews" but "Jewry". Analogous to say, the Catholic Church, Jewry consists of those organised Jews and their leaders who actively promote corrosive Jewish interests and values, particularly now in the oppression of the Palestinians.
One doesn't have to be in complete agreement with Shamir to understand what he is talking about. Why should Jews not have a "spirit"; after all, such a concept has been discussed with regard to other nations?
"It is dangerous, wrong, to speak about the "Germans," or any other people, as of a single undifferentiated entity, and include all individuals in one judgement. And yet I don't think I would deny that there exists a spirit of each people (otherwise it would not be a people) a Deutschtum, an italianitia, an hispanidad: they are the sums of traditions, customs, history, language, and
culture. Whoever does not feel within himself this spirit, which is national in the best sense of the word, not only does not entirely belong to his own people but is not part of human civilization. Therefore, while I consider insensate the syllogism, 'All Italians are passionate; you are Italian; therefore you are passionate," I do however believe it legitimate, within certain limits, to expect from Italians taken as a whole, or from Germans, etc., one specific, collective behavior rather than another. There will certainly be individual exceptions, but a prudent, probabilistic forecast is in my opinion possible." Primo Levi
And for Jews it is, perhaps, even more appropriate. The place of Judaism as an ideology at the centre for all Jewish identity may be debated, but few would dispute that Judaism is at least at the historic heart of Jewishness and, whatever else may bind Jews together, it is certainly true that religion plays an important part. Second, for a group of people who have retained such a strong collective identity with no shared occupation of any land, language, nor even, in many cases, a culture, it is hard to see what else there could be that makes Jews into Jews. Surely for Jews, in the absence of other, more obvious factors, it is precisely such a spirit that has enabled them to retain their distinctive identity for so long and in the face of such opposition.
But if there is some kind of Jewish spirit or ideology, what is it? As far as Judaism, the religion, goes it seems fairly clear that there is an ideology based on the election of Israel by God, the special relationship Jews are supposed to have with God and the special mission allocated to Jews by God. So for observant Jews there is a special quality intrinsic to the covenant and to Judaism itself, though not all of them find it appealing:
"There is a strain in Jewish thought that says there is a special Godly something or other that is passed down in a certain genetic line which confers a special quality on people and Jewishness is a special quality. I call that metaphysical racism." Rabbi Mark Solomon
But whilst easy to see such a common spirit in religious Jews - after all it is precisely that which makes them religious - it is so much harder to define it in secular Jews, those Jews who reject, often quite vociferously, all aspects of Jewish faith. They often claim that they don't have an ideology, or that their ideology is one of, say, the left: not only not Jewish, but opposed to all religions including Judaism. Yet seemingly so free of all such ignorant superstition, these same people still call themselves Jews, still more often than not marry other Jews and still turn up to solidarity rallies only with other Jews and under Jewish banners. What is their ideology?
For my money it is much the same sense of specialness found in religious Jews but with a special reference to victimhood. "Yes, but only in the Hitlerian sense", answered philosopher Maxime Rodinson when asked if he still considered himself a Jew. For many of these Jews it is their identity as a threatened and victimized people that makes them Jews. "Hitler said I was a Jew, so I may as well be a Jew" is one response or "To be a Jew somehow denies all those who ever persecuted Jews a victory- so I'm a Jew". For these Jews, albeit estranged from Jewish religious and often community life as well, Emil Fackenheim's famous post-Holocaust 614th commandment (to add to the other 613): Thou shall survive! is an absolute imperative. But whatever the motive,
this self-identity runs very deep indeed. Amongst these Jews, no matter how left or progressive they may be, one may criticise Israel to the nth degree, poke fun at the Jewish establishment and even shamefully denigrate Judaism as a religion, but depart one iota from the approved text on anti-Semitism and Jewish suffering, and you are in deep trouble. For these rational folk, Jewish suffering and anti-Semitism is every bit as inexplicable, mysterious and therefore, unchallengeable as for any religious Jew.
Jewish secularism is often offered as evidence that there is no such thing as a Jewish identity gathered around any shared ideology. After all, if all Jews subscribe to the same basic ideology, then how come so many Jews so obviously don't? And if all Jews essentially support the same interests, how come so many Jews so obviously don't? But is it that obvious? Not only do secular Jews very often seem to subscribe to Jewish notions of specialness and victimhood, but also, in their attitudes to non-Jews in general, and Palestinians in particular, they are by no means all that different from religious Jews.
It is often quoted how many Jews are in solidarity movements with Palestinians and how many of these are secular. And it's true: there are many Jews in sympathy with the Palestinians and the overwhelming majority are secular, and the main thrust of post-1967 virulent Zionism has come to be associated with the religious right. But this secular Jewish tradition, in fact, has been at the forefront of Zionism's assault on the Palestinians. It was secular Labour Zionists who created the Zionist ideology and the pre-state Jewish-only society. It was secular Zionists - good, humanistic, left-wing kibbutzniks - who directed and carried out the ethnic cleansing of 750,000 Palestinians, and the destruction of their towns and villages. It was secular Zionists who established the present state with all its discriminatory practices; and it was a largely secular Labour government that held the Palestinian citizens of Israel under military government in their own land for eighteen years. Finally, it was a secular, Labour government which conquered the West Bank and Gaza, and first built the settlements, and embarked on the Oslo peace process, coolly designed to deceive the Palestinians into surrendering their rights.
And even those secular Jews who do support Palestinian rights, on so many occasions, the solidarity they offer is limited by self interest. That these people, at least as much as anyone else, act out of their highest motives may be true. Many have been lifelong activists for many causes and many find their activism springs, consciously or unconsciously, from what they see as the highest ideals of their Jewishness. But nonetheless for many of them, solidarity with Palestinians means above all, the protection of Jews. They call for a Palestinian state on 22 per cent of the Palestinian homeland, but only to keep and protect the 'Jewishness' of the Jewish state. The Palestinian state they call for would inevitably be weak, dominated by the Israeli economy and under the guns of the Israeli military - surely they must know what this would mean!
At rally after rally, in speeches and on leaflets and banners, these Jews denounce the occupation: "Down with the occupation…down with the occupation…down with the occupation…" but not a word of the inherent injustice of a state for Jews only; perhaps a mention of the ill-gotten gains of 1948, but nothing of the right of return of the refugees, no restitution merely 'a
just solution' taking account, of course, of Israel's 'demographic concerns'. "We are with you….we are with you….we are with you" they say "...but...". Whether it be condemnation of some form of Palestinian resistance of which they disapprove, or some real or perceived occurrence of anti-Semitism, for these Jews there is always a "but."
They should take a leaf from Henry Herskovitz. He is part of an organisation called Jewish Witnesses for Peace, which holds silent vigils outside synagogues on shabbat. Of course, all the other Jewish activists are shrieking at him that you mustn't target Jews for protest, that you must draw a distinction between Jews, Israelis and Zionists, that you'll only alienate the people we want to engage.... but he doesn't care. He knows that support from the Jewish mainstream, as Tony Cliff the Trotskyite used to say, "….is like honey on your elbow - you can see it, you can smell it but you can never quite taste it!" Henry also knows that to say that Jews in America individually and in their religious and community organisations should not be held accountable for what is happening is a lie and discredits all Jews before the non-Jewish world.
So these secular Jews often end up being just another round of Michael Neuman's "veritable shell game" of Jewish identity. "Look! We're a religion! No! a race! No! a cultural entity! Sorry--a religion!" Because this is the key to maintaining Jewish power - if it's indefinable, it's invisible. Like a Stealth Bomber (you can't see it on your radar but you sure know when you've been hit) Jewish power, with its blurred outlines and changing forms, becomes invisible. And if you can't see it you can't fight it. Meanwhile the assault on the Palestinians continues.
"The Jews"
The phrase is itself terrifying because of its past association with discrimination and violence against Jews, but Jews themselves have no problem with it. The notion of a Jewish People is at the centre of Jewish faith with Jews of all or no degrees of religious adherence over and over again affirming its existence. It is also at the heart of Zionism even in its most secular forms and is written into the foundational texts of the state of Israel. The concept even received international legal approval when the Jewish people were declared, by the West German state, to be the post-war residual heirs of intestate Jews. And yet it is an absolute article of faith for everyone, including those in the solidarity movement, that while we may criticize and confront Israel and Israelis, we may not criticize and confront the Jewish people and Jews. Unlike Israel and any other state, the Jewish People has no common policy and any attack on the Jewish people is, therefore, aimed at what they are and not at what they do.
But is speaking of the Jews doing this or doing that any more or less acceptable than speaking of, say, the Americans? If the American military lays waste a third world country, it is done by order of the government (a small group) with the full support of the ruling elites (another small group), the tacit support of a substantial segment of the population (a larger group), the silent denial of probably the majority of the population (a very large group) and the opposition of a tiny minority (a small group). Is it all that different with Jews?
It may be. Unlike the United States, 'the Jews' are not a legally constituted body and they do not have an obvious and defined common policy. 'The Jews' do not have an officially designated leadership, nor do they inhabit one area of land, nor do they speak a common language or even share a common culture. Theoretically at least there seem to be so many differences as to render any comparison untenable. In practice this may not be the whole story.
It is true that 'the Jews' do not constitute a legally recognized body, but Zionism, with its claim to represent all Jews, has increasingly confused the issue. It is also true that the Zionists do not represent all Jews but they do represent the views of very many Jews indeed, and certainly the most powerful and influential Jews. And there is no doubt that the overwhelming majority of organized Jews are fully behind the Zionist project. That 'the Jews' do not have a formally designated leadership does not mean that they have no leadership bodies again to which the overwhelming majority of organized Jews owe allegiance: the Israeli Government, the World Zionist Organization; numerous large and powerful Jewish organizations such as the Anti-Defamation League and The Conference of Presidents of Major American Jewish Organizations, The Simon Wiesenthal Centre; lesser bodies such as the Board of Deputies of British Jews and similar organizations in every country in which Jews reside. Then there is the extensive network of Jewish bodies often linked, through synagogues to the whole spectrum of mainstream Jewish religious and community life. All these bodies with their vast and interconnected network do provide leadership; they do have clearly defined policies and they are all foursquare behind Zionism and Israel in its assault on the Palestinians.
Does this constitute a definable Jewish collective engaged in advancing Jewish interests? Officially, perhaps not, but, effectively, when one notes the remarkable unanimity of intent of all these bodies, the answer may well be yes. They do not of course represent all Jews nor are all individual Jews responsible for their actions, but nonetheless 'the Jews' - organized, active and effective Jews - are as responsible for the pursuit of Jewish interests in Palestine and elsewhere as 'the Americans' in Vietnam, 'the French' in Algeria, and 'the British' in India.
So why should our response be different? Why should 'the Jews' not be as accountable as 'the Americans' and even ordinary Jews as accountable as ordinary Americans? Why do we not picket the offices of the Anti-Defamation League or The Conference of Presidents or the offices or even the homes of Abe Foxman, Edgar Bronfman and Mort Zuckerman in the U.S. and Neville Nagler in the U.K.? Why do we not heckle Alan Dershowitz in the U.S. and Melanie Phillips in the U.K.? What about the U.K. Chief Rabbi who in his time has had lots to say about Israel and Palestine? Why do we not take the struggle to every synagogue and Jewish community centre in the world? After all, every Shabbat a prayer is said for the state of Israel in every mainstream synagogue in the land, most of which are focal points for Zionist propagandizing and fundraising, so why should these Jews who choose to combine their prayers and their politics be immune while at prayer from our legitimate protests at their politics? And for those few Jews who are really prepared to stand up and be counted for their solidarity with Palestinians, why can we not still give to them due honour and
regard as we did to those few Americans who opposed American imperialism and those white South Africans who opposed apartheid?
The answer is that we are frightened. Even knowing that Jews are responsible and should be held accountable, still we are frightened. We are frightened because criticism of Jews with its woeful history of violence and discrimination seems just too dangerous a position to take - it may open the flood-gates to a burst of Jew hatred. We are frightened that if we were to discuss the role of Jews in this conflict and in other areas and begin to hold Jews accountable, we might be labelled anti-Semites and lose support. And, perhaps most of all, we are frightened of the conflicted inner passions that confound us all whenever we come to look at these things.
Does speaking the truth about Jewish identity, power and history lead to Jews being led to concentration camps and ovens? Of course it doesn't! It is hatred, fear and the suppression of free thought and speech which leads to these things - whether the hatred, fear and suppression is directed against Jews or by Jews. Anyway, despite efforts to convince us to the contrary, we do not live in the thirteenth century. Californians are unlikely to pour out of their cinemas showing Mel Gibson's 'Passion' chanting "Death to the Jews!" And, at a time when Jews in Israel/Palestine, overwhelmingly backed by Jewish organisations in the west, are desecrating churches and mosques wholesale and brutally oppressing entire Christian and Muslim populations, we may be forgiven for finding it hard to get excited about graffiti daubed on some synagogue somewhere.
If we were to begin to engage with the role of Jews in this conflict, we may well be labelled anti-Semites and we may well, initially at least, lose support. The anti-Semite curse has long served as a frightener to silence all criticism of Jews, Israel and Zionism, and undoubtedly will be used to discredit our cause. But so what? They call us anti-Semites anyway so what's to lose? Edward Said spent a lifetime picking his way through the Israel/Zionism/Judaism minefield and never once criticised Jews, and he was called an anti-Semite his whole life, right up to and even after his death. As a movement we have probably spent as much time being nice to Jews as we have speaking up for Palestinians, and for what? Where has it got us? We are not racists and we are not anti-Semites, so let them do their worst. We shall speak our minds.
For so long now Jews have told the world that black is white and not only that, but also if anyone should dare to deny that black is white they will be denounced as anti-Semites with all the attendant penalties. We are held in a moral and intellectual lock, the intention of which has been to silence all criticism of Israeli and Jewish power. In saying the unsayable we may set ourselves and others free. And think how it will feel the next time you are called an anti-Semite to say "Well, I don't know about that, but I do have some very strong but legitimate criticisms to make of Jews and the way they are behaving….and I intend to speak out"?
And you never know; we may be pleasantly surprised. Israel Shamir, who has no trouble whatsoever in calling a Jew a Jew, was cheered spontaneously recently when he introduced himself from the floor at a London solidarity
meeting. I saw it with my own eyes. His first English-language book has just been published; he corresponds freely and reciprocally with many highly respected figures and is on the boards of advisers of The Association for One Democratic State in Palestine and of Deir Yassin Remembered. Perhaps it's all just a case of the Emperor's new clothes. Perhaps we're all just waiting for some innocent child to blow the whistle.
The situation facing the Palestinian people is truly terrible. Old political strategies have got us nowhere. We need a new and widened debate. It may be that a new and credible discourse which puts Jews and Jewishness at the critical centre of our discussions is part of that.
And one final point: In a previous piece, paraphrasing Marc Ellis I wrote:
"To the Christian and to the entire non-Jewish world, Jews say this: 'You will apologise for Jewish suffering again and again and again. And, when you have done apologising, you will then apologise some more. When you have apologised sufficiently we will forgive you ... provided that you let us do what we want in Palestine.'
Shamir took me to task, "Eisen is too optimistic", he said, "Palestine is not the ultimate goal of the Jews... ...the world is."
Well, I don't know about that, but, if as now seems likely, the conquest of Palestine is complete and the state of Israel stretches from Tel-Aviv to the Jordan River, what can we expect? Will the Jews of Israel, supported by Jews outside of Israel, now obey the law, live peaceably behind their borders and enjoy the fruits of their victory, or will they want more? Who's next?
Paul Eisen is a director of Deir Yassin Remembered [email protected] http://www.righteousjews.org/article10.html
UN AUTRE TEXTE
In June [2005], Gilad distributed an article by his friend Paul Eisen, entitled "The Holocaust Wars". It is a long defence of the neoNazi, Hitler lover, and Holocaust denier Ernst Zundel, now deported from Canada to Germany where he faces criminal charges. Eisen speaks warmly of Zundel and sets out the historical revisionist case - that there was no Nazi plan to exterminate European Jewry and no gas chambers - a case which he supports. He concludes that the Palestinian resistance and their supporters should make common cause with the historical revisionists supposedly the only people the Zionists fear aside from Palestinians themselves.
Greg Dropkin, antiraciste de Liverpool. 28 july 2005.
The Holocaust Wars
The virulently anti-Semitic Zundelsite (http://www.zundelsite.org/) has posted his Jewish Power essay, which it describes as "brilliant." Of course, Eisen cannot control the use of his work by these scum, but that is hardly the point. The sad fact is that it represents a "brilliant" endorsement of their own ideology of Jew-hating
Joel Finkel
"Scum"
The "scum" to which Joel Finkel refers are Ernest Zundel, currently in solitary confinement in the Metro West Detention Center, Toronto, and Ingrid Rimland his wife who owns and runs the Zundelsite – a website dedicated to supporting Zundel, his work and his struggle. All day every day Zundel sits in his cell on a pile of court transcripts (chairs are not permitted), wearing the same orange jumpsuit as all the rapists and murderers and with the permitted pencil stubs (ball-points are forbidden) he fights his campaigns, writes, draws and meditates on the past, present and future. Meanwhile, from her Tennessee home Ingrid wheels and deals, begs and borrows, plots, posts and publishes to try to get him out, or at least to stop his imminent deportation to his native Germany where he can expect a warrant for his arrest under Germany's severe "hate laws" and a possible five year sentence.
Ernst Zundel immigrated to Canada in 1958 to avoid the draft (he is a lifelong pacifist) where he has lived for forty two years. Unlike most Holocaust revisionists (rather an austere, academic lot), Zundel is a hands-on activist – a gentle, good-humored man, kind and honest and with those qualities often found in the strangest places: a fine mind and a good heart. Born in Germany's
Black Forest, Zundel sometimes refers to himself as a 'Swabian peasant' and it's true, he does have that about him. But Zundel understands people and, most important, he understands history. He is, to use his own word, a vordenker – one who thinks ahead of the crowd, one who sees the panorama of life.
For decades now Zundel has battled the Holocaust establishment.
"I was like everybody else in my own postwar years in Germany. I was disgusted with my father's generation whom I believed to have been monsters. Like practically all people on our planet, I used to believe in the standard, widely accepted notion that the government of National Socialist Germany, under the leadership of Adolf Hitler, had attempted to kill the Jews by an act of state-decreed genocide. I was ashamed to be a German…..In the 1960's ….I experienced my first doubts about some details of the Holocaust story. Further study, mostly at night, convinced me that many segments of the story were highly exaggerated, and the number of Jewish losses were wildly inflated." Ernst Zundel
Thus began Zundel's activism – persistent, flamboyant and effective. Who else would have got himself photographed carrying a martyr's cross up the steps of a Canadian courtroom? And who else, after having been beaten on the steps of a courthouse by members of a violent Jewish group when he appeared for court dates, would thereafter appear for all court hearings in a hard hat and bulletproof vest? His first brush with Canadian law was when the government sought to remove his special mail privileges. He won that one and has never looked back.
In 1985 Zundel ended up in court when he distributed a booklet: Did Six Million Really Die?, and ran foul of Canada's "False News" Laws:
Everyone who willfully publishes a statement, tale or news that he knows is false and that causes or is likely to cause injury or mischief to a public interest is guilty of an indictable offense and liable to imprisonment for a term not exceeding two years.
Twice Ernst Zundel was in court for what turned out to be the two greatest Holocaust revisionism trials of our time, twice he was convicted and twice the convictions were overturned. The first in 1985 lasted seven weeks and ended with a 15 month sentence, overturned in 1987 by the Ontario Court of Appeal citing errors of law ordered a retrial. This, the second Zundel trial in 1988, lasted for almost four months. It was in this trial that Zundel commissioned Fred Leuchter, an expert on executions by gas in the U.S. to visit Auschwitz and conduct a forensic examination which was presented in court as proving conclusively that there were no homicidal gas chambers at Auschwitz. For the revisionist community, that day in April 1988 when Fred Leuchter presented his report to the court, was the day the myth of the Holocaust was finally laid to rest.
Despite an impressive defense from heavyweights such as Robert Faurisson, Marc Weber and David Irving who, having just read the Leuchter report, took the opportunity of the trial to proclaim his conversion to Holocaust revisionism, Zundel was again found guilty and sentenced. But in 1992, the Supreme Court of Canada struck down as unconstitutional the law banning the spread of false news. This decision temporarily put an end to the deportation proceedings launched against Zundel after his 1988 conviction.
For the next few years Zundel continued his struggle despite various
assaults, both legal and illegal – prosecutions, violence against his person, arson against his home and possessions.
In the spring of 1994, several Marxist street groups organized to attempt to drive Zundel out of his neighbourhood in Toronto. Pamphlets were distributed calling him a "hatemonger" and "white supremacist" and calling for his charging under Canada's hate laws. These groups began a campaign of posters put up across Toronto with Zundel's face in a rifle sight, giving directions to his home with instructions on how to build Molotov cocktails. Street graffiti appeared on fences and buildings calling for people to "drive Zundel out." Zundel lodged complaints with Toronto police but nothing ever came of his complaints…On May 7, 1995, an arsonist torched Zundel's house which was almost completely gutted on the second and third floors, causing over $400,000.00 in damages and destroying an extensive library and rare book collection. No person was ever charged with this offence. After the arson, Zundel suffered from severe anxiety, loss of memory, and loss of concentration……At the end of May 1995, a powerful pipe bomb was sent to Zundel through the mails from Vancouver, British Columbia. Suspicious of the parcel, he took it unopened to the police. The bomb contained nails and metal shrapnel; Toronto police determined it would have killed anyone who opened it and anyone within 90 metres of the blast. (2)
Twice he submitted faultless applications for Canadian citizenship and twice he was refused. There was a conviction for 'hate crime' in Germany and prosecutions for being "a threat to the safety and security of Canada", and there were the incessant legal battles about the Zundelsite.
In January 2000, exhausted after the struggles of the eighties and nineties, Zundel moved to the United States, where he married Ingrid, a U.S. citizen. There the couple lived quietly, establishing an art gallery, experimenting in organic agriculture and thinking about future campaigns. Then, on February 5th 2003 Ernst was arrested because, as he was told, he had missed showing up at a scheduled immigration hearing in May of 2001. "Remember what I told you?" He said to Ingrid as they faced together the arresting officers, "That's what they were going to do. Use a bureaucratic excuse to get me." He also told her, as he was led away in handcuffs, where to find her Valentine gift.
In what amounted to a legal kidnapping, Zundel was deported to Canada where he faces extradition proceedings to Germany where "Holocaust denial" is against the law. There, you can get up to five years in prison for having the wrong opinion or, as they put it, for "... defaming the memory of the dead." Two years later Zundel is still in prison as the legal wrangles continue.
….you have just arrived at what is sneeringly called a "Holocaust denier."
Ingrid Rimland
I had neither heard of Zundel nor the Zundelsite until I received an email from Ingrid Rimland asking permission to post my essay Jewish Power as one of her 'Z-Grams' – the emails she sends out to Zundel supporters all over the world. I agreed, and logged onto the Zundelsite. I appreciated its excellent selection of revisionist literature but confess to being a little unnerved by its schwarz weiss rot livery, runic-style logo and anti-Jewish cartoons. But I carried on until I came across her introduction to my piece.
"Despite some occasional slipping into the RKPS mode….this Eisen essay
is one remarkably crafted essay! Beautifully done! Rich in imagery and ice-cold in precision. " …one remarkably crafted essay! Rich in imagery and ice-cold in precision! But what was this RKPS that I was occasionally slipping into?
Dear Paul
RKPS stands for Requisite Knee-fall Paragraph Syndrome. It is a common, near universal writer's affliction in every Western country. It neutralizes what crude folks call a "sh-t detector." It befalls otherwise perfectly reasonable intellectuals much more than low-brow folks. It is as common as freckles.
It kicks in whenever the so-called "Holocaust" comes up. It's automatic. One cannot help it. By inner command, one must immediately get down on ones knees, bow to the dust, pay homage to the "six million", get up, kick Hitler in the shin, deplore the "racism" of the Third Reich, and otherwise distance oneself from the period of '33-'45 so that there is no doubt as to exactly where one stands - fair square against (gulp!) "Nazis".
Now, dear (future) friend - I have probably nixed a potentially congenial friendship right at the start by showing my true colors and putting my foot in the mouth - but I am a German, married to the world's premier thought-criminal presently languishing in Abu Ghraib North, and my heart aches when I read otherwise magnificent writing like yours - and then detect the RKPS. It hurts me, because it is unworthy of thinking and otherwise fair people who have been raised on the Holocaust Drip that has deformed that part of their nature that is meant to be fair and critical.
Here is the example of the RKPS in your piece:
"In its zeal and self belief Zionism has come to resemble the most brutal and relentless of modern ideologies. But unlike the brutal rationality of Stalinism, willing to sacrifice millions for political and economic revolution, this Jewish ideology, in its zealotry and irrationality, resembles more the National Socialism which condemned millions for the attainment of a nonsensical racial and ethnic supremacy." (From "Jewish Power" by Paul Eisen) (3)
You see, Paul, when I read passages like that, I wince. Let me take it apart, bit by bit. "Zealotry", yes - to the extent one wants a better, cleaner, saner, more honest, more compatible world for one's own where life does not feel like having to wear a hair shirt for the benefit of strangers. Scientists deeply committed to their inventions are zealous. Mothers are zealous in wanting the best for their children. I am zealous when it comes to keeping smut out of the language I love. But not zealous like some Deep South Baptist preacher who thumbs the Bible, chews tobacco, and thinks nothing of spitting on your feet.
"Irrationality" - far from it! I used to think like that - I am ashamed to say I suffered badly from RKPS for most of my life. When I first started questioning why I behaved exactly like some brainless robot, I became curious about what people who were part of the National
Socialist movement really thought. I talked to an old man whom I respected deeply for his integrity, and who had lost his only 18-yearold son at Stalingrad. He said to me, holding his son's picture in his hands: "It felt right in my mind, and it felt right in my soul." I asked: "You paid a price. Do you regret it?" And he said very quietly: "How could I? How could anyone who took the trouble understanding?"
That was the start of my resolve to take the trouble understanding.
"Non-sensical racial and ethnic supremacy." You are just plain misinformed. Let me put it this way. You have been lied to about the murder of JFK, about Vince Foster, about the USS Liberty, about Weapons of Mass Destruction, about --- you get the point. You have been lied to and lied to and lied to. You know you have. You accept that. And you haven't been lied to about this "racial and ethnic supremacy" nonsense?
Here's what I say to people who question my motives. Hitler has been dead for more than half a century. I don't want to resurrect him. Nobody in my circle does. It cannot be done. What is gone is gone and is never going to return. But what we Germans want is balanced thinking, fair assessment of what the Hitler days were like. We don't want people to assault us morning, noon, and night for things we didn't do. I for one don't like to watch grown men and women run and hide like rabbits the moment the Holocaust Lobby says "Boo!" After all, we all enjoy the Autobahn, don't we? Why should not our world enjoy the benefits that came out of those times - the research in fighting cancer, for instance? The superb appreciation of genuine art? The emphasis on simple lifestyle, respecting the ecological system? The brilliant strides in space research? It is unworthy of us to let ourselves be spooked by professional smear mongers for profit. Paul, put your hand on your heart and confess: Just what have you read of the times that did not come out of the propaganda mills of Hollywood and such?
For me, your sentence read like a traditional RKPS - to nodding agreement of the audience. Am I wrong?
If I am right, you have just arrived at what is sneeringly called a "Holocaust Denier." I will look you straight in the eye and say that one cannot deny what did not exist. And now, to my regret, we have a mis-tone in our new-found mutual love (dare I say zealotry?) for ideas expressed in precise and finely honed words.
I suggest that forensic science ought to settle that disagreement about what Germans did or did not do in World War II in an open public forum - not by imprisonment and "torture lite" - as has happened to my husband, who sent the first forensic team EVER to inspect the "murder weapon", the so-called "gas chambers at Auschwitz" - and found it not what it was purported to be. Ingrid.
…I am frightened of you but I am more frightened of my ignorance… Message to Ingrid Rimland from a ZGram reader
Ernst Zundel is a Holocaust revisionist or, a 'Holocaust denier' as some would have it. Like all revisionists, Zundel does not deny that the National Socialist regime targeted Jews or that Jews suffered at
their hands, but he does deny specific, albeit key aspects of the Holocaust narrative as we know it. His denial is limited to three areas which should be clearly understood.
That there ever was an official plan on the part of Hitler or any other part of the Nazi regime systematically and physically to eliminate every Jew in Europe.
That there ever existed homicidal gas-chambers.
That the numbers of Jewish victims have been exaggerated.
Although unpopular enough itself, if Zundel had stuck to Holocaust revisionism he might have had an easier ride. But for Ernst Zundel revisionism is but a means to an end. He cannot and will not relinquish his loyalty and devotion, as he sees it, for his country, his people and their history. For him, the revision of the Holocaust is not just the pursuit of a truth, but the pursuit of a truth that will set his people free. Germans stand accused of having committed the worst crime in human history: the premeditated attempt to coolly and efficiently annihilate every Jew in Europe. Zundel rejects this. He is prepared for National Socialist Germany to be held accountable for the crimes it did commit but the attempted genocide of European Jews is, for him, not one of them.
Some readers, even those who stand for free speech, may now be reaching for their delete buttons. After all, maybe Zundel should not be penalized for his beliefs but that doesn't mean that his views must be disseminated, and it certainly does not mean that we have to read them. But free speech is not only the right to think, to speak and to write freely, but also to be given a fair hearing without ridicule and abuse or at least until a proper examination has been made. And you never know, even those who generally find such views repellent, if they were to hear them, even they might hear something worth hearing. So, for those folk prepared to grant to Ernst Zundel the same freedom they grant to themselves, for those who have the curiosity and the courage to pause awhile, this could be an opportunity rarely offered - an opportunity to hear and consider another and hitherto unheard, point of view.
Everybody has a story and everybody has a point of view and in the matter of the events in Europe from 1933-1945 there are many points of view. The British have a point of view, the Americans have a point of view, the Poles, the Dutch, the Russians, the Serbs they all have a point of view and the Jews certainly have a point of view. But the Germans too have a point of view, even those Germans who once called themselves National Socialists, even those Germans who still call themselves National Socialists.
Dear Paul
Many WWII soldiers (now very old) have told me that World War II that is, the war against the East - was really a preventive/defensive
war against Communism, which was Jewish. Europe was about to be overrun by the Red Terror - Stalin had amassed his assault troops at the border, and it was only a matter of weeks, so Hitler hit first. Right now I am reading a book by a Swede, Juri Lina that is one long, horrid accounting of the Bolshevik/Jewish horrors. I don't know how good his sources are - but he has certainly documented them. Six million? Even if it were true, which we say it isn't, it was peanuts compared to the bloodbath in Russia, starting with the 1917 Revolution, all of it laid at the feet of the Jews. How much of that was known in Germany by the common people, I don't know. But it was certainly known by the leadership. And the Jews were seen as subversives, rightly or wrongly, more and more so as the war went on. Add to that the Versailles Treaty that brutalized Germany financially, and the corruption of the Weimar Republic, which brutalized it spiritually, both of which were blamed on the Jews - and you have cause aplenty, as that generation saw it. Ingrid
How do those Germans now nearing the end of their lives, feel when told that what seemed so right then and perhaps even still seems so right was in fact so wrong? And how do those Germans today, born and educated in postwar Germany, feel when told of the shame and disgrace of their parents and grandparents? How might it feel, to be forbidden, alone amongst the peoples of Europe, to recall your recent history with anything but shame? Year after year all over the western world nations proudly parade, remembering their countrymen and women and the contribution they made in the war. At ceremonies they remember their dead and the sacrifices made. But for Germans, only the atrocities are to be remembered, not a word - nothing of the achievements and sacrifices of their fellow Germans. Such was and is the price of 'rehabilitation' and the re-entry of Germany into the family of nations.
Of wartime suffering we hear plenty. The British in the blitz, Americans in the Pacific, French, Dutch and Danes under occupation, Russians and Poles in the East and of course, Jews in the Holocaust, but who hears about the suffering of Germans: the terror-bombing of German cities with the deliberate causing of firestorms, the only purpose of which was the mass slaughter of civilians? In the 1940 bombing of Coventry around 550 civilians were killed whilst in the 1945 bombing of Dresden around 35,000 (the lowest figure I could find) were killed. And our response is to twin Dresden with Coventry which says all you'll ever need to know about 'balance'.
Who cares or even knows about the deportations of millions of Germans from their generations-long homes in the East, the rape and pillage of Berlin and other cities and the hunger and deprivation endured for years and years after the defeat of National Socialism. Who remembers the ten million Germans and Austrians who died in World War 2? Who much cares about Germany post World War 1 – the injustices of Versailles, the hunger, hopelessness, degradation and humiliation? So who will try to understand how it might have felt when a leader came along - a veteran of the war, a brave soldier by all accounts (twice wounded; Iron Cross First-Class), a fellow sufferer, one of their own, a man who promised peace, stability and well-being and the restoration of pride and honor - and, most incredibly of all, at that time kept his promises?
The Hitler we loved and why…
Ernst Zundel was once involved in the publication of a book called The Hitler We Loved and Why, but Ernst Zundel was not the only German who loved Hitler and is probably not the only German who still loves Hitler. Millions of Germans loved Hitler who for twelve years impacted on them as no German has or probably ever will, and, though they never say so, must, deep down still cherish his memory.
In his book "Letters from Cell #7" Zundel tells of a visit he made back to Germany to his aged mother still living in their Black Forest home. They were sitting there, at the table eating supper, just the two of them. It was dark, the clock ticking away on the wall as it had done for years when his mother said to him,
"You know, Ernst, you would never have been born if Adolf Hitler had not come to power."
And she told him how because Hitler kept his promises of bringing work, peace, stability and honour to a ravaged German people, thousands of families who had felt unable to have children, now felt able to have them.
"You are one of those children" she said.
Ernst Zundel the Holocaust denier is a German nationalist and, by his own admission, a racialist. He is an admirer of Hitler and is nostalgic for the National Socialist period of German history. He is anti-Jewish. He is also interested in UFO's. So Ernst Zundel is easily dismissed as a crank, a Nazi, or as Joel Finkel would have it, as 'scum'.
But Ernst Zundel is a Holocaust denier because he believes the Holocaust narrative falsely defames his people and their history. He is a racialist because race, for him a cultural, emotional and spiritual, as well as biological determinant, is vital and precious in the life of human beings and that his own white and German race, as he would term it, is, as is every other race, something to be cherished and preserved. He is a patriot who loves his country, his people, their language, culture and history. He remembers Adolf Hitler for the national regeneration he brought. He knows that he committed terrible crimes but asks that he be judged as any other historical figure like Stalin or Napoleon, no more, no less, and that National Socialism be judged also on its merits and demerits. He believes, as do many others (including many, if not most, Jews), that there exists some kind of Jewish spirit or sensibility but further believes that this Jewish spirit, so often creative and energizing can, if unchecked and unbalanced, be damaging and corrosive to any society and he grieves for the damage he believes it has caused to the world he loved.
But Ernst Zundel does not hate Jews because Ernst Zundel doesn't hate anyone. Ernst Zundel has never committed an act of violence nor has he ever called on anyone else to commit an act of violence. Ernst Zundel has never discriminated against anyone nor has he called on anyone else to discriminate against anyone. Ernst Zundel has never stifled anyone's freedom of expression nor has he ever called on anyone else to stifle anyone's freedom of expression. Ernst Zundel looks on his enemies as they try to silence, prosecute, imprison, bomb and burn him, with bewilderment, sorrow and some anger because, as he has said, "sometimes I simply run out of cheeks to turn".
The War for the Truth The Revisionists
It bears repetition that the denial of the Holocaust revisionists does not extend to the entire Holocaust narrative. Revisionists do not deny that the National Socialist regime brutally persecuted Jews. They do not deny that Jews in Germany were discriminated against, violently assaulted, dispossessed, imprisoned in camps and expelled. They also do not deny that Jews in countries occupied by Germany or within the German sphere of influence were also pitilessly assaulted, dispossessed and subjected to brutal deportations many to forced labour camps where many hundreds of thousands died. Nor do they deny that many Jews were executed by shooting in the East.
But they do deny the Holocaust narrative as we know it in three specific areas.
— They deny that there ever was an official plan on the part of Hitler or any other part of the Nazi regime systematically and physically to eliminate every Jew in Europe.
— They deny that there ever existed homicidal gas-chambers;
— They deny the figure of six million Jewish victims of the Nazi assault and claim that the actual figure was significantly less.
In making their claims, Revisionists have offered a considerable body of work. To what degree they are right, everyone must judge for themselves. Many will take the view that Holocaust revisionism is but pernicious nonsense motivated only by a hatred of Jews and a desire to rehabilitate Hitler and National Socialism specifically, and fascism in general and therefore not even worthy of scrutiny. I don't agree, and those with sufficient curiosity to wish to research the subject can visit the website of the premier Revisionist think tank the Institute for Historical Review, locate the Journal of Historical Review (4) and its archive of articles and papers and start reading. For an overview of the whole subject, they can obtain a copy of Joel Hayward's 1993 M.A. thesis "The Fate of Jews in German Hands" (5)
The Revisionist case is broadly as follows:-
— There exists no documentary evidence whatsoever that there ever was a decision on the part of Hitler or the National Socialist state to physically murder all the Jews of Europe. There is however an abundance of evidence for the decision to persecute, disempower and expel all Jews from Europe
— There is no physical evidence whatsoever for the existence of homicidal gas chambers at Auschwitz or indeed anywhere else. There is however abundant evidence for the widespread use of hydrogen cyanide (Zyklon B) gas and gas chambers for delousing and disinfection against typhus. No-one has yet been able to produce, draw or describe a homicidal gas chamber or produce a photograph or plan of one because no-one has ever seen a homicidal gas chamber.
— No-one has ever seen a homicidal gas chamber because they did not exist. The gas chambers shown to thousands of visitors to Auschwitz are, by the admission of the museum authorities, post-war reconstructions. Common
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images of gas chambers from other locations are either disinfestation chambers or more commonly morgues, air-raid shelters (often gas-tight) or crematoria. Common images of the gassing of Jews – deportees boarding and disembarking from trains, mountains of eyeglasses and shoes, piles of corpses, crematoria chimneys are just that – people and trains, eyeglasses and shoes, corpses, smoking chimneys, no more, no less - they do not constitute evidence of mass gassing.
— Not only is there no physical evidence for the existence of homicidal gas chambers there is substantial physical, architectural, topographical, geographical and forensic evidence against their existence. The critical evidence is in three reports all resulting from investigations at the site itself at Auschwitz. The first and most famous of these was the Leuchter report commissioned by Ernst Zundel in 1988. Acclaimed by revisionists this report was somewhat hurriedly put together and, because of dispute about the interpretation of its conclusions, must be regarded as revelatory but nonetheless, inconclusive. However Leuchter's findings and conclusions were refined and confirmed by a forensic study carried out by German chemist Germar Rudolf and by a forensic examination and report commissioned by the Auschwitz State museum and conducted by Institute of Forensic Research in Krakow.
— The gassing and cremation of the numbers claimed, in the time claimed and with the facilities claimed is simply not possible. Some of the evidence for this conclusion comes from studies of individual gas executions performed in the United States, any study of which will show how hard it is to kill one person safely and efficiently let alone the hundreds claimed.
— The context of much of the evidence for the Holocaust narrative was the Nuremberg Trials – an extraordinary and unprecedented set of trials of the vanquished by the victors with little attempt to find or to tell the truth. Without the evidence generated by these proceedings there would be no significant evidence that the extermination of Jews took place at all. The legitimacy of the court itself was questionable, its procedures were a disgrace with defendants denied basic procedural rights and with much of the evidence presented in the form of survivor testimony taken at face value or confessions beaten and tortured out of the hapless defendants. As a matter of record, the key confession of Auschwitz Commandant, Rudolf Hoess was obtained through torture and coercion. (6)
— The numbers of Jews killed by the Nazis, usually held to be around six million, is grossly exaggerated. This is largely because of greatly inflated pre-war Jewish population figures and underestimated Jewish survival and emigration figures.
— Overall there is very little evidence for the established Holocaust narrative. Hard evidence is elusive, and what evidence as does exist is built largely on eyewitness reports, confessions and hearsay. Witness reports, notoriously unreliable anyway, are in this case, totally false. Many key witnesses have already been demolished in the witness box and many noted ones such as those by Rudolf Vrba, Felipe Muller, Kurt Gerstein and Rudolf Hoess are now partially or completely discredited.
— Many key elements of the Holocaust narrative have already been disproved to the extent that even establishment Holocaust writers have conceded their inaccuracy. Examples of these are the Jews-into-soap story – the long disproved story of how the Nazis used the bodies of gassed Jews to make soap, the use of "steam chambers" to steam victims to death, and the existence of homicidal gas chambers at concentration camps in Germany itself such as Dachau and Buchenwald – all claims were made at Nuremberg and all have subsequently been quietly discarded. Most telling is the quiet downgrading of the figures of victims illustrated by the removal of nineteen signs at Auschwitz which told visitors in nineteen languages that four million Jews died in the camp. These have now been replaced with signs claiming a million and a half (still claimed by revisionists to be a significant exaggeration).
Revisionist research seems to have been carried out in a scholarly manner, is well supported by evidence and is presented in a calm and restrained way. That some revisionists (not all) have histories in far-right activism is true. That some (not all) exhibit anti-Jewish sentiment is also true although this may in part be due to the assaults that many have come under from Jews and Jewish organisations. Some (not all) have, in the past, been affiliated to racist and nationalist organisations, some (not all) speak fluent German and some even are Germans. Such information should lead us to look closely for signs of bias in their research; but not to discount their findings per se.
"Show me or draw me a Nazi gas chamber…"Robert Faurisson (7)
No-one is able to show us, at Auschwitz or anywhere else, even one of these chemical slaughterhouses. No-one is capable of describing to us their exact appearance or workings. Neither a trace nor a hint of their existence is to be found. Not one document, not one study, not one drawing. Nothing. Nothing but some occasional, pitiful "evidence", which vanishes, like a mirage, as soon as one draws near, and which the Jewish historians themselves, in recent years, have finally been obliged to repudiate.
Robert Faurisson (8)
For 15 years, every time that I heard of a witness anywhere, no matter where in the portion of Europe that was not occupied by the Soviets, who claimed to have himself been present at gas exterminations, I immediately went to him to get his testimony. With documentation in hand, I would ask him so many precise and detailed questions that soon it became apparent that he could not answer except by lying. Often his lies became so transparent, even to himself, that he ended his testimony by declaring that he had not seen it himself, but that one of his good friends, who had died in the camps and whose good faith he could not doubt, had told him about it. I covered thousands and thousands of kilometers throughout Europe in this way.
Paul Rassinier (9)
Robert Faurisson the veteran revisionist scholar has written that at the
heart of the Holocaust is Auschwitz, and at the heart of Auschwitz are the gas chambers. He therefore urges those who wished to combat the Holocaust myth to focus their efforts on that heart. It was Faurisson who, in the mid seventies first thought of putting Holocaust revisionism on firm ground by focusing on the material and forensic evidence for or against the existence of homicidal gas chambers. He visited a functioning gas execution facility in the U.S. and saw for himself exactly what it took to efficiently and safely (for the executioners at least) kill one person at a time, let alone the many hundreds at a time claimed by Holocaust writers, and he concluded that "for physical and chemical reasons understandable to a child of eight" the existence and operation of the Nazi gas chambers was fundamentally impossible. But it was the activist Ernst Zundel who, at the time of the second False News trial in 1988 had the idea of sending to Auschwitz a forensic team to determine the issue once and for all. According to revisionists and despite its flaws (most likely due to the speed under which it was formulated), the findings of the Leuchter Report were clear – the facilities held to have been homicidal gas chambers were neither used for that purpose nor could they have been used for that purpose.
Nothing seems to fit about the gassing story. The numbers of victims crammed into the space, the design and construction of the gassing facilities, the lack of protection for the attendants, the implausibility surrounding the rate of cremation, the huge errors, omissions and disparities in eye-witness accounts – all these and more, when added to the near total absence of hard affirmative evidence, makes one wonder why anyone believed such a story in the first place. No-one has yet been able to explain how a gas chamber worked. No-one has been able to explain how pellets of Zyklon B were poured into holes that do not and never have existed. No-one has been able to explain how the Sonderkommando (special detachment) of Jewish prisoner/attendants was able to enter a gas chamber immediately, (even wearing gas masks which do not offer anything like proper protection especially when the wearer is active), after a mass gassing to remove the bodies even though such an environment would have been an ocean of hydrogen cyanide. The deadly gas would have still been everywhere and particularly in the soft tissue of the corpses. In effect, no one has been able to take up the Faurisson challenge: "Show me or draw me a Nazi gas chamber!"
The established Holocaust narrative can, and to a degree, has survived the successful promotion of two of the three revisionist claims. The debate between "intentionalists" and "functionalists" within the establishment in effect concedes that there may not have been a definite intention on the part of the German state to exterminate all the Jews. Similarly by downgrading the Auschwitz figures, the establishment has accepted at least the possibility of downgrading the overall figure of six million. But with the issue of the gas chambers there is simply nowhere to go. To paraphrase Faurisson: no gas-chamber, no Holocaust.
The Holocaust Establishment
Anti-revisionists, Holocaust affirmers, exterminationists - the range of labels on offer reflects the difficulty in naming the opposition. Even the word "opposition", like the phrase "anti-revisionist" itself is misleading because it implies a reflexive, defensive posture. Although establishment writers do often
find themselves responding to revisionist initiatives and do often sound rather defensive, the words "opposition" or "anti-revisionist" also suggest that they are the weaker party or that they have not themselves taken the initiative. This is not the case. Few narratives, true or false, have been promoted more forcefully or more widely than the Holocaust and few lobbies have been stronger, better resourced and enjoyed such complete dominance over the accepted discourse. The same holds true for the term 'affirmers'. The Holocaust narrative may well turn out to require affirmation but you would never know it looking at the huge amount of 'affirming' material currently available. Finally the term 'exterminationist', usually used by revisionists to describe their opponents, though strictly accurate, is rather sneering and demeaning in tone. So we will adopt the relatively neutral term of 'Holocaust establishment'.
For over sixty years there has been no shortage of material promoting the establishment view of the Holocaust - books, articles, films, plays, poems, TV programs, academic studies, conferences, memorials, museums – all supporting and promoting the established narrative and it is only recently that the establishment has felt the need to respond to the claims of the revisionists. As before, for those who wish to research the subject, the following starting points are recommended:-
The ADL website (10) The Niskor website (11)
Many of the contributors to these sites are known Jewish and Zionist activists many with open and established links to Jewish and Zionist activist organizations. Again, this may lead us to view their findings with appropriate caution though not to discard them per se.
The establishment has attempted to respond to specific revisionist claims but only sporadically. They claim that extermination and cremation facilities were indeed perfectly capable of processing the numbers claimed and that all claims are well supported by hard evidence. Any reader can study the evidence which is freely available on the internet, but the debate has degenerated somewhat into a yes-it-is, no-it-isn't squabble – one which could possibly be resolved by the appointment of some kind of judicial body with powers to call on expert witnesses.
But there still remains the problem that there is just not all that much available evidence to support the Holocaust narrative and what is available is often far from satisfactory - documents are often "ambiguous", witnesses are often "confused" or "traumatized" and buildings and installations are often "demolished". Instead of denying the undeniable, the establishment has chosen rather to offer explanations. The lack of documentary evidence is explained by the fact that the final solution was top secret so not only were written communications kept to an absolute minimum but were also written euphemistically. Thus "special treatment" must mean extermination and "evacuation to the East" must mean deportation to a death camp. Similarly, noone has yet been able to come forward and take up Robert Faurisson's challenge to show him or draw him a gas chamber because anyone who saw a gaschamber obviously did not live to tell the tale. The gassing facilities at
Auschwitz-Birkenau shown to so many visitors over the years are now conceded to be "post-war reconstructions", but only because the original gas chambers were destroyed in 1944 to remove the evidence in the face of the advancing Soviet forces. Finally the statements of survivors and perpetrators, whilst conceded to be confusing and contradictory are so because of the traumatic conditions under which these terrible events were observed and the sheer quantity of these statements, and often their poignancy as well, qualify them as acceptable evidence.
But whether because of the lack of evidence or not, the establishment has, in the main, been less concerned with refuting specific revisionist claims than with questioning the right of revisionists to make them. For many Holocaust writers, and indeed for almost the entire intellectual establishment worldwide, the Holocaust happened and that is that. In 1979 in response to Faurisson's questioning of the gas-chambers, thirty four French intellectuals published an appeal in Le Monde, the second sentence of which stated, "We must not ask how such a mass murder was technically possible - it was technically possible because it happened." For most establishment figures to even discuss the issues is to concede to revisionism legitimacy it does not deserve.
If somebody came along today and reported the calling of a scientific congress to examine the question of whether the sun revolves around the earth or the earth around the sun, he would either be ridiculed or declared noncompos mentis. It wouldn't occur to anyone to discuss the matter seriously... A similar thing occurs with the propagandists of the so-called 'Auschwitz Lie' or 'Holocaust Lie': their statements that there was no extermination of the Jews, is so obviously false that it is basically unworthy of serious scientific discussion. (12)
Such is the view of Deborah Lipstadt, Associate Professor of Jewish and Holocaust Studies at Emory College. Lipstadt, to her supporters a scholar of the Holocaust, to her detractors, a Jewish ethnic activist, has written extensively about Holocaust revisionism. Jewish herself and from a relatively orthodox background, Professor Lipstadt has had a lifelong allegiance to, and has been active in Jewish causes. She is a committed Zionist and is funded and aided by many Jewish and Zionist organizations such as the Vidal Sassoon International Centre for the Study of Anti-Semitism at the Hebrew University and the ADL – again, cause for scrutiny of her claims but not outright rejection.
Rather then dealing with revisionist claims, Lipstadt has focused on the revisionists themselves: their credibility, qualifications, motivations, affiliations and methods. In her book Denying the Holocaust: The Growing Assault on Truth and Memory, she traces the development of revisionism from the late forties to the early nineties and aims to demonstrate that the revisionists are overwhelmingly anti-Semitic with long connections to fascist, white supremacist and generally racist organizations, that their motivation is nothing less than to rehabilitate the Hitler regime specifically, and fascism and anti-Semitism generally and their scholarly veneer is just that; a cover for their racist and intolerant views.
Those who argue that the Holocaust deniers must be given a fair
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hearing fail to recognize that the deniers' quest is not a search for truth. Rather they are motivated by racism, extremism, and virulent anti-Semitism.…their methodology is based on deception and falsification, and the scholarly and restrained tone of most revisionist writings, are merely window dressing to conceal their real character and intentions. Deborah Lipstadt (13)
She maintains that the revisionists are not only a danger to the validity and memory of the Holocaust itself but also constitute a general danger to history and scholarship itself and even to democratic life as we know it.
Holocaust denial should not be seen as an assault on the history of one particular group. It repudiates reasoned discussion, the way the Holocaust, itself, engulfed all civilization. Its attack on Jewish history is, like anti-Semitism, an attack on the most basic values of a reasoned society. Deborah Lipstadt (14)
For a long time Professor Lipstadt chose to ignore the revisionist challenge but the ever-improving quality of revisionist scholarship does not go unnoticed,
Lately, the deniers' work has become more virulent and dangerous, in part because it has become more sophisticated. Their publications, including The Journal of Historical Review, mimic legitimate scholarly publications. This confuses those who do not immediately know the Journal's intentions. Deborah Lipstadt (15 )
So she now responds but only insofar as to challenge their credibility, she still refuses to either debate them or to respond to their specific claims. For her there can be no discussion of the essential truth of the Holocaust.
Despite the favorable balance of power and their successes both inside and outside the courtroom, neither Professor Lipstadt nor the rest of the Holocaust establishment are actually doing all that well. Revisionism and its influence has grown steadily and the revisionists exhibit a confidence and sureness of touch whilst the establishment seems at times to be somewhat rattled. And the revisionists are not without guile. Identified as the eternal underdogs in this struggle, they have adopted a devastatingly effective passive-aggressive posture – a wide-eyed innocence in claiming that revisionism has no ideological base and is simply a method for seeking the truth. Nonetheless whatever their ideological motivations, they have in the main confined themselves to scholarly investigation conducted in a responsible manner and have, with devastating single-mindedness, piece by piece, proceeded to unpick the hitherto sacred Holocaust narrative.
Take the case of Raul Hilberg. In 1961 Hilberg published The Destruction of the European Jews. In this book, seen as a foundational text of the Holocaust, Hilberg describes an undertaking personally supervised by Hitler who issued two effective orders to set the genocide in motion. These orders were acted upon by various administrative agencies especially in the police and military which prepared, organized and executed this vast criminal enterprise. For twenty-five years this view remained substantially unchallenged until in 1976 Arthur Butz published The Hoax of the Twentieth Century and in 19781979 Robert Faurisson published two articles in Le Monde claiming that the
Nazi Gas chambers could not have existed. A panel of experts was assembled to assert that the gas chambers did exist and among the experts was Raul Hilberg. Just before the start of the proceedings Hilberg gave an interview to the French magazine Le Nouvel Observateur in which he acknowledged there were no existing documents to prove the existence of the gas chambers or that the extermination of the Jews was conceived and planned by the National Socialist regime. On February 22nd 1983 in New York, at an event organized by the Holocaust Survivors Foundation, Hilberg said,
What began in 1941 was a process of destruction not planned in advance, not organized centrally by any agency. There was no blueprint and there was no budget for destructive measures. They were taken step by step, one step at a time. Thus came about not so much a plan being carried out, but an incredible meeting of minds, a consensus - mind reading by a far-flung bureaucracy."
This was confirmed in Hilberg's testimony at the first Zundel trial in Toronto in 1985 and again in the same year in the revised edition of his book which included the following:-
In the final analysis, the destruction of the Jews was not so much a product of laws and commands, as it was a matter of spirit, of shared comprehension, of consonance and synchronisation.
Apart from bewilderment at such a tale of consensual genocide conceived and directed by mind-reading, there must also be some acknowledgement that such a protracted and agonizing volte-face could only have come about as a result of the steady drip-drip of revisionist endeavor – and all achieved whilst the revisionists were being prosecuted, fined, imprisoned, assaulted and certainly shunned.
The Holocaust establishment has often preferred to respond less with argument and more with power. Largely due to pressure from Jewish organizations, Holocaust revisionism is subject to legal penalty in Israel, France, Germany, Canada, Switzerland, Australia, Belgium, Austria, Sweden, Denmark, Poland, and Spain. Laws in these countries make it a crime for anyone, regardless of their credentials or the factual basis of their views, to question or revise any aspect of the history of World War II or the Holocaust in a manner that goes beyond the standards established by the governments of those countries. Also some countries punish revisionism without even having such laws (USA, Great-Britain, Netherlands etc). In the U.S. a California judge took against the IHR "judicial notice" of the existence of the Nazi gas chambers. In France, in 1949-1950, forty years before the specific law of July 13 1990, revisionists had been sentenced for their writings.
A person who, in writing or by word of mouth, publishes any statement denying or diminishing the proportions of acts committed in the period of the Nazi regime which are crimes against the Jewish people or crimes against humanity, with intent to defend the perpetrators of those acts or to express sympathy or identification with them, shall be liable to imprisonment for a term of five years (16)
Historians, researchers, authors, and publishers are being fined, imprisoned, placed under gag orders, expelled from their native countries, and denied entry into others. Revisionists facing prosecution have sometimes faced the absurdity that any defense of a revisionist character i.e. any claim that the revisionist position was actually correct, would itself constitute a repetition of the offence; also, any witness who gave testimony in support of the revisionist position could, upon demand of the prosecution service, himself be immediately charged.
In addition in these and most other countries in the western world, even where not technically illegal, revisionism has carried the risk of severe penalty including loss of employment and social exclusion of many kinds. Finally revisionists have been on the receiving end of much violence both threatened and real. All leading revisionists suffer legal assaults, all suffer social and professional exclusion and many have suffered physical attacks. Holocaust revisionism today is, quite simply, held as witchcraft was held in previous times, to be a Holocaust denier is to place oneself on the outside of civilized society on a level with a pedophile.
This exercise of power has yielded victories. Revisionism has been kept out of the main media; revisionists have been denied access to the discourse and the establishment has achieved a couple of stunning retractions such as this one from Joel Hayward, who in 1993 wrote a thesis in which he endeavored (and in my view, succeeded) to faithfully describe the state of the revisionist/establishment conflict.
I now regret working on such a complex topic without sufficient knowledge and preparation, and hope this brief addendum will prevent my work causing distress to the Jewish community here in New Zealand and elsewhere or being misused by individuals or groups with malevolent motives….. I can now see that I failed in my M.A. thesis to place adequate analytical weight on the motivation of numerous authors on the Holocaust, even though some were obviously writing with a view to attacking Jews and rehabilitating Nazis.
Joel Hayward (17)
And this statement from the young Jewish revisionist David Cole obtained through less than legal means and faxed to Irv Rubin, then head of the Jewish Defense League, is worth quoting in full.
This statement is given in an attempt to set the record straight about my current views regarding the Holocaust and Holocaust denial. As anyone who follows the subject of the Holocaust denial knows, from 1991 until 1994 I was well known in the movement as a Jewish Holocaust denier (a self-described "revisionist"). For the last three years I have no longer been associated with this movement, having realized that I was wrong and that the path I was taking with my life was selfdestructive and hurtful to others. I have spent the last few years in silence on the subject of my time with the denial movement, a silence
caused mainly by my shame at what I had done with my life and my desire to distance myself from that life.
However, in that shame-induced silence it has been brought to my attention that I have not gone as far as I should have to make a clear and complete public statement in order to set the record straight as to where I stand. It is my great hope that this statement accomplishes that task.
I would like to state for the record that there is no question in my mind that during the Holocaust of Europe's Jews during World War II, the Nazis employed gas chambers in an attempt to commit genocide against the Jews. At camps in both Eastern and Western Europe, Jews were murdered in gas chambers which employed such poison gases as Zyklon B and carbon monoxide (in the Auschwitz camp, for example, the gas chambers used Zyklon B). The evidence for this is overwhelming and unmistakable.
The Nazis intended to kill all of the Jews of Europe, and the final death toll of this attempted genocide was six million. This atrocity, unique in its scope and breadth, must never be forgotten.
During my four years as a denier, I was wracked with self-hate and loathing, a fact that many of my critics were quick to point out. Indeed, this self hatred was obvious to most, but I was too blind to see it. The hate I had for myself I took out on my people. I was seduced by pseudo historical nonsense and clever-sounding but empty ideas and catchphrases. When my eyes were finally opened, thanks to several good, kind friends who refused to give up on me even at my worst, I was horrified by what I had done. My instinct was to flee and never look back, but I now understand that I owe it to the people I wronged to make a forceful repudiation of my earlier views. I also owe a very large apology, not only to the many people I enraged, and to the family and friends I hurt, but especially to the survivors of the Holocaust, who deserve only our respect and compassion, not re-victimization.
Therefore, to all of the above people, let me offer my most humble and very, very sincere apology. I am sorry for what (I) did, and I am sorry for the hurt I caused.
And just as I must set the record straight concerning my views, it is also incumbent on me to set the record straight regarding the video "documentaries" and media appearances I did from 1991 to 1994. These "documentaries" are merely videotaped garbage filled with self-hatred and pseudo-intellectual nonsense. My "media appearances" were nothing but an embarrassment. My glazed look, specious reasoning, and talking-in-circles during my talk show appearances would have hopefully alerted any astute viewers that this was a man not in touch with reality.
It has been brought to my attention that Bradley Smith is still using one of my videos in advertisements he is running on college campuses. Therefore, I would like to make these additional points: This video is being advertised without my consent, and I denounce this video as being without worth. Bradley Smith is no historian, and denial is no "historical field". Students on college campuses should look elsewhere to find out about the Holocaust. To these students, I would say, look to books like Hilberg's "Destruction of the European Jews", Yahil's "The
Holocaust", and Dawidowicz's "War against the Jews" for correct information. If your school library doesn't stock these books, have them order copies. Do not pay any attention to any "David Cole" videos, except to rightly denounce them as frauds.
I am thankful for being given the opportunity to make this statement. This statement is made freely and under no duress, and is quite willingly, even happily given to Mr. Irv Rubin of the Jewish Defense League for the widest possible distribution. This statement is the most current and accurate compilation of my views, and it supersedes any previous writings, videos, or statements. It is my hope that there will be no more confusion as to where I stand. I thank you for letting me set the record straight.
David Cole (18)
Despite these victories it is still true that there is remarkably little hard evidence to support the established Holocaust narrative and people are bound to ask how such a vast and complex undertaking as the premeditated and mechanistic extermination of such a huge number of people could possibly have taken place without leaving a clear trail of evidence, both documentary and physical. Also with regard to tactics and strategy, Holocaust activists are in something of a no-win situation. If they debate the revisionists they give them credibility and concede that the Holocaust is a matter for debate, if they refuse to debate with them, as in the main they do, they lay themselves open to the charge that they have something to hide.
And of course the internet has changed everything. Revisionist material, previously unseen, is now available at the click of a mouse and you don't have to go into some dubious bookshop to get it. Online booksellers who have elected to stock revisionist materials have inevitably given it a new respectability. E-mails and newsgroups have widened and speeded up the debate. So much more can be said, so much quicker and to so many more people and for the moment at least, no-one can stop you saying it or reading it.
Reading the revisionist literature one senses a confidence, not only that revisionists believe themselves to be right but also that the future lies with them. In 1988, at the time of the second Zundel trial and in reference to Ernst Zundel himself, Robert Faurisson wrote:
"Zündel may once again go to prison for his research and beliefs or be threatened with deportation. All this is possible. Anything may happen when there is an intellectual crisis and a realignment of historical concepts of such a dimension. Revisionism is the great intellectual adventure of the end of this century. Whatever happens, Ernst Zundel is already the victor."
But how could it be so?
This must surely be the establishment's strongest weapon - the sheer incredibility of the revisionist proposition. How could such a deception have taken place? How could all those survivors be so wrong in their testimonies? How could all those perpetrators be so wrong in their confessions? How could all those documents, unspecific as they are, have been falsified? Arthur Butz
called his groundbreaking revisionist study "The Hoax of the Twentieth Century" but a hoax of this size and nature just defies belief. Conspiracy theories rarely convince, nor do those who propagate them, so surely the sheer absurdity of the revisionists' claim tells us all we need to know. If revisionism is to have any credibility at all it must demonstrate how, if false, the Holocaust narrative, as we know it, came to be.
The first reports of the mass slaughter of Jews by the Germans were propagated in the spring of 1942 by Jewish and Zionist agencies and published in the Jewish press. These entirely uncorroborated reports received immediate and unmatched credibility by being broadcast (on one occasion in Yiddish) back into Poland by the BBC, and by repetition in the American press, particularly the New York Times. They spoke for the first time of extermination, but not only by gas. According to these reports Jews were being steamed to death, suffocated to death, pressed to death and electrocuted as well as being gassed. It is only later in reports compiled by the Soviet authorities when they liberated the camps of Majdanek and Auschwitz-Birkenau in 1944 and 1945 that gassing emerges as the main method of slaughter and even later, as just one element in the shower-gas-cremation sequence which now lies at the heart of the Holocaust narrative.
It is with these Soviet reports plus others from the World Refugee Board that the now-familiar extermination narrative emerges. The victims disembark from trains for selection. Those designated for extermination are taken to complexes designed to look like disinfection facilities. There they are separated into sexes and led to undressing rooms where they undress. Then they are led, 600-700 at a time, into huge rooms resembling shower rooms. When the rooms are crammed full Zyklon B pellets are dropped from apertures in the roof and, as the temperature rises, hydrogen cyanide gas is released. The victims take about five to fifteen minutes to die, watched all the time through glass peepholes in the doors by SS personnel. An interval of about half an hour is allowed for the gas to clear assisted by a ventilation system after which a Jewish Sonderkommando (special detachment) enters with gas masks, rubber boots, gloves, hooks and hoses to disentangle, hose down and remove the bodies. The bodies are taken to mortuaries where gold teeth etc. are extracted with pliers and they are then transported to crematoria where they are burned to ashes. If the number of corpses should prove to be too great for the cremation facilities, then those remaining are taken to be burned in specially designed open pits.
But if such a narrative is false it is interesting to speculate as to how it took the form it did. Possible answers may be found in the 50-100 year history of Europe prior to the events under investigation. This period saw huge movements of people westwards, many of them Jews and many of them migrating to or through Germany. All over central and western Europe but particularly in Germany there was a problem with, and a fear of epidemics, particularly of typhus and many of the receiving authorities, and particularly the German authorities, were intent of developing and implementing mass disinfection and disinfestation procedures. These included mobile and stationery mass steam and shower baths and mobile and stationery facilities for the disinfestation of clothing by gas. The gas used for disinfestation was of course hydrogen cyanide gas in the form of Zyklon B pellets.
This use of gas for delousing and disinfestation must be set against the background of the very real use of poison gas as a weapon in the Great War and in various other areas of conflict both real (such as by the Italians in Abyssinia) and imaginary (as by the Martians in The War of the Worlds radio broadcast of 1938). It should also be noted how after the introduction of gas onto the battlefield in 1915, stories of homicidal gassings of civilians began to appear in atrocity propaganda. In March 1916 the Daily Telegraph reported that the Austrians and Bulgarians had murdered hundreds of thousands of Serbians using poison gas.
At roughly the same time cremation was increasingly being used for the disposal of bodies and particularly for the mass disposal of epidemic victims. Cremation as a means of corpse disposal was widely promoted by the German National Socialist regime - a regime noted for its modern attitudes to technology – and it was also universally used in its euthanasia programme. One result of the use of cremation in these euthanasia killings, was that it fed the general suspicion that cremation was used to conceal the cause of death by gas poisoning (deaths in the euthanasia programme are now thought more likely to have been by lethal injection) which was widely (and falsely) believed to cause disfigurement. So cremation became associated with attempts to deceive the population about the cause of death. In effect, all these techniques of disinfection and cremation, considered to be at the very cutting-edge of modernism by enlightened western Europeans, were viewed by large sections of the European masses - and particularly by immigrants, usually poor, conservative and deeply superstitious, and even more particularly by the eastern Jewish masses with their additional religious concerns about mass undressing and cremation etc – with the deepest suspicion.
It's not so crazy if you put yourself in the shoes of a poor Jewish immigrant fleeing the conditions of Tsarist Russia. You arrive exhausted and terrified together with a mass of similarly exhausted and terrified folk at a German border station where you are confronted with uniformed guards and officials shouting at you in a language you barely understand. They want to separate you from your men- and women-folk, to undress you and to put you into large cold and forbidding chambers. You've heard the stories as you stand naked and shivering under the showerheads and wait for what you have been told will be water, but for what a part of you fears will be gas. An account from a surprising quarter illustrates the point:
I remember fairly clearly one such "experience" sometime in 1944. This was during the Wehrmacht retreat from the Eastern front, when huge refugee treks of ethnic Germans traveled westward with horsedrawn wagons under German Army protection, experiencing horrendous hardships from hunger and cold, the advancing Red Army ever in our backs.
My family belonged to German-descent Mennonites, a fundamentalist Christian community who had come to the Ukraine in 1789, but we still considered ourselves to be Germans and still spoke the German language. Ever since the 1917 Bolshevik Revolution - which happened when my grandmother was still a young woman and my
mother was only four years old - my people had been savagely persecuted by the Communists. Many of my cousins, aunts, uncles, more distant relatives perished in waves of ethnic cleansings. This persecution started before I was born and became deadly in 1938, affecting practically every male age 14 and over. My own father was exiled to Siberia when I was only five years old in 1941, and our entire family escaped exiling only at the last moment, literally hours before the German Army overran the Ukraine in September of that year - only weeks after my father was taken from us forever.
When the (for us) voluntary retreat to Germany began two years later, in the fall of 1943, there were four of us left - my grandmother, my mother, my baby sister and I. The rest of our family had either been exiled to Siberia, been killed, or simply disappeared in the havoc of those horror years since 1917. Now we were running for our lives from the Red Army - almost all of us women and children.
We entered Nazi-occupied Poland sometime in 1944 and were invited to be officially naturalized as Germans. I remember the city as Litzmannstadt (Lodz) but I cannot be sure.
But first we had to be deloused. Naturally! As far as I know, this was routine for everybody entering German-occupied territory and certainly Germany proper, an obligatory health measure to control epidemics such as typhus, a disease that was carried by lice. Everybody who was coming from the East was infested with lice in those days Russians, Poles, Germans, Jews - soldiers and civilians. There was no way not to have lice, unless you underwent delousing. We were made to enter a long train. Whether that train took us to a building, or if it ended in a building, I don't remember any more. Somehow the rumor sprang up that we were going to be gassed. I have no idea who started it. As a seven-year old, I do remember how terrified I was.
We were all stripped naked, had our hair shorn, and then, while we were all sitting, old and young, in long rows of benches, water and soap, probably mixed with insecticide, rained down on us from shower heads above. I don't remember the relief, only the fear. Similarly, the rumor sprang up on that train that the Germans were looking for "yellow blood", presumably Jewish, by clipping our ear lobe. I was just as terrified of that one.
Ingrid Rimland
So these Soviet reports with their now-detailed descriptions of the showergas-cremation procedure of extermination, coming after three years of other terrifying reports of exterminations of Jews and others by the Germans and also in the context of fears in Europe about the use of gas as a weapon used against civilians and of cremation as a new and unfamiliar method of the disposing of bodies, could possibly have been instrumental in laying the foundations of the Holocaust gas-chamber narrative as we know it. Certainly from the time of those reports, the mere presence of showers, disinfestation gas chambers and crematoria had become in itself evidence of mass homicidal gassing.
So when the western armies came across the German concentration camps at Belsen, Dachau and Buchenwald sites at which it is now known that there
were no mass extermination facilities, and saw the now familiar images of skeletal, diseased inmates and piles of discoloured corpses and discovered sealed rooms, showers and crematoria which we now know had been used only for disinfection and disinfestation, and encountered inmates who were prepared to tell them tales of mass exterminations, they were both able and willing to interpret it all in terms of what they had heard, rather than what, in this instance at least, was the truth.
Whatever conditions might have been in the German camps throughout the war, by 1945 and the final defeat of Germany the system, and particularly the camp system, had collapsed and conditions were catastrophic and it was the results of this collapse which the western armies came across. The Americans and the British saw these things, and, most critically, filmed and photographed them, as clear evidence of a planned genocide, rather than what they were: the result, particularly in the form of typhus epidemics, of a breakdown of Germany generally and the camp system in particular, under the onslaught of the allied saturation bombing.
Although it cannot entirely be ruled out that some of these authorities knew that they were propagating a myth, it seems most likely that the Jewish authorities who first spread reports of exterminations were reacting only from a real concern for their fellow-Jews, known to be under ferocious assault by the Germans who, at the time of those first reports, were ratcheting up their assault on the Jews by beginning brutal deportations to the East. But what of the other authorities involved – the Americans, the British and the Soviets? These authorities surely would have been happy to accuse the Germans of absolutely anything and possibly not averse to a little falsification of the evidence if needed. After all, these same authorities had been perfectly prepared to continue to accuse the Germans of the massacre of over 4000 Poles at Katyn - a deed they knew full well had been perpetrated by the Soviet NKVD. In fact, the only cases where there is any evidence of contrived fabrication occur at the liberation of the camp at Majdanek by the Red army, at which time the Soviet authorities closed the site for a month and then presented to the world some highly questionable evidence of mass extermination of Jews. A similar conscious fabrication may also have taken place at Auschwitz. In any event, intentional or not, all was now ready for the story to take off.
Any story, true or false, is easily spread if there are fabricators, peddlers and believers and this is all the more so if all three are combined. The Holocaust had plenty of all three. Moving down the chain of command we find plenty of examples at the Nuremberg trials where the alleged crimes of the vanquished were formalised by the victors. The Nuremberg investigators, as they worked their way through the mountains of alleged eyewitness testimonies believed that there were gas chambers as they strove to establish the truth. The army interrogators, as they punched and pummeled their way through the hapless defendants believed that there were gas chambers and that they were merely trying to get at the truth. The lawyers, as they presented highly questionable documents as hard evidence believed that there were gas chambers and that they were only trying to get at the truth. And the survivors of the deportations, raw and traumatized, full of unimaginable feelings including hatred and a thirst for revenge, were surely perfectly capable of believing that there were gas
chambers and that they were only telling the truth. After all, was not all Europe, including the camps, rife with reports of gas chambers and anyway, had not soand-so seen them? And as for the defendants, many unsure of the truth themselves and possibly themselves totally bewildered by the extermination claims, they may have seen it in their best interests to go along with he what the court had ready decided. Some may even have found some comfort in their moment of world-class notoriety as they mounted the gallows and anyway, stopping the pain was motivation enough - the solitary confinement and sleep deprivation, the floggings, the threats to family and loved ones and the constant humiliations, perhaps it was just easier to confess.
Nor do we need much to persuade us that the Jewish leadership might have been ready and willing to propagate and believe such a tale. Jews suffered terribly under National Socialism - nobody denies that, neither revisionist or non-revisionist. They had been persecuted, expelled and assaulted. They had been forcibly deported and incarcerated in brutal labor camps where thousands upon thousands had died from exhaustion, malnutrition and maltreatment. In the East many Jews had been shot. Jews had little reason to love the Germans.
Nor would it be the first time that Jews have accepted and propagated stories, true, false or a mixture of both, of their suffering. The Holocaust is only the latest, albeit the worst of a series of tragic calamities to have befallen the Jewish people and Hitler sits well with Pharaoh, Amalek, Haman, Tomas de Torquemada and Bogdan Chmielnitski - all enduring hate-figures in the Jewish martyrology. Nor would this be the first time that Jewish chroniclers (or any other chroniclers for that matter) have used some poetic license in describing their suffering. The Talmud tells that at the time of the destruction of the second temple – held in Jewish history to be the one historical precedent for the Holocaust - the Romans slew 'four billions," the blood of the Jewish victims was so great that it became a 'tidal wave carrying boulders out to sea', and staining the water for four miles out. The bodies of the Jews were used as 'fence posts' and Jewish children were "wrapped up in their Torah scrolls - and burned alive all 65 million of them." In a context like this, the utterances of Elie Wiesel, become a little more understandable.
Not far from us blazed flames from a pit, gigantic flames. They were burning something. A lorry drove up to the pit and dumped its load into the pit. They were small children. Babies! Yes, I had seen it, with my own eyes... Children in the flames (is it any wonder, that sleep shuns my eyes since that time?). We went there, too. Somewhat further along, was another, bigger pit, for adults. 'Father", I said, ' if that is so, I wish to wait no longer. I shall throw myself against the electrified barbed wire fence. That is better than lying around in the flames for hours." (19)
But for a story of this magnitude to be spread, many more believers were needed, than a few over-mighty politicians and soldiers and thousands of traumatized and broken survivors, and, save for a few insightful cynics at the very top of the British, American, Soviet and Jewish leaderships, believe it they did. True, there was little hard evidence, but what there was could so easily be made to fit. After all, everyone knew that the Germans had engaged in purposeful mass extermination of Jews therefore "special treatment" and
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"deportation to the East" must be euphemisms for extermination, and any sealed chamber attached to a crematorium especially if used for disinfestations by gas, must have been a homicidal gas chamber.
Once momentum is achieved all that is needed is an extended game of Chinese whispers to result in a Holocaust narrative, conceived in the real and terrible wartime suffering of Jews, portrayed as imagined in newsreels and photo-reportage, framed and formalized at Nuremberg and subsequent trials and then, most critically of all, later turned into religious dogma. Set all this in the context of a western world obsessed by Jews and its own ambivalence about Jews and Jewish suffering, a Jewish population traumatized by its very real and recent suffering, an immensely influential Jewish culture which places suffering at the core of its self-identity and a Zionist leadership desperate to win world sympathy for a Jewish state in Palestine, and the idea of such a story, even if false, gaining near universal acceptance, really isn't that hard to believe.
After all, people once believed the earth was flat and sat on the back of four elephants riding on a turtle. They believed the earth was the centre of the universe and persecuted skeptics with the same fervor and with about as much justification as they do today's Holocaust revisionists. People today believe that JFK was assassinated by a lone gunman with a magic bullet. They believe in astrology and fortune telling, in bodily auras and out-of-body experiences. They believe that the Children of Israel were guided in the desert by a pillar of smoke by day and of fire by night, that Jesus was born of a virgin, died and was resurrected, and that the Prophet Mohamed ascended to heaven after seeing Mecca and Jerusalem. Why, they even believe that Palestine was a land without a people for a people without a land! So what is so hard to believe about the planned and premeditated slaughter of six million Jews by modern industrial methods, loaded in their millions onto trains and taken to industrialized killing centers where they are done to death thousands at a time in huge slaughter halls, their bodies burned to ashes and their bones ground into dust? People believe in heaven and they believe in hell so why not the hell of the Holocaust?
The War for the Spirit
A friend and colleague in solidarity with the Palestinians wrote:-
(Your writing) ultimately serves the same forces of racism that allow Israeli soldiers to kill Palestinians in cold blood. The Nazis not only articulated – they took daily, direct action to implement -- their conception of a racial hierarchy. They killed people they believed threatened Aryan racial purity and superiority -- the physically and mentally handicapped; gypsies; homosexuals; Slavs; Poles; Jews. Tinkering around trying to establish whether or not millions were gassed or killed by other means seems to me to be simply running away from the central political point: that racist ideologies are fundamentally murderous, and when people who espouse them get into power, they become literally murderous. What else matters? Do you really think that 'proving' that a few hundred thousand Jews/Slavs/Poles here and a few hundred thousand there were shot rather than gassed, will make any difference at all to how the state of Israel is perceived, or how
Israelis perceive themselves, to Europe's sense of culpability (displaced onto the Palestinians, of course), or whether or not Europe and the US decide to implement sanctions against Israel, or withdraw financial support to Israel.
These are difficult questions. Does writing about Holocaust revisionism give it a credibility it does not deserve? Does revisionism give to National Socialist ideology a credibility it does not deserve? Is Holocaust revisionism inextricably linked to fascism, racism and anti-Semitism and if so, should we then not investigate it? Is National Socialism worse than many other ideologies such as Stalinist Marxism which we do deem suitable for objective investigation? Does confirming the truth or otherwise of the Holocaust have any bearing on the struggle of the Palestinians against Israeli oppression?
For what they're worth my views are: Writing without prejudice about Holocaust revisionism must inevitably give it some credibility but in my view, for reasons now obvious, this is deserved. Holocaust revisionism is not inextricably linked to fascism, racism and anti-Semitism, though I can see how it might seem that way. Revisionist scholarship inevitably gives increased credibility to National Socialism, in that it allows the possibility that the National Socialist regime was not quite as unspeakable as it has been painted. Whether this is deserved or not depends on the result of the scholarship. As for whether National Socialism is worse than the many other ideologies that are considered worthy of unbiased study, the answer is that I don't know.
But we are entitled to search for the truth. The real crime committed by the National Socialists – the exclusion, disempowerment, deportation, enslavement, death by omission and by commission and expulsion of a people simply because they were that people – was a terrible one. One does not need gas-chambers to make the targeting of Jews just because they are Jews, extraordinary and unacceptable. Nonetheless, if this targeting did not extend to extermination, if there were no gas-chambers and if six million Jews did not die, then we should know it and, if necessary address the implications. If there is some reason why we should not investigate this matter then the onus is on those who would deny us that right, to say why. Those who would deny us that right have tried to say why, but in my view they have failed miserably.
But what does it matter how many Jews were murdered and in what way and with what intention? A murder is a murder and one murder is one murder too many. What difference will it make whether the Holocaust is proven or not? Will it have any affect whatsoever on the status and attitudes of Israel or on its behavior towards the Palestinians – issues on which we pressingly need to focus?
But the Holocaust is not just murder. Nor is it just mass murder. Nor is it even just genocide. There have been plenty of murders, mass murders and even genocides but none have been memorialized like the Holocaust. The Holocaust is held to be the worst crime in human history, and this is not because more people were killed or because they were killed more brutally or more senselessly. Three million Polish Jews are held to have died in the Holocaust. Three million Polish non-Jews also died in the same period of history yet the
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Jews, as evidenced by the memorialisation accorded them, are seen as more important. Fifty million people died in the Second World War, including twenty million Russians, ten million Germans and Austrians and six million Jews. Yet only the Jews warrant a "Holocaust"'.
Is this because it was only Jews who were targeted for obliteration simply because they were Jews, and because it was only Jews who were exterminated in such a cool, premeditated and modern fashion by such an advanced, liberal and enlightened nation in the heart of Christian Europe? If the revisionists should prove their case that Jews were not targeted for extermination, that there were no gas-chambers and there was no six million, would there then be no Holocaust? Would Jews become just more tragic victims of a tragic period of history, on a par with the millions of other victims, including the thousands upon of thousands of German civilians slaughtered in the terror bombing of German cities by the western allies?
The revisionist community has probably said just about all it can say and proved all it can prove and have probably made the case sufficiently to at least cast doubt on the veracity of the Holocaust narrative. Future historians may well reject the Holocaust as history but, the Holocaust may yet go on, no longer as history but as ideology and even theology. Even though the evidence may lead us to accept that there never was intent to eliminate every single Jew from Europe, or any gas-chambers at Auschwitz or anything near six-million victims, this may not make one iota of difference any more than archeological evidence might prove that there was no Exodus from Egypt and medical science might throw doubt on the virgin birth.
Because there is another possibility - that the suffering of the Jews is held to be the worst crime in human history not because of the nature of the crime but because of the nature of the victims. Maybe Abe Foxman had it just about right when he wrote:-
(The Holocaust is)… "not simply one example of genocide, but a near successful attempt on the life of God's chosen children and, thus, on God himself" (20)
Because it may be that the Holocaust is not just special, it may be that the Holocaust is sacred. It may be that speaking of the Holocaust alongside other atrocities is like speaking of the Passion as being the crucifixion of one troublemaker and two thieves. It may be that the Holocaust is a narrative of suffering greater than just of one person on a cross.
If Auschwitz is something other than a horror of history, if it goes beyond the 'banality of evil', then Christianity totters on its foundations. Christ is the Son of God, who went to the end of the humanly endurable, where he endured the cruelest suffering... If Auschwitz is true, then there is a human suffering which simply cannot be compared with that of Christ... In this case, Christ is false, and salvation will not come from Him…… Auschwitz is the refutation of Christ.
So the Holocaust and Jewish suffering, no longer history now theology, have become a religious imperative for Jews, and more critically for all Jews, even for those Jews who regard themselves as secular, who haven't been near a synagogue since they were children, even for those Jews who don't much consider themselves Jews. Take ten Jews today, maybe three will worship God, perhaps nine will worship the state of Israel, nine-point-five may worship "The Jewish People" but nine-point nine-nine-nine recurring will worship Jewish suffering and the Holocaust. The Holocaust resolves the great dilemma of modern Jewish life - how to be a Jew when you no longer believe in the Jewish God. Secular Jews have found many gods to replace the one they reject – Marx and Trotsky, atheism, psychoanalysis, multiculturalism, human rights, money and success, and of course, Zionism – there's lots to choose from but only one that serves as a catch-all for everyone. And if you don't believe it, try this - go find the most educated, secular, progressive, enlightened, perceptive, sensitive Jew you know - deny the Holocaust and then stand back.
But the Holocaust is not confined to Jews. The Holocaust is not only the central martyrdom and therefore a religious focus in modern Jewish history but also, if not in world history, then certainly in American and European history. All over North America and Western Europe: Holocaust museums - cathedrals to the new religion with their own priests and priestesses; Abe Foxman, Deborah Lipstadt, Elie Wiesel, Simon Wiesenthal, abound – the biggest and best in Washington DC with all the other symbols of American nationhood and power. Holocaust Chairs at major universities, memorials, foundations, conferences and symposia, books, magazines, films, TV documentaries. The further we travel in time from the actual events the greater the sacralisation. But these are only the outward manifestations. The Holocaust, the ultimate in suffering is a paradigm for all Jewish suffering and for all intolerance, discrimination and hatred against Jews and this is in itself is a paradigm for all suffering and all intolerance, discrimination and hatred against all people. That's why a major Holocaust Museum in the U.S. is able to style itself as simply "The Museum of Tolerance" and that's why those who dare to challenge the Jewish claim to a particularity of suffering are nearly always accused of "intolerance" or of "promoting hate". The Holocaust may be the ultimate symbol of Jewish power, the most visible means by which the Jewish will in this world is enforced and displayed to a cowering non-Jewish world. It proclaims that Jews are suffering and Jews are innocent so Jews can do what they like and, by association the state of the Jews is also suffering, is also innocent and can also do what it likes.
The Emperor's new clothes
But the world doesn't jump because it feels sorry for Jews. As Israel Shamir says, compassion and guilt may get you a free bowl of soup but not a lot else, and certainly not the ninety billion deutschmarks paid in reparations by the Federal Republic of Germany to the infant state of Israel, the billions of dollars paid by successive US governments to maintain that state, nor the free pass given to Israel by just about everyone to do pretty much what it likes to the Palestinians. The power of the Holocaust is not the power to arouse pity and
compassion in the rest of the world. Anyone can see that Israel has no need of our pity or compassion and neither have Jews. Israel is not weak and Israel is not innocent and neither are Jews. What is harder to see is how anyone could ever have thought otherwise. Could it even be the same with the Holocaust? Is it not by now plain that there is very little evidence to support the Holocaust narrative, that the extermination narrative just doesn't add up, and that the issue of the gas-chambers could, as Ingrid Rimland reminded us, be settled easily by forensic investigation.
I suggest that forensic science ought to settle that disagreement about what Germans did or did not do in World War II in an open public forum
Why has this not been done? Everyone must know that if the establishment could disprove revisionist claims they would, so why haven't they? And anyone can visit any number of websites and find mountains of evidence against the veracity of the Holocaust, so why don't we?
The reason is the same reason why courtiers have, since time began, acted as if a stark naked emperor was beautifully attired - because they have to. The power of the Holocaust is the same power as enabled a few thousand Englishman to rule hundreds of millions of Indians; a few hundred French aristocrats to rule a few million French peasants and a Czar and a few hundred Russian nobles to rule millions of Russian serfs. It is the same power that all over the world and throughout human history has enabled the prosperous few to rule over the impoverished many. It is the very essence of power in this world; the power of bluff. As the unclothed Emperor can force people to believe that he is clothed, so the Jewish and Holocaust establishments can make us believe that black is white in the Holocaust narrative and that Jews and Israel are suffering and innocent. And if they can't make us believe it, they can at least make us say that we believe it. To the wannabee dissenter, the power behind the Holocaust says this, "Watch it! If we can enforce this we can enforce anything!"
But why should we care if Jews choose to create for themselves such a mythology, even if that mythology has been accepted by so many others? The answer is we must care because if the Holocaust is false then there are those who suffer under that falsehood. First, if the special status of Jews is removed, then the equal status of every single non-Jew who died in that same time, till now demeaned and denigrated, is immediately restored to its rightful and equal place. And there are other victims too. The German people stand accused and found guilty of having committed the worst crime in human history. The Poles, Ukrainians, Latvians, Lithuanians etc. etc. stand accused and found guilty of aiding, abetting and even applauding the commission of the worst crime in human history. Add to them the Catholic Church and the Pope, the Americans and British who stand accused and found guilty of not having done enough to prevent the commission of the worst crime in human history. Add to them Christianity and Christians who throughout the ages stand accused and found guilty of laying the foundations for the commission of the worst crime in human history. And finally you may as well throw in pretty much the entire non-Jewish world accused and guilty of what amounts to simply not being one of the chosen victims of the worst crime in human history, and therefore condemned forever to hush their voices whenever the word 'Jew' is mentioned and to stand silently
as the myth of Jewish chosenness in the Holocaust is propagated.
The weapons of the poor…
There is one other victim: a present, pressing, ultimate victim. The Palestinian people -denied, denigrated and abused by a power which uses the Holocaust as a shield behind which any and every atrocity may take place - are surely the primary sufferers under the Holocaust.
On March 22 2001 Robert Faurisson wrote a paper for the proposed Beirut Conference on Revisionism and Zionism, which he knew would never be presented. He was right. The conference was cancelled due to external pressure largely by Jewish groups. In his paper for the first time, Faurisson addressed the Arab world. First he put it to them that an intelligent adversary may say that they fear something when they don't, and that they don't fear something when they do. Thus their enemies' firepower is deflected from those places where it may do real damage to those areas where it can do little damage.
Then he listed those things that Zionists do not fear: They do not fear military power – they've more than enough of their own and anyway, they know that anyone who has military power is far more likely to support them rather than oppose them. They do not fear anti-Semitism – on the contrary they feed on it to create sympathy for their cause. They do not really fear denouncers of Holocaust exploitation – the Norman Finkelsteins and the Peter Novicks – so long as they do not challenge the Holocaust itself. After all, the fiercest critic of something can (albeit often unwittingly) become its staunchest guardian – (If Norman Finkelstein says it, it must be true.) They do not even fear anti-Zionism since Zionism, like Jewish power itself has the wondrous ability to transform itself into anything it wants – left/right, religious/secular, one-state/two-state – all provide fertile ground for Zionism and Jewish particularity. Nor do they much fear attacks on the founding myths of Israel – that is, all of them except one. Finally, they do not even fear being called Judeo-Nazis. On the contrary, being labeled by one's adversaries as a Nazi merely affirms that 'Nazi' is the very worst thing imaginable.
He then told his audience what Zionists do fear: They fear the weapons of those who have nothing left to lose - the poor and the weak. They fear the stones and suicide bombers of the Palestinian Intifada – and they fear the weapons of that other intifada - the words of the revisionists.
Zionists truly fear the weapons of the poor (children's stones, their slingshots like that of David against the giant Goliath, the suicide attacks) and all that may endanger persons and business; they fear a demeaning of their brand image. But they are above all apprehensive of "the poor man's atomic bomb", that is, the disintegration, by historical revisionism, of the lie of the gas chambers, the genocide and the six million; they dread this weapon that kills no-one but that would not fail, if properly used to explode their big lie like a bag of hot air…..to lose the "Holocaust" is to lose the sword and the shield of Israel as well as a formidable instrument of political and financial blackmail; (21)
Despite their honourable intentions and dedicated efforts, the solidarity movement, which includes many Jews of conscience, has had little success in
— 67 —
stopping the Zionist juggernaut. The truth is that the only thing that has stalled it has been Palestinian steadfastness and Palestinian stones. Although they will never say so, Palestinians must know that they are not just facing the might of the Israeli state but also the power of organized world Jewry and its primary arm, the Holocaust. Perhaps Palestinians should consider lobbing a few stones in that direction. Perhaps we all should.
Paul Eisen
December 2004
[email protected]
On March 2nd 2005 Ernst Zundel was deported to Germany where he faces a five year prison sentence for Holocaust denial.
(1) http://www.nimn.org/Perspectives/american_jews/000308.php?section=American
(2) Complaint under the Optional Protocol to the International Covenant on Civil & Political Rights Against Canada - January 4, 2005
(3) "Jewish Power" by Paul Eisen
(4) http://www.ihr.org/main/journal.shtml
(5) The Fate of Jews in German Hands"
(6) http://www.ihr.org/jhr/v12/v12pl67_Webera.html
(7) Robert Faurisson, Press Conference, Stockholm, March 1992
(8) Robert Faurisson
(9) Paul Rassinier, Le Drame des Juifs europeans, Les Sept Couleurs, 1964, reprinted by La Vieille Taupe, Paris, p. 79.
(10) The ADL website
(11) The Niskor website
(12) Klara Obermueller Weltwoche series, "Auschwitz und die 'Auschwitz-Luege'", 9, 16, and 23 December 1993, 3 articles.
(13) Deniers, Relativists and Pseudo-Scholarship – Deborah Lipstadt. Published in Dimensions, Vol. 6, No. 1, 1991.
(14) ibid.
(15) ibid
(16) Extract from the Denial of Holocaust (Prohibition) Law 5746/1986 passed by the Israeli Knesset July 8th 1986 quoted in Hayward P 25 http://www.resistance.com/Hayward/hay1.html (17) http://www.freewebs.com/joelhayward/thesisaddendum.htm
(18) http://www.geocities.com/Athens/Rhodes/5338/psa/cole.html
(19 Elie Wiesel, Night, 1960, in The Night Trilogy, 1985, pp. 40-43)
(20) Abraham Foxman quoted in Peter Novick "The Holocaust in American Life" by Peter Novick, published by Houghton Mifflin Co. 1999. Pp.195; 199.
(21) Paper written by Robert Faurisson for Beirut Conference on Revisionism and Zionism – March 2001
http://democratsinairplanes.blogspot.com/2005/06/paul-eisen-on-holocaustrevisionism.html
Autres articles de la plume de Paul Eisen, qui réside en Grande-Bretagne: http://student.cs.ucc.ie/cs1064/jabowen/IPSC/php/customSearch.php?m1=1& m3=1566&sMask=ynnynn&lv=2&d0=1&d1=n&w5=Paul+Eisen&c4=e&o1=n
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BOMA AWARDS
2021-2022 Requirements
The BOMA Awards program is the most prestigious and comprehensive program of its kind in the real estate industry, recognizing quality of buildings and awarding excellence in building management.
Deadline for Statement of Interest: As soon as possible
Deadline for submissions: March 19, 2021
# TABLE OF CONTENTS
| Page | Section |
|------|------------------------------------------------------------------------|
| 3 | General informations |
| 4 to 13 | Entry Requirements 2021 |
| | Building of the year |
| | • Corporate Facility* |
| | • Industrial Building(s) |
| | • Historical Building* |
| | • Medical Office Building* |
| | • Mixed-Use category* |
| | • Public Assembly Building* |
| | • Renovated Building* |
| | • Retail Buildings* |
| | • Suburban Office Park (Low-Rise)* |
| | • Suburban Office Park (Mid-Rise)* |
| | • Under 100,000 Square Feet* |
| | • 100,000 – 249,999 Square Feet* |
| | • 250,000 – 499,999 Square Feet* |
| | • 500,000 – 1 million Square Feet* |
| | • Over 1 Million Square Feet* |
| 14 to 15 | Pinnacle Award |
| 16 to 26 | Environment Award |
*Net rentable as measured by BOMA standards
All questions regarding the 2021-2022 BOMA Awards should be addressed to: Ninon Beaunoyer at 514 282-3826, ext. 2014. e-mail: [email protected]
General informations
The BOMA Awards competition offers great visibility for all participants. Any building meeting the entry requirements is eligible for the Building of the Year category. Any property management firm, real estate supplier or service provider is eligible for the Pinnacle or Environment categories.
Registration
- Registration is done online – no paper documents, no CDs.
- The first step is to register online at www.boma-quebec.org
- When your registration is done, you will get the instructions for the next steps.
- All application documents (texts and photos) are to be uploaded directly onto a secure website.
- Only the accredited judges and BOMA Quebec management will have access to those documents.
Procedure
- Carefully read the entry requirements
- Compile the required documents and information
- Make sure all photos are high resolution
- Write up documents on white paper with no illustrations or watermarks, and send them in a PDF format
- Respect the deadlines
Important dates
| Date | Event |
|--------------------|--------------------------------------------|
| As soon as possible| Statement of interest |
| March 19, 2021 | Deadline for submissions at 5 p.m. |
| March 19 to April 9, 2021 | Evaluation of submissions and building visits |
| May 13, 2021 | 2021-2022 BOMA Awards Gala |
| June 2021 | Deadline for registrations to BOMA Canada |
| July 2021 | Deadline for submissions to BOMA Canada |
| September 30 | National BOMA Awards (TOBY) gala during the BOMEX 2021 event in Vancouver, British Colombia |
| April 2022 | Submissions to BOMA International |
| June 2022 | International BOMA AWARDS (TOBY) |
Registration fees
A $1,000.00 entry fee (plus taxes) will be paid to BOMA Québec for each submission entering the competition (included 2 tickets for the Gala Evening).
Note: All entry fees must be received prior to receiving your password to enter your data on the BOMA Québec’s website. Submissions must be entered on the BOMA Québec’s website no later than March 19, 2021 at 5 p.m. Any delay will result in a five (5) point deduction/per day of delay.
All fees are non-refundable.
CATEGORIES
Corporate Facility*
All buildings must be a single-use facility at least 50% occupied by the corporate entity — includes government agencies and private enterprises.
Industrial Building(s)*
All buildings, comprising a total project, to include any single building industrial properties, one to two stories in height, with less than 50% office area. Building(s) must have a loading dock, roll-up or sliding rear door(s) for loading, with no common lobby or corridors except for restroom vestibules and utility or fire equipment access.
Historical Building*
All buildings must be at least 50 years old with original design maintained. This category includes all sizes of buildings meeting the age criterion. The building must retain its historic physical integrity, which means the site must be relatively undisturbed. Renovations to the original framework is acceptable.
Medical Office Building*
All buildings must be at least 75% medical use, and at least 50% of the dedicated medical use space must be for private physician or hospital employed physician. The building can be located on or off a hospital campus, and its tenancy can be comprised of 50% hospital or ancillary services, (such as imaging, physical therapy, rehabilitation clinics, prosthetics, pharmacy clinics and the like) provided by the hospital, including employed or aligned physician offices, ambulatory surgery centers, clinical labs (such as catheterization labs). Patient stays must be less than 24 hours (but could occur within any 24 hour period).
Mixed-Use Buildings*
All properties will have minimum of 10% Office in a planned integration of at least three components that are a mix of Retail, Entertainment, Residential, Hotel, Recreation or Other Functions.
Each component will be at a minimum of 10% of the total property. The property can be one or more buildings managed by the same company. It is pedestrian-oriented and contains elements of a live-work-play environment. It maximizes space usage, has amenities and architectural features that tends to mitigate traffic and sprawl.
Public Assembly Building*
All buildings must be publicly accessible and support multiple uses (entertainment, events/gatherings, etc.). The multiple use character of these buildings may influence the buildings utility use, opening hours and tenant or occupant relations. These buildings may be part of a larger portfolio. This category includes: stand-alone arenas, amphitheaters, auditoriums, art galleries, churches, hotels, convention centers, exhibit halls, courthouses, stadiums, university building(s) and other buildings that are publicly accessible. This category allows for entry restrictions based on ticketed or multi-tenant/occupant areas.
When a building fits a different Building of the year category, it should be entered in that category.
Renovated Building*
All Building(s) must be at least 15 years old, have maintained a minimum of 50% occupancy (physical occupancy) during the renovation process for all building(s) and 3 or more projects must be completed in each building when submitting multiple buildings. If entry is a single building, a minimum of 5 projects are necessary. Renovation can encompass: (1) Rehabilitation (the restoration of a property to satisfactory condition without changing the plan, form, or style of a structure); (2) Modernization (taking corrective measures to bring a property into conformity with changes in style, whether exterior or interior. It requires replacing parts of the structure or mechanical equipment with modern replacements of the same kind but not including capital additions); and (3) Remodeling (changing the plan, form or style of a structure to
correct functional or economic deficiencies). In order to be eligible, a minimum of five of the following work projects must be completed by January 2021 and the building must enter the Building of the Year program within 5 years following substantial completion of the last renovation projects to be eligible for this category.
1. New roof, re-roof or green roof
2. New boilers/HVAC /Central Plant
3. Cleaning/Painting/New design of existing building envelope
4. New electrical system: HVAC, Lighting, mechanical room upgrades/updates, etc.
5. New fire panel/sprinkler system
6. Modernization of elevators which can include mechanics, ADA compliance and interior cabs refurbishment
7. New security systems can include card access, cameras, console, fire panel etc.
8. Renovation of main lobby that includes 3 or more of the following items: floors, walls, entry doors, signage, security desk etc.
9. Renovation of restrooms that includes 4 or more of the following items: sinks, counter tops, toilet, urinals, floors, walls, lighting, faucets, flushometers, stale partitions etc
10. Installation of new windows.
**Retail Buildings**
A group of retail and other commercial establishments, either enclosed or open air, managed by one company. The entry must be managed as a single property, one to multiple levels in height with a minimum of 50 percent occupancy. The anchor ratio must be at least 25 percent and the property must contain at least one anchor retailer (Grocery, Fashion, Department Store, etc.). The entry may consist of neighborhood centers (30,000 – 150,000 sq. ft.), community centers (100,000 – 400,000 sq. ft.), power centers (250,000 – 600,000 sq. ft.), regional shopping centers (400,000 – 800,000 sq. ft.) or super regional shopping centers (800,000 plus sq. ft.). No minimum office area is required.
**Categories:**
- Enclosed Mall
- Under 1 Million Square Feet
- 1 Million Square Feet & Over
- Open Air/Strip Mall
**IMPORTANT NOTE**
There are three categories of Retail TOBY Awards at the local and national level. The highest scoring Retail building overall will be eligible to move on to the International level where there is currently only one category available.
**Suburban Office Park**
(Low-Rise)*
Two or more buildings managed by the same management company with the tallest building being no higher than 5 stories; all buildings must occupy land greater than 5 acres and are located outside of the central business district or the downtown core area.
**Suburban Office Park**
(Mid-Rise)*
Two or more buildings managed by the same management company with 1 building that is 6 to 10 stories in height, all buildings must occupy land greater than 5 acres and are located outside of the central business district or the downtown core area.
**NOTE:** If a suburban office park is comprised of both low- and mid-rise buildings, the entry must submit under the Mid-Rise category.
**Office Building Categories:**
Under 100,000 Square Feet*
100,000 - 249,999 Square Feet*
250,000 – 499,999 Square Feet*
500,000 – 1 Million Square Feet*
Over 1 Million Square Feet*
All buildings with at least 50% office area are eligible.
* Net rentable as measured by BOMA standards
ELIGIBILITY
1. All entrants must score at least 70% to participate at the Awards.
2. The building must be a member, or managed by an entity that is a member of BOMA Québec to participate.
3. The building may not have won in the same category at the international level during the last 5 years. The building may not have won in a different category at the international level during the last 3 years.
4. The building must be occupied for at least one full year from the date of occupancy of the first tenant by June 15, 2021 with a minimum of 12 months of building operations. Buildings submitted in the Mixed-use category must have at least 10% office space of total square footage of entire complex.
5. At least 50% of a building’s space must be used as office space to be considered for all categories except the Industrial and Retail category. The Industrial category must have more than 5% and less than 50% office area as measured by BOMA standards.
6. All categories must be at least 50% percent occupied (physical occupancy)
7. Each building may enter in only one category.
8. All entrants must have valid BOMA BEST® certification. Each entrant must provide a copy of the certification received in the current year that shows the level of certification during the current year.
9. An entrant may choose to enter multiple buildings as a single entry only if the buildings are owned by the same company, managed by the same company and the buildings are managed as a single entity and not within a suburban office park. All entries must disclose whether their entry is a single building or multiple buildings.
10. For any building that enters the competition at the local and regional level that may encounter a change in management and/or ownership and wins at the International level, the award will be presented to the management company/owner at the time of the original entry.
BUILDING INSPECTION
Judging will occur at the local level during the months of April 2021. A visit of the building will also be scheduled during this period.
The following items may be inspected during the building inspection:
1. Entrance/Main Lobby
2. Security/Life Safety
3. Management Office
4. Elevators
5. Multi-Tenant Corridors
6. Restrooms
7. Stairwells
8. Typical Tenant Suite (if applicable to building category)
9. Central Plant/Engineering Office
10. Equipment Rooms/Service Areas
11. Parking facilities (only if Owner/Agent Operated)
12. Landscaping/Grounds
13. Refuse Removal and Loading Docks
14. Roof
15. Tenant Amenities
i.e. A member of the judging team will contact the property manager in advance to book a mutually agreeable date and time for a site visit.
Following the review, the judges should be taken on a tour of the building. (Tour guide must be very familiar with the submission and all building areas and systems and prepared to answer onsite questions from the judges. Note: Property Management team should be on site during inspections). Please allow between 2.5 – 3.5 hours to complete the building inspection process.
The following documentation is mandatory where applicable and should be made available. On-line versions are acceptable, but must be available at time of inspection at the property being inspected. Ease of navigation is essential to ensure that judges can easily and readily review:
1. Evidence of Evacuation Drills conducted within past 12 months NOTE: Drills can be silent if applicable.
2. Preventative Maintenance Manual
3. SOP Manual/Documentation of Standard Operating Procedures
4. Regular Financial Reports/Accounting Software Used
5. Purchase Policies
Entrant should receive TOBY Building Inspection Verification form by their local BOMA.
GLOBAL PORTFOLIO REQUIREMENTS
Photograph Requirements
File Type: Hi Resolution JPEG compressed
Maximum File Size: 2mb
Do not use photograph collages. (Only single images)
Supporting Document Requirements
File Type: PDF
Maximum File Size: 5mb
Descriptive/Summary Text Requirements
Maximum word count is specified for each section
NOTE
Descriptive/summary text must be entered in a single document.
Identify what an acronym represents at least once in each document.
Text within required supporting documents does not count against character limits.
BUILDING DESCRIPTION - 1 point
Provide a summary of the physical description of the building(s), property and location.
i.e. (This text is used for promotional purposes, and may also be incorporated in the on-screen presentation of entrants at the gala.)
Maximum of 350 words
No attachments allowed for this section.
BUILDING STANDARDS - 3 points
The Building(s) Standards should be designed to provide the reader with an overview of the building(s) and property.
Provide the following:
1. Building Name or Names if multiple buildings are being entered as a single entry
2. Number of Floors
3. Floor Plate Square Footage
4. Total Building Square Footage
5. Office Area Square Footage
6. Other Area Square Footage (if applicable)
7. Exterior Building Description (type of façade, windows, roof, etc.)
8. Year constructed or opened
Describe the following:
1. Ceiling height, weight loads, truck/rail access, bay areas, design flexibility, and other building standards that will help the judges review your entry
2. Lobby/Atrium Standard finishes (Mixed-Use: One per entity, lobby up to 3)
3. Corridor Standard Finishes
4. Restroom Standard Finishes
5. Typical Tenant Suite Standard Finishes (Mixed-use: 2 suites from different entities)
6. Utility Distribution
7. Elevators
8. HVAC Distribution System
9. Fire Life Safety & Systems
10. Loading Dock & Parking
11. Emergency Generator / Back-up Power
Attach the following:
1. Floor plan for your building showing your main lobby as well as two additional typical floor plans (Attachment #1)
2. Site plan or an aerial photograph. Aerial photograph should show the building(s) and property/boundary lines (Attachment #2)
3. Documentation of BOMA floor measurement standard – type used in section of lease where the BOMA floor measurement standard is referenced, or other documentation, such as a sample lease document or calculation referencing the BOMA office standard. If not using BOMA standard, please list which standard is being used (Attachment #3)
4. Copy of any certification and/or awards that have been achieved that are note related to ENERGY STAR®, BOMA BEST, OR BREEAM (Attachment #4)
Industrial Office Buildings: Entrants should include ceiling height, weight loads, truck/rail access, bay areas, design flexibility, and other building standards that will help the judges review your entry.
Mixed-Use, Public Assembly and Retail Buildings: Start with the following: Building Name, Number of Floors and Floor Plate Square Footage, Total Building Square Footage, Retail Area Square Footage, Office Area Square Footage and other Area Square Footage.
Provide a single paragraph describing each of the items below:
1. Number of Public Entrances and their physical characteristics
2. Public Area Standard Finishes
3. Restroom Standard Finishes
4. Customer Service/Concierge Facilities
5. Utility Distribution
6. Elevators and/or Escalators and/or Moving Walks, Lifts, etc
7. HVAC Distribution System (Description of tenant and public areas units)
8. Fire Life Safety Systems
9. Loading Dock & Back of House Tenant Receiving Areas
10. Parking
11. Emergency Generator/Back up Power
12. Signage and Wayfinding
13. Multiple Uses (where applicable)
14. Certifications and/or awards that have been achieved that are not related to ENERGY STAR®, BOMA BEST, or BREEAM
15. Ceiling height, weight loads, truck/rail access, bay areas, design flexibility, and other building standards that will help the judges review your entry
**Renovated Buildings**: The Building(s) Standards section must start with a summary explaining the renovation work completed. It must include a description of each project, the date of completion of each project and which of the three renovation types were utilized (rehabilitation, modernization and/or remodeling).
**Maximum of 2000 words**
**Maximum of 5 attachments allowed for this section**
*i.e. Floor plans can be combined into one pdf document.*
### COMPETITION PHOTOGRAPHS
1 point
File type: JPEG, minimum dimensions: 1200 pixels per side, max. file size: 2mb
#### A. Industrial Buildings:
Provide the following photographs of your building(s):
- 2 Front exterior of the building(s),
- 1 Rear exterior of the building(s),
- 1 Interior of the office
- 1 Interior of the warehouse.
- 2 Additional photographs, the subject matter of which is the entrant’s choice
- 1 of the daily management team
#### B. Renovated Buildings
Provide the following photographs of your building(s):
- 2 exterior
- 1 Interior (lobby and hallways)
- 1 standard tenant area
- 1 Central plant or main mechanical room (chiller, fire pump or boiler room)
- 2 Additional photographs, the subject matter of which is the entrant’s choice
- 1 of the daily management team
An additional 12 photographs building features (before and after renovation is permitted). One “before” photo for every “after” photo of the exact same location is necessary (Up to 19 photographs may be submitted).
#### C. Retail Buildings:
Provide the following photographs of your building(s):
- 1 Front Exterior of the buildings
- 1 Rear Exterior of the Buildings
- 1 Interior (public area)
- 1 Example of signage
- 2 Additional photographs, the subject matter of which is the entrant’s choice
- 1 of the daily management team
#### D. Public Assembly Buildings:
Provide the following photographs of your building(s):
- 2 Exterior (front & rear)
- 1 Interior (lobby and hallways)
- 2 Multiple use areas
- 1 Signage and Wayfinding
- 1 Central plant or main mechanical room (chiller, fire pump or boiler room)
- 2 Additional photographs, the subject matter of which is the entrant’s choice
- 1 of the daily management team
#### E. Mixed-Use Buildings:
Provide the following photographs of your building(s):
- 2 Exterior (front & rear)
- 1 Interior (lobby and hallways)
- 1 Standard tenant area (Mixed-use – up to 3 per entity)
1 Central plant or main mechanical room (chiller, fire pump or boiler room)
2 Additional photographs, the subject matter of which is the entrant’s choice
1 of the daily management team
F. All other Buildings:
- 2 Exterior
- 1 Interior (lobby and hallways)
- 1 Standard tenant area
- 1 Central plant or main mechanical room (chiller, fire pump or boiler room)
- 2 Additional photographs, the subject matter of which is the entrant’s choice
- 1 of the daily management team
No text is required for this section
COMMUNITY IMPACT - 15 points
- Provide a written description of the building management’s impact on the community. For example: jobs provided (as a direct result of the building’s existence), amenities to the community or the corporate environment (parks, blood drives, special events, etc.), tax impact (provide special assessments for roads, sewers, etc.), recognition awards, letters and roads and other transportation improvements. If the impact can be quantified as additional income for the community or charitable event or has some type of savings associated with the impact, please describe. When describing the current year’s events, please note programs and how long they have been in place.
- Describe how the building management’s efforts in this area have helped make the property a benefit to the local community. Only include corporate donations/activities if entrant can describe how the onsite management team personally participated, or how it affected the property.
i.e. Summer students employed, co-op student placements, seasonal hires.
Community involvement and enrichment (Local BIA, Schools, Charities, Donation Drive (toy, clothing, food), Animal Protection, Donation of space (vacant area, courtyards, lobbies) for community/city events, buskers, arts & crafts, farmers markets.
NOTES
A. **All Categories**: This section should not be confused with Tenant Relations. Please indicate services that relate to the community and not to the tenants. Entrants may also include a maximum of three PDF attachments reflecting the events being described such as posters, flyers, newsletters and charity acknowledgement letters.
B. **Industrial Buildings**: Entrants may also include the building’s compatibility with neighboring properties and how the building affects traffic.
C. **Retail, Mixed-Use and Public Assembly Buildings**: Entrants should focus on amenities made available to the community as a result of the property and describe amenities open to the public to utilize. Demonstrate the building management or staff participation in community involvement and enrichment
Maximum of 1,800 words
Maximum of 3 PDF attachments allowed for this section
TENANT RELATIONS / COMMUNICATIONS - 15 points
- Provide a summary of the Tenant Relations efforts and/or programs sponsored by building management within the last 12 months.
- Describe the building’s work management system for responding to tenant maintenance issues, as well as any ongoing programs for informing tenants of building operation problems.
- Describe tenant amenities available such as health facilities, childcare and food service.
- Indicate if tenant satisfaction surveys were conducted including the frequency and the date the last survey was last completed and the results.
- Provide an explanation of the major findings and the action/s management took to share results, alleviate concerns and/or problems, and/or ensure that acceptable and “popular” procedures and activities were maintained.
A. **All Categories must also include**:
1. 3 samples of tenant appreciation letters from tenant or public
2. 2 newsletters
3. 1 copy of tenant/occupant survey
4. 1 tenant communications piece from the property management team
5. 3 photographs reflecting the events being described
6. Table of contents from the tenant manual (PDF). Do not include the entire manual or photograph collages. (Only single images)
B. Corporate Facility: Employees are considered tenants and you may include the table of contents of your tenant information manual or guidebook in addition to the summaries described above.
Maximum of 1,800 words
A maximum of 11 attachments allowed for this section.
ENERGY CONSERVATION - 20 points
All categories:
All Entrants must hold a valid BOMA BEST® certification. Each Entrant must complete the following: (1) provide a copy of the certification that shows the level of certification.
| Certification Level | Points |
|---------------------|--------|
| BOMA BEST® Bronze | 3 |
| BOMA BEST® Silver | 4 |
| BOMA BEST® Gold | 5 |
| BOMA BEST® Platinum | 6 |
Mixed-use and Public Assembly:
- The Preventive Maintenance Program (Mixed-use – how these are shared between entities) 2.5 points
- The Energy Management Plan – 2.5 points
- The Energy Reduction Target – 2.5 points
- The indoor Air Quality Monitoring Plan – 2.5 points
- The Occupant Service Request Program – 2.5 points
- Has the facility(s) conducted an ASHRAE Level 1 Energy Assessment in the last three (s) years? – 2.5 points
- Building Staff/tenant Education on the importance of and methods for energy conservation – 2.5 points
- Building Energy Management System (EMS) Monitoring – 2.5 points
Describe the following:
- A list of areas for which energy consumption data is available (i.e. all tenants, some tenants, interior and exterior common areas) and the type of energy used, (i.e. Electricity, natural gas, other).
- Percentage of occupied gross leasable area you have energy consumption data (either through sub metering or by other means). The data must represent consumption from the most recent 12-month period and must not be any older than the past 18 months.
- Proof that building current energy consumption is being compared with consumption from past years and provide conclusions drawn from the analysis over a minimum of 1 year.
Building Staff/Tenant Education – 5 points of 20 points
Describe any programs in place to educate building operations staff, property managers, engineers, leasing agents, and other personnel such as tenants about the importance of and methods for energy conservation. This may include encouraging or requiring participation in BOMA Energy Efficiency Program, ENERGY STAR® training sessions, BOMA BEST Practices, pursuing industry certification and professional development programs.
Building Operations and Maintenance - 5 points of 20 points
Describe your building maintenance procedures and how they contribute to energy conservation. This should include the following as well as any additional procedures followed:
- Preventative maintenance programs
- System documentation
- Equipment and system performance monitoring
- Sensor and control calibration.
Describe of the steps taken to improve the energy performance of your building over the last three years.
Building EMS Monitoring - 5 points of 20 points
Energy Management System (EMS) is often underutilized in commercial buildings. When fully engaged, they are powerful tools for improving the performance of HVAC and lighting systems and conserving energy. Describe the EMS in place in your building and the degree to which you use it to reduce the building's energy consumption. Provide measureable results demonstrating reduction in energy and improved performance.
Attach the following:
Statement of Energy Performance and/or BOMA BEST® Certificate and/or approved comparable energy rating verification.
i.e. Goals/targets in place for reducing energy consumption; enrollment in incentive/rebates programs; energy efficient projects in place or intent to commit within 12 months; energy efficient programs onsite (green team, green roof, tenant engagement); tenant awareness/ incentive/education and participation; building ops and maintenance procedures; practices contributing to site energy efficiency; tracking/benchmarking.
Maximum of 1,750 words
A maximum of 2 attachments allowed for this section.
ENVIRONMENTAL, REGULATORY AND SUSTAINABILITY & WASTE
15 points
Describe a minimum of 7 programs of which at least 3 should be related to Environmental and Regulatory and at least 3 related to Sustainability and then describe your waste management plan.
Environnement & Regulatory 5 of 15 points:
- Describe the policies and procedures in place at the building. This may include accessibility for disabled tenants and visitors, indoor air quality management and testing, storage tank management, generator testing and management, hazardous waste management, asbestos management, emergency clean up, blood borne pathogen program, pandemic preparedness and tenant environmental management and compliance.
- Provide documentation of buildings waste management plan, recycling policies and building’s exterior maintenance plan, including recaulking, window washing, pressure washing, etc., green programs and/or any other environmental management programs.
- Please include any additional environmental and regulatory policies and procedures not mentioned above that are being followed.
Sustainability 5 of 15 points:
- Describe the policies and procedures in place at the building. This may include storm water management, green friendly landscape management, integrated pest control management, green cleaning, green purchasing policy, exterior building maintenance management plan, waste management and recycling, lamp disposal, water reduction and management and traffic reduction initiatives. Please include any additional sustainable policies and procedures not mentioned above that are being followed.
- When describing these policies and procedures explain if they are mandated by local, state and/or federal compliance or other. If these programs are not mandated, explain the purpose for implementing.
Waste 5 of 15 points:
- Describe your building’s waste reduction work plan and source separation program, where applicable include:
- Collection of organic wastepaper, metal cans, glass, plastic contains and cardboard
- Facilities diversion rate
- Educational training for occupants, custodians and general public
- Organizational statement for continuous improvement in reduction and diversion of waste streams
- Address the prevention, diversion, and management of solid waste generated as a result of day-to-day activities and infrequent events
- Attach a PDF copy of your latest waste audit
- Future plans to increase recycling levels and reduce the waste generated
Attach the following:
1. Documentation of waste management plan – TOC or other
2. Other documentation of recycling policies, exterior maintenance plan, etc. (optional)
3. Sustainable Policies – TOC or other (optional)
4. Waste audit (optional)
5. Other
i.e. Reduction of environmental footprint; sustainability included in owners documentation, leases, construction manuals, construction services; building recycling plan list of recycling services made available (toners, cartridges, cell phones, batteries, e-waste, organic waste), reuse of building materials; cradle to grave programs; tenant engagement initiative on sustainability.
Maximum of 2,250 words
Up to 5 attachments allowed in this section.
EMERGENCY PREPAREDNESS/LIFE SAFETY - 15 points
- Describe the procedures and programs for life safety, fire, disaster and security standards.
- Describe training for property management and tenants as well as recovery procedures. If you work with local first responders or officials and conduct live training, explain how this is accomplished.
- Provide a summary about your business continuity plan and if drills are conducted how they are documented and communicated.
- Describe how fire and evacuation drills are conducted, how often and when.
Attach the following:
- Table of contents of your emergency preparedness and security standards manual(s).
- AED policy or equivalent
- Written security procedures (Table of Contents)
- Copy of ADA plan (if applicable in your jurisdiction)
- Reference of access control and surveillance systems in the building. How does the building control entry into the building, especially during non-business/non-peak hour? Explain how the building monitors activities in common areas. It is not necessary to include an entire policy manual on how this is handled.
i.e. Emergency Preparedness Plan; (Fire, Disaster, Pandemic, etc.); Evacuation Procedures, Tenant and Staff Training Drills; Emergency Systems, Maintenance, Procedures, Training, Testing, Recording/log Books, Fire/Emergency procedures; Annual Fire & Safety Systems Certificate; Monthly Fire Safety inspection sign off; Emergency After Hour Tenant Contact Procedures; Business Continuity Plan; Emergency Equipment; (AED, Oxygen, Self-Contained Breathing Apparatus (SCBA), first aid/trauma kits); Communications Equipment (2 way radios, Public Address systems, paging, emergency notification system)
Maximum of 1,800 words
A maximum of 5 PDF attachments allowed for this section.
TRAINING FOR BUILDING PERSONNEL - 15 points
- Provide a list of qualifications for building staff (not job descriptions).
- Include training for both on-site and off-site building personnel dedicated to the property.
- Provide a list of any management team industry certifications, degrees or industry training.
- Describe the following: on-going training programs for building personnel including seminars, in-house training and continuing education completed as well as designations, participation in professional organizations and team building and how this is managed for all personnel. Detail prior year and current year training plus future plans.
- Indicate if any member of the management team has participated in at least one BOMA.-sponsored (local, regional or international) event within the last 12 months.
NOTE: Industrial Building: Discuss training for both on-site and off-site building personnel dedicated to the property
i.e. Internal training, seminars, courses, webinars, internal website as a resource, skill upgrading opportunities for employees; Internal Property Management Policy & Procedures and templates available to staff as a resource; Non-technical or customer service related training such as people skills, conflict resolution; training requirements by job function or role. Are any site staff currently working towards designations, degrees, certifications, applicable to their roles; Employee Assistance Program; Goals & Objective Program; staff performance reviews, feedback and communication; employee retention efforts, staff / team building events, mentoring, succession planning, employee recognition program; Industry/internal Awards & Recognition received by team, site or employee
Maximum of 1,800 words
1 attachment required for this section
SUBMITTED CONTENT
Building registration Information and the building description may be used in awards program materials and with the media. Photographs may be used, in awards program materials, and in the creation of new industry materials.
GOAL
The purpose of the Pinnacle Award for Customer Service is to recognize and promote service excellence in the commercial real estate industry.
Being a customer-focused, high service driven company requires consistency, ingenuity, integrity and dedicated pursuit of excellence. Your company is always first in your customers’ mind because you strive to exceed your customer’s expectations. As an example, when you receive a service complaint, your corrective action is of greater proportion to what your customer would expect.
ELIGIBILITY AND JUDGING
- Property Owner/Management Company
- Service/Supplier Company
- Entries are to be submitted on a self-nominating basis.
- Entrants may not have won in the same category during the last 3 years. (Furthermore, no organization shall be eligible to submit an entry in this category if the provider and beneficiary of the exceptional customer service are the same as having previously won).
- Judging of the entry will be based on your written submission and meeting of all submission requirements as listed below.
- Entrants must be BOMA members
- Judging of the entry will be based on your written submission
SUBMISSIONS
Requirements:
The following items will be required:
1. A cover sheet stating the following must be included:
- Name of Property Owner/Management Company or Service/Supplier Company as well as the Name, Phone Number and Address of the person who will receive all correspondence.
2. Written submission not exceeding the maximum number of pages permitted (5 pages). You are encouraged to include any additional information that you feel will assist the judges (as long as it does not exceed the maximum number of pages permitted).
3. Submissions must be made on company letterhead stationery using your company standard issue presentation covers.
4. A high resolution electronic copy of your corporate logo must be provided.
5. A picture of your team must be provided and four additional photos are mandatory (JPEG, minimum dimension 1200 pixels per side).
Section A | Written Submission
Your written submission should support your firm’s positive customer service attributes that you want to impress upon the judges, and it should make note of specific details that deserve merit. Additional information is permissible as long as the total entry does not exceed the maximum number of pages permitted (5 pages).
1. Detail any processes, methods and/or practices the company has used in developing company goals and objectives as they relate to customer satisfaction.
- Customer service policy and procedures document
2. Once this plan/concept for improving customer service was developed, detail any processes, methods and/or practices, training and/or education that was necessary and carried out to achieve those goals/policies?
- How is customer service policy maintained? Verified? Monitored?
- Demonstrate customer focused complaint resolution process.
• Describe the “Full Circle” customer service plan from “request to resolution”.
• How is customer input captured to determine new products, services, and areas for improvement?
• Describe enter depth/breadth of company “team” approach to customer service delivery.
• Describe function of managers’/ coordinators’ dedicated to customer service.
3. Describe the company’s commitment to this process. How is this commitment maintained and improved within all levels of the organization?
• Detail regular training programs for staff (including incentive & recognition programs).
• Detail regular customer recognition/appreciation events conducted.
• Detail a recognition/reward program for employees who excel at customer service.
• Detail a system that ensures all active customers are visited or phoned on a regular basis.
• Identify methods of focusing staff on customer service.
• How is the mission statement reinforced with staff on a regular basis?
4. Identify two key clients where the entrant’s commitment has been applied/implemented and describe how this has benefited those clients (and their clients). Describe the impact it has had on their businesses.
« CUSTOMER SERVICE » INTERVIEW (Local Level only)
A random sample survey could be conducted by the Judges of your Customers and Employees. A number of questions will be posed to those selected from each group (i.e. Customers and Employees) that relate to the following: • Customer Service (full circle process) • Follow-up process • Customer appreciation /recognition process
• Provide 2 clients names, position and contact number.
• Provide customer service employee list with names, position and contact number.
GOAL
The purpose of the Pinnacle Award for Innovation is to recognize and promote innovation in the commercial real estate industry; whether it is a uniquely beneficial program, product or service, a better way to solve specific needs or an ingenious way to keep customers happy.
ELIGIBILITY AND JUDGING
- Property Owner/Management Company or Service/Supplier Company
- Entries are to be submitted on a self-nominating basis.
- Entrants may not have won in the same category during the last 3 years.
- Judging of the entry will be based on your written submission and meeting of all submission requirements as listed below.
- Entrants must be BOMA members
- Judging of the entry will be based on your written submission.
SUBMISSIONS
Requirements
The following items will be required:
1. A cover sheet stating the following must be included:
Name of Property Owner/Management Company or Service/Supplier Company as well as the Name, Phone Number and Address of the person who will receive all correspondence.
2. Written submission - not exceeding the maximum number of pages permitted (5 pages). You are encouraged to include any additional information that you feel will assist the judges (as long as it does not exceed the maximum number of pages permitted).
3. Submissions must be made on company letterhead using your company standard issue presentation covers.
4. A high resolution electronic copy of your corporate logo must be provided.
5. A picture of your team must be provided and four additional photos are mandatory (JPEG, minimum dimension 1200 pixels per side).
6. A letter of appreciation from a client.
Written Submission
Your written submission should support the company's approach to innovation and it should make note of specific details that deserve merit.
The written submission should be brief (maximum five pages) and address the following. You are encouraged to include any additional information that you feel will assist the judges (as long as it does not exceed the maximum number of pages permitted).
Describe how innovation is encouraged and rewarded in your company
1. Describe the innovative program, product or service, how it is unique, and how it benefits the commercial real estate industry.
2. Describe how this has benefited your company and/or your clients*, and the impact it has on business. How does the innovation make the building owner/manager’s or customer’s job easier, less stressful or more productive? Has it increased your company's or your client's* efficiency, productivity and/or revenue?
3. Describe how you included employee and/or customer input into the development of the innovation.
4. Identify key clients where this innovation is applied or implemented.
* Clients (including employees and contractors)
GOAL
The purpose of the Pinnacle Award for Service "Above & Beyond" is to recognize and promote service excellence in the commercial real estate industry. It is about providing a service to a customer that was unexpected, extraordinary, unnecessary, surprising, caring and perhaps even entertaining and outrageous. This performance of service "Above & Beyond" could have come about as a result of a mistake made and then corrected, or it may have been an opportunity seized to show how far the company would go to exceed a client's expectations.
ELIGIBILITY AND JUDGING
- Property Owner/Management Company or Service/Supplier Company
- Entries are to be submitted on a self-nominating basis.
- Judging of the entry will be based on your written submission and meeting of all submission requirements as listed below
- Entrants must be BOMA members.
DETAILS OF SUBMISSION
Requirements:
The following items will be required as part of your Formal Entry package:
1. A cover sheet stating the following must be included:
Name of Property Owner/Management Company or Service/Supplier Company as well as the Name, Phone Number and Address of the person who will receive all correspondence.
2. Sections A through C below describe the components to be addressed in writing. Ensure that the written submission does not exceed the maximum number of pages permitted (5 pages).
3. Submissions must be made on company letterhead stationery using your company standard issue presentation covers.
4. A high resolution electronic copy of your corporate logo must be provided.
5. A picture of your team must be provided and four additional photos are mandatory (JPEG, minimum dimension 1200 pixels per side).
6. A letter of appreciation from the client who benefited from the Above and Beyond service.
Written Submission
Part A – Synopsis
Your written submission should support the incident or customer service situation that you feel qualifies the company for recognition as going "Above & Beyond" in these days when we are all "doing more with less" and exceeding the customer service norms of just a few years ago in order to remain competitive.
The written submission including the questionnaire responses should be brief (maximum five pages) and describe the circumstances that required extraordinary action, detailing resources and commitments used to meet the client's needs. Describe the benefits of the activity or service from the perspective of service, customer satisfaction, delivery, safety, moral and environmental considerations. You are encouraged to include any additional information that you feel will assist the judges (as long as it does not exceed the maximum number of pages permitted).
Part B – Questionnaire
Please answer the following questions as they apply to your company. Each question is worth a percentage of the total score of 100 (indicated in brackets).
1. Did the company show expediency in meeting the client’s need(s) by going considerably out of its way
to accomplish the task at hand or perceiving the client's urgency at the time of the event? (15%)
2. Did the client perceive the service to be extraordinary and of high value? By your estimate, how much was this worth to the client? (15%)
3. Was the client extremely impressed with the activity/service by exceeding his/her expectations? Define what your organization considers a "normal" response to this circumstance. (15%)
4. Does the organization recognize and encourage a willingness to respond to "Above & Beyond" the Call of Duty? (15%)
5. Has the client's loyalty increased since the activity/service was provided by the nominee? (15%)
6. Was the activity or service: (10%)
- unexpected or surprising?
- caring?
- extraordinary?
- entertaining?
- other?
7. Did the activity/service have a significant impact on the outcome of the circumstances surrounding the client? (15%)
BOMA's Environment Award is the most prestigious and comprehensive program of its kind in the commercial real estate industry, recognizing excellence in environmentally sound building management.
**CATEGORIES**
**Office Building(s)**
Any and all office buildings must have at least 50% office space.
**Industrial Office Building(s)**
*(Not eligible at International Level)*
All buildings, comprising a total project, to include any single building industrial properties, one to two stories in height, with more than 5% and less than 50% office area. Building(s) must have a loading dock, roll-up or sliding rear door(s) for loading, with no common lobby or corridors except for restroom vestibules and utility or fire equipment access.
**Retail Buildings (Shopping Centre)**
*(Not eligible at International Level)*
A group of retail and other commercial establishments, either enclosed or open air, managed by one company. The entry must be managed as a single property, one to multiple levels in height with a minimum of 50 percent occupancy. The anchor ratio must be at least 25 percent and the property must contain at least one anchor retailer (Grocery, Fashion, Department Store, etc.). The entry may consist of neighborhood centers (30,000 - 150,000 sq. ft.), community centers (100,000 - 400,000 sq. ft.), power centers (250,000 - 600,000 sq. ft.), regional shopping centers (400,000 - 800,000 sq. ft.) or super regional shopping centers (800,000 plus sq. ft.). No minimum office area is required.
**Multi-unit Residential Building(s) (MURB)**
*(Not eligible at International Level)*
Buildings comprised of a common entrance and separate units that are also known as apartments constructed for dwelling purposes. Building must have one primary exterior door access, with each of the apartments connected by an interior door. All of the units must connect to each other (or a central corridor) by some interior door.
**Low Rise (2 to 3)**
- building must comprise of two (2) floors above ground, and four (4) apartment (dwelling) units;
**Mid Rise (4 to 9); High Rise (10+); Multi-Unit Residential Building Complex:**
a group of buildings that have common management personnel, common management practices, and a common central plant.
**Health Care Facility**
*(Not eligible at International Level)*
(Hospitals/Medical Office Buildings)
General medical and surgical hospitals, critical access hospitals, and children's hospitals. These facilities provide acute care services intended to treat patients for short periods of time including emergency medical care, physicians' office services, diagnostic care, ambulatory care, surgical care, and limited specialty services such as rehabilitation and cancer care.
To qualify as a Hospital, the following requirements must be met:
- More than 50% of the gross floor area of all buildings must be used for general medical and surgical services; AND
- More than 50% of the licensed beds must provide acute care services; AND
- These facilities must operate on a 24/7 basis.
Facilities that use more than 50% of the gross floor area for long-term care, skilled nursing, specialty care, and/or ambulatory surgical centers OR that have less than 50% of their beds licensed for acute care services are not considered eligible hospitals under this definition. Medical office buildings that meet the following requirements:
- More than 50% of total facility space is used primarily to provide diagnosis and treatment (no major surgery) for medical, dental, or psychiatry outpatient care;
- These facilities do not operate on a 24/7 basis.
Universal Facility*
(Not eligible at International Level)
The Universal Facility category was developed to cover a range of facilities that fall under a variety of building types. There are no use restrictions or size restrictions applicable to the selection of the Universal Module. A Universal Building may be any one (or a combination of the following building types: Adult Education, Aquarium, Automobile Dealership, Bank Branch, Bar/Nightclub, Barracks, Bowling Alley, Casino, College/University, Convenience Store with (or without) Gas Station, Convention Center, Courthouse, Data Center, Drinking Water Treatment & Distribution, Energy/Power Station, Fast Food Restaurant, Fire Station, Fitness Center/Health Club/Gym, Food Sales, Food Service, Hotel, Ice/Curling Rink, Indoor Arena, K-12 School, Laboratory, Library, Lifestyle Center, Mailing Center/Post Office, Mixed Use Property, Movie Theater, Museum, Utility, Other Stadium, Other – Education,
Other – Entertainment/Public Assembly, Other – Lodging/Residential, Other – Mall, Other – Public Services, Other – Recreation, Other – Restaurant/Bar, Other – Services, Other – Technology/Science, Other – Utility, Parking, Performing Arts, Personal Services (Health/Beauty, Dry, Cleaning, etc.) Police Station, Pre-school/Daycare, Prison/Incarceration, Race Track, Repair Services (Vehicle, Shoe, Locksmith, etc., Residence Hall/Dormitory, Restaurant, Retail Store, Roller Rink, Self-Storage Facility, Senior Care Community, Single Family Home, Social/Meeting Hall, Stadium (Closed), Stadium (Open), Supermarket/Grocery Store, Swimming Pool, Transportation Terminal/Station, Veterinary Office, Vocational School, Wastewater Treatment Plant, Wholesale Club/Supercenter, Worship Facility, Zoo.
Definition sourced form Energy Star Portfolio Manager. Net rentable as measured by SOMA standards.
The following items will be inspected during the building inspection:
1. Building Environment - IAQ Performance
2. Energy Performance/EMS Monitoring
3. Recycling Programs
4. Water Performance/Water Management
5. Multi-Tenant Corridors
6. Restrooms
7. Typical Tenant Suite
8. Landscaping/Grounds
9. Refuse Removal
10. Occupant Communication/Education - Visibility
The following documentation is mandatory and should be made available. On-line versions are acceptable, but must be available at time of inspection at the property being inspected. Ease of navigation is essential to ensure that judges can easily and readily review:
1. Preventive Maintenance Manual
2. SOP Manual/Documentation of Standard Operating Procedures (online or printed)
3. Green Purchase Policies
BUILDING DESCRIPTION – 1 point
Provide a summary of the physical description of the building(s), property and location.
Maximum of 350 words
EXECUTIVE SUMMARY – 2 points
Provide an overall summary of the project’s (building, office park, etc.) environmental and energy efficiency program. Describe the policies and philosophy of the project’s ownership and management relating to this subject. Include if the project was built green or implemented after construction and why this concept is important.
Include TOBY Inspection Verification - PDF
Maximum of 600 words
1 attachment allowed for this section
COMPETITION PHOTOGRAPHS – 2 points
1. Industrial Buildings – Total of 7 photographs required
- 2 Front exterior of the building(s)
- 1 Rear exterior of the building(s)
- 1 Interior of the office
- 1 Interior of the warehouse
- 2 Additional photographs, the subject matter of which is the entrant’s choice.
2. Retail Buildings – Total of 6 photographs required
- 1 Front exterior
- 1 Rear exterior
- 1 Interior (public areas)
- 1 Example of Signage
- 2 Additional photographs, the subject matter of which is the entrant’s choice
3. All other Buildings – Total of 7 photographs required
- 2 Exterior
- 1 Exterior (lobby and hallways)
- 1 Standard tenant area (Mixed-use – up to 3 per entity)
- 1 Central plant or main mechanical room (chiller, fire pump or boiler room)
- 2 Additional photographs, the subject matter of which is the entrant’s choice
No text required for this section.
REDUCTION OF ENVIRONMENTAL RISK – 15 points
Environmental risk is the risk associated with the likelihood or probability that a given chemical exposure or series of exposures may damage human health and the environment. Managing environmental risk is an endless and challenging task. Describe what your company has done to protect its tenants/occupants and the environment by efficient management. This should include consideration of the following:
Describe your Hazard Communication Standard (HCS) Program or similar program. It can include consideration of the following:
- Receiving and shipping of hazardous materials
- Equipment certificate plus annual follow-up
- Chemical labeling, placarding or color-coding of piping systems
- Availability, completeness and updating of material data safety sheets and location(s), dates must be within three years
- Staff training
- Record keeping
Describe how you manage environmental risks at your property as well as reduce these risks. This can include consideration of the following:
- Asbestos
- PCBs
- CFCs and Halon
- Underground Storage Tanks and Above Ground Tanks
- Hazardous Chemicals
- Contractor Management
Provide an example of your latest risk management report. This section should also include consideration of the following:
- Inspection program
- CFC containment
- Disposal of storage containers
- Spill containment
- Regulatory compliance
- Hazardous waste contractor selection
- Formal risk assessments
- PCB ballast handling
- Chemical storage and handling facilities and procedures
- Warning signs and educational posters
- Disposal options used
Describe your emergency response plans and how they provide environmental protection. This should include consideration of the following:
- Staff competency testing
- Third party assessments
- Chemical spill procedures and preparedness
- Accidental Freon release procedures
- Asbestos mediation
- Fire protection and detection for chemical storage areas
- Tenant information packages and drills
- Notification protocol
- Communications with response agencies
- Other (natural disasters, bomb threats)
Please do not include entire manuals or photographs. Include only the table of contents, a summary of the manual and how it's implemented.
**Maximum of 1,750 words**
**Maximum of 4 attachments allowed for this section.**
### INDOOR AIR QUALITY / GREEN CLEANING – 15 points
Describe the following:
- Steps taken to improve the indoor air quality (IAQ) of the building, what was done to monitor IAQ and steps taken to reduce contaminants within the building.
- The Green Cleaning Policy and steps taken to insure use of green products and cleaning chemicals both by in-house staff and contractors/vendors.
- How information collected from annual testing reports is used to evaluate and correct IAQ issues, including:
- Installation of systems that reduce/monitor indoor pollutants (3 points)
- Low impact cleaning policy (3 points)
- Day cleaning or team cleaning (not daytime porter service (1 point)
- Smoke-free building (1 point)
- Entryways of Pedimats (1 point)
- Use of green cleaning products (2 points)
- Use of recycled paper products (2 points)
- Use of other green materials (1 point)
- Any other IAQ-Green Cleaning programs that are specific to your facility and not mentioned above (1 point)
Attach the following:
Documentation of tenant occupancy forms and/or sample pages from an annual testing program report
**Maximum of 1,750 words**
**Maximum of 2 attachments allowed for this section.**
### RECYCLING – 10 points
Building recycling programs offer great rewards. The building, the tenant/occupant and the owners all have an opportunity to give back to the environment. Tell us about your tenant/building recycling program; how you get tenants/occupants involved and how you keep the momentum going.
**Describe the following:**
- Paper/cardboard recycling program (4 points)
- **Note:** If you are recycling 20% of your total waste, you can achieve up to 2 points. If you're recycling 30% or more of total waste, you can achieve up to 4 points.
- **Example:** 100 tons of trash and 20 tons of recycle equal total output of 120 tons of waste. Therefore, the recycle percentage is determined by 20/120 of 17 percent.
- Facility program for recycling glass, plastics and aluminium (2 points)
- Lamp and ballast recycling program and its benefits (2 points)
- Sustainable landscape maintenance program, such as recycling/composting, water management and plant selection (1 point)
- Any other recycling programs that are specific to your facility and not mentioned above (1 point)
**Attach the following:**
- Records showing total trash-waste collected
- Records showing total recycle-waste collected
**Maximum of 1,750 words**
**Maximum of 3 attachments allowed for this section.**
ENERGY CONSERVATION – 25 points
BOMA BEST® Performance Rating – 4-10 of 25 Points
Canadian Entrants must obtain a BOMA BEST certification. Each Entrant must complete the following:
(1) Provide a copy of the certification received in the current year that shows the level of certification.
- BOMA BEST Certified: 4 points
- BOMA BEST Bronze: 6 points
- BOMA BEST Silver: 8 points
- BOMA BEST Gold/Platinum: 10 points
Building Staff / Tenant Education – 5 of 25 points
Describe any programs in place to educate building operations staff, property managers, engineers, leasing agents, and other personnel such as tenants about the importance of and methods for energy conservation. This may include encouraging or requiring participation in BOMA Energy Efficiency Program, ENERGY STAR® training sessions, BOMA BEST BEST practices, pursuing industry certification and professional development programs.
Building Operations and Maintenance – 5 of 25 points
Describe your building maintenance procedures and how they contribute to energy conservation.
This should include the following as well as any additional procedures followed:
- Preventive maintenance programs
- Systems documentation
- Equipment and system performance monitoring
- Sensor and control calibration
Provide a description of the steps taken to improve the energy performance of your building over the last three years.
Building EMS Monitoring – 5 of 25 Points
Energy Management System (EMS) is often underutilized in commercial buildings. When fully engaged, they are powerful tools for improving the performance of HVAC and lighting systems and conserving energy. Describe the EMS in place in your building and the degree to which you use it to reduce the building’s energy consumption. Provide measureable results demonstrating reduction in energy and improve performance.
Attach the following:
Statement of Energy Performance and/or BOMA BEST® Certificate and/or approved comparable energy rating verification (for buildings outside continental U.S.)
Maximum of 1,750 words
A maximum of 2 attachments allowed for this section. One of the two attachments should include the BOMA BEST® Certificate.
WATER CONSERVATION – 10 points
Water is a precious resource. When buildings use large volumes of water, this can result in high maintenance and life-cycle costs for building operations. Using water efficiently can reduce operating costs, through lower water usage, less chemicals, and less energy.
1) Describe your water management program (5 points), including:
- Controlling storm water runoff
- Plumbing fixtures used (toilet, sinks, etc.)
- Programs to eliminate or reduce the use of potable water required for landscape irrigation
- Programs to reduce water and sewer requirements for cooling towers and sub-metering to conserve water
- Savings in dollars and reduction of water consumption from the use of water efficient programs
2) Describe the following (3 points):
Innovation water management strategies/applications such as hands-free faucets, waterless urinals, public/private partnership programs, green roofs, indigenous landscaping.
3) Answer the following (1 point):
- What percentage of toilets/closets are water efficient (use 1.6 gal or less)?
- What is a new installation or renovation?
- Why was this important for your company to install these fixtures?
4) Answer the following (1 point):
- What percentage of faucets that are water efficient?
- What is the new installation or renovation?
- Why was this important for your company to install these fixtures?
Maximum of 1,750 words
A maximum of 1 attachment allowed for this section.
INTERIOR FINISH – 10 points
There is a great opportunity to reuse existing building materials and space when remodeling common areas or tenant occupied areas. The Property Management team may have control over product selection in common areas however it’s the tenant or occupant who has control over those choices within their space. What does the property management team do to encourage the use of environmentally friendly products? Written document can include manufacturer information.
a) Provide written documentation and (1) photograph of building common areas space that has recently been built or remodeled. The documentation should prove that the materials used were environmentally safe products such as low VOC paints, carpet squares, recycled wallpapers, certified wood door products, etc. (3 points)
b) Provide written documentation and (1) photograph of tenant space that has recently been built or remodeled for a new tenant or renewal. The documentation should prove that the materials used were environmentally safe products such as low VOC paints, carpet squares, recycled wallpapers, certified wood door products, flooring products, etc. If the tenant space was recently remodeled, please provide proof that at least 10% of the existing office space was reused – such as doors, door hardware, walls, fixtures, HVAC, smoke and fire systems, built-ins, restrooms, etc. (3 points)
c) The purchase of local materials support local industry and reduces transportation costs from transporting products long distances across the country. Tell us about local vendors and product lines your building supports. 3 pts
d) How is construction waste recycled? Provide percentage of materials recycled. 1 pts
Maximum of 1,750 words
A maximum of 4 attachments allowed for this section.
GREEN PURCHASING POLICY – 5 points
Describe any policies or programs you have established for purchasing "green" products – those that have reduced impact on the environment. This should include consideration of the following:
- Procurement policy outlining preferential buying of "green products"
- Product selection criteria
- Use of recycled products
Maximum of 600 words
No attachments allowed for this section.
COMMUNITY IMPACT – 10 points
Provide a written description of the building management's impact on the community. For example: jobs provided (as a direct result of the building's existence), amenities to the community or the corporate environment (parks, blood drives, special events, etc.), tax impact (provide special assessments for roads, sewers, etc.), recognition awards, letters and roads and other transportation improvements. If the impact can be quantified as additional income for the community or charitable event or has some type of savings associated with the impact, please describe. When describing the current year’s events, please note programs and how long they have been in place.
In addition, please describe how the building management's efforts in this area have helped make the property a benefit to the local community. Only include corporate donations/activities if entrant can describe how the onsite management team personally participated or how it affected the property.
Industrial Buildings (only): Entrants may also include the building's compatibility with neighboring properties and how the building affects traffic.
NOTES: Please indicate services that relate to the community and not to the tenants. Entrants may also include a maximum of 3 attachments reflecting the events being described such as posters, flyers, newsletters and charity acknowledgement letters. No JPEGs will be accepted.
Maximum of 1,800 words
Maximum of 3 attachments allowed for this section
OCCUPANT COMMUNICATION / EDUCATION – 5 points
Identify means by which occupants receive information to support Management's overall efforts to protect and improve the indoor and outdoor environments. Also, provide information as to how Management may encourage alternate means of transportation and any incentives as a result thereof. This should include consideration of the following:
- Staff and occupant education/seminars
- E-mail
- Meetings, newsletters
- Corporate and property level Web page and Internet Web sites
- Public transportation, park and ride, bus stop
- Bicycle storage to include changing and shower facilities
- Carpooling incentives
- Partnership with local city government commuter sponsored programs
- Alternate fuel vehicles - preferred parking incentives
Maximum of 600 words
A maximum 3 attachments allowed for this section.
CASE STUDY – 5 points
By providing a case study of a building project that was implemented to reduce environmental risk or improve energy efficiency, you can obtain five additional points. The case study should include why this project was implemented, the steps involved with implementation, the benefits derived by the building, staff, tenants, owners and/or local community and how this project is managed to ensure continued benefits. The case study should also profile the projects economic and environmental benefits and relate to at least one of the Environment Award portfolio specifications above.
This case study may be used by BOMA International in materials for program such as the BOMA Energy Efficiency Program (BEEP) and may be shared with others in the industry to demonstrate best practices in the industry.
The name of the building or the property management company name must be provided in the case study as well as a point of contact should future questions arise regarding this case study.
Maximum of 600 words
1 attachment allowed for this section.
SUBMITTED CONTENT
Building registration information and the building description may be used in awards program materials and with the media. Photographs may be used, with attribution, in awards program materials, with the media and in other BOMA Canada/International materials. All other content may be used by BOMA Canada/International in the creation of new industry materials. BOMA Canada/International will not include identifying information, such as building name, owner, etc., in these materials without the entrant’s consent.
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September 2022 Pakistan Current Affairs MCQs | PDF Download
Here, you will have September 2022 Pakistan Current Affairs MCQs in Pdf download. These Pakistan Current Affairs MCQs 2022 are taken from the month of September 2022. These are very important for every sort of exam in Pakistan, especially the upcoming CSS Exam (CE-2023) Screening test of FPSC 2022. These questions and answers with solutions to CA & PA 2022 MCQs are equally important for FPSC, PPSC, SPSC, SPSC, KPPSC, BPSC, NTS and all other competitive exams in Pakistan. At last, you won't find such Monthwise MCQs anywhere with a download facility:).
Download in PDF August Month 2022 MCQs
Download in PDF September Month 2022 MCQs
Have you checked: Facts and Figures For CE-2022 by CSSMCQs?
September 2022 Pakistan Current Affairs MCQs in Pdf download
Current Affairs of Pakistan 2022, 2021 & 2020 MCQs pdf download Monthwise
Current (May 2022) Federal Ministers of Pakistan (Updated 2022)
- Aug 2022 Pakistan Current Affairs MCQs ➤ July 2022 Pakistan Current Affairs MCQs ➤ June 2022 Pakistan Current Affairs MCQs ➤ May 2022 Pakistan Current Affairs MCQs ➤ April 2022 Pakistan Current Affairs MCQs ➤ March 2022 Pakistan Current Affairs MCQs ➤ February 2022 Pakistan Current Affairs MCQs ➤ January 2022 Pakistan Current Affairs MCQs ➤ December 2021 Pakistan Current Affairs MCQs ➤ November 2021 Pakistan Current Affairs MCQs ➤ October 2021 Pakistan Current Affairs MCQs ➤ September 2021 Pakistan Current Affairs MCQs ➤ August 2021 Pakistan Current Affairs MCQs ➤ July 2021 Pakistan Current Affairs MCQs ➤ June 2021 Pakistan Current Affairs MCQs ➤ May 2021 Pakistan Current Affairs MCQs ➤ April 2021 Pakistan Current Affairs MCQs ➤ March 2021 Pakistan Current Affairs MCQs ➤ Febuaury 2021 Pakistan Current Affairs MCQs ➤ January 2021 Pakistan Current Affairs MCQs
Pakistan Current Affairs MCQs September 2022 | PDF Download
NOTICE: Please note that these Current affairs MCQs are dynamic in nature, therefore, facts and figures can be changed at any moment. So, it is a humble request if there is a need for download
an update. Please, comment in the box below
Please NOTE that many of these MCQs will become obsolete after Election and may need an update afterwards, so be careful!! !
Which Russian leader, who ended Cold War and also won the Nobel prize, died on 1st September 2022?
A. Vladimir Putin
B. Boris Yeltsin
C. Mikhail Gorbachev
D. Dmitry Medvedev
On September 1, 2022, Pakistan received _____ million pounds from the UK as humanitarian aid.
A. 12 million
B. 13 million
C. 14 million
D. 15 million
When Liz Truss Became the New Prime Minister (PM) of the UK?
A. 30 August 2022
B. 2 September 2022
C. 6 September 2022
D. 9 September 2022
Queen Elizabeth II died on which date?
A. 1st September 2022
B. 2nd September 2022
C. 6th September 2022
D. 8th September 2022
Shanghai Cooperation Organisation (SCO) Summit 2022 will be held on September 15-16 in the city of ________?
A. Kazakhstan – Nur-Sultan
B. Kyrgyzstan – Bishkek
C. Tajikistan – Dushanbe
D. Uzbekistan – Samarkand
When Queen Elizabeth II father died and she took the throne?
A. 1952
B. 1963
C. 1986
D. 1997
PM Shehbaz Sharif addressed the __________
session on September 23, 2022
A. 74th UNGA session
B. 75th UNGA session
C. 76th UNGA session
D. 77th UNGA session
PM Shehbaz Sharif addressed the 77th UNGA session on _________?
A. September 20, 2022
B. September 23, 2022
C. September 25, 2022
D. September 27, 2022
Who is the current (Sept 2022) Chairman of the Indus River System Authority (IRSA)?
A. Qibly Ayaz
B. Zahid hussain junejo
C. Mehmood Akhter
D. None of them
Which Humanitarian, activist and Hollywood actress arrived in Pakistan to help flood victims on 20th September 2022?
A. Angelina Jolie
B. Scarlett Johansson
C. Emma Watson
D. None of These
Who represented Pakistan at Queen Elizabeth's funeral in London on September 19?
A. PM Shehbaz Sharif
B. President Arif Alvi
C. Foreign Minister Bilawal
D. Army Staff Javed Bajwa
Who is the New King of Great Britain after the death of Queen Elizabeth II?
A. Charles I
B. Charles II
C. Charles III
D. Hary I
According to Human Development Index (HDI) 2022, what is the rank of Pakistan out of 192 countries?
A. 140
B. 146
C. 154
D. 161
Hub becomes the 35th district of which province?
A. Balochistan
B. Punjab
C. KPK
D. Sindh
IMF Board has approved the revival of the Pakistan EFF program. It will be getting the 7th & 8th tranches of how many billion $?
A. $1.17 billion
B. $2.0 billion
C. $2.5 billion
D. $3.5 billion
How many districts of Balochistan are declared as `Calamity-hit` in September 2022?
A. 30
B. 32
C. 34
D. 36
On 3 September 2022, China announced to the provision of an additional RMB _____ million in flood relief supplies to Pakistan.
A. 200 million
B. 300 million
C. 400 million
D. 500 million
`Hub` becomes _____ district of Balochistan.
A. 34th
B. 35th
C. 36th
D. 37th
What was the duration of tenure of Queen
Elizabeth?
A. 58
B. 62
C. 70
D. 96
Peace was observed around the world on 21 September, What is the theme of the International Day of Peace 2022?
A. Know how ultimate peace can be obtained
B. End racism. Build peace
C. Recovering better for an equitable and sustainable world
D. Build an ideal World
Which state is going to become the 9th member of the Shanghai Cooperation Organisation (SCO)?
A. Afghanistan
B. Belarus
C. Iran
D. the United Arab Emirates
Pakistan Army Aviation helicopter, which was on flood relief operations in the Lasbela area of
Balochistan crashed on ________?
A. 1st August 2022
B. 2nd August 2022
C. 3rd August 2022
D. 4th August 2022
Pakistan Army Aviation helicopter, which was on flood relief operations in ________ area of Balochistan crashed on 1 August 2022.
A. Khuzdar
B. Lasbela
C. Dera Bugti
D. Kashmore
Name the Corps Commander of Quetta who embraced shahadat [martyrdom] in a helicopter crash due to bad weather during flood relief operations in Lasbela, Balochistan, on August 1, 2022.
A. Lieutenant General Nauman Mahmood
B. Lieutenant General Sarfraz Ali
C. Lieutenant General Faiz Hameed
D. None of These
Who has been appointed as Corps Commander Quetta?
A. Lieutenant General Nauman Mahmood
B. Lieutenant General Faiz Hameed
C. Lieutenant General Asif Ghafoor
D. None of These
Who is the Current (Aug 2022) Deputy Speaker of the PUNJAB Assembly?
A. Wasiq Abbasi
B. Asad Qaisar
C. Dost Mazari
D. None of These
Who is the Current (Aug 2022) Chairman Of HEC?
A. Dr Mukhtar Ahmed
B. Dr Tariq Banuri
C. Mr. Atta-ur-Rahman
D. None of these
Who is the Current (Aug 2022) Speaker of the Punjab Assembly?
A. Jan Muhammad Jamali
B. Sibtain Khan
C. Ch Pervez Elahi
D. None of These
Current (Aug 2022) Governor of Gilgit-Baltistan
is_____________?
A. Syed Mehdi Shah
B. Mr. Muhammad Jaffar
C. Raja Jalal Hussain Maqpoon
D. None of These
Who is the Current (Aug 2022) Governor of The State Bank of Pakistan?
A. Dr Murtaza Syed
B. Jameel Ahmad
C. Tariq Bajwa
D. Dr Reza Baqir
5th August A Black chapter in the World history
is ___________?
A. Youm-e-Shuhdai Karbala
B. Youm-e-Siyah
C. Youm-e-Arfat
D. Youm-e-Istehsal
Ukraine celebrates its independence day on which date?
A. 24 June
B. 24 July
C. 24 August
D. 24 September
On August 21, 2022, the Jordanian Princess arrived in Karachi on a week-long visit, Named?
A. Princess Lalla Salma
B. Princess Clarisse Marie
C. Princess Sarah Zeid
D. None of these
The SBP on 14 August 2022, issued a Rs75 commemorative banknote featuring portraits of
Quaid-i-Azam, Allama Iqbal, Sir Syed Ahmed Khan and one female named __________?
A. Rattanbai Jinnah
B. Fatima Jinnah
C. Dina Wadia
D. Begum Rana Liaquat Ali Khan
Who is the Current (Aug 2022) Prime Minister of Japan?
A. Shinzo abe
B. Fumio Kishida
C. Sanae Takaichi
D. Taro Kono
Who is the Current (August 2022) Prime Minister of Sri Lanka?
A. Mahinda Rajapaksa
B. Dinesh Gunawardena
C. Ranil Wickremesinghe
D. None of These
Who is the Current (August 2022) President of
A. Ranil Wickremesinghe
B. Gotabhaya rajapaksa
C. Maithripala sirisena
D. None of These
The State Bank of Pakistan (SBP) on August 14, 2022, issued a Rs ____ commemorative banknote.
A. Rs25
B. Rs50
C. Rs75
D. Rs150
When first locally produced electric car was launched in Pakistan?
A. August 01, 2022
B. August 10, 2022
C. August 14, 2022
D. None of these
On 14th August 2022, Pakistan celebrated the country’s _________ Independence Day
anniversary.
A. 73th
B. 74th
C. 75th
D. 76th
What was the name Pakistan's first electric car which was unveiled on the occasion of 75th Independence Day on 14th Aug 2022?
A. NUR-E 75
B. PAK-E 75
C. NUR-PAK 75
D. ELEC-P 75
Babar Azam conferred with ________ on 75th Independence Day of Pakistan?
A. Hilal-e-Pakistan
B. Surah Falak
C. Hilal-i-Jurat
D. Sitara-e-Imtiaz
Who was known as India's Warren Buffett, died
recently on 14th August 2022?
A. Rakesh Jhunjhunwala
B. Gautam Adani
C. Mukesh Ambani
D. None of These
In 2022, Youm-e-Ashur, the tenth of Muharramul-Haram observed on which date?
A. August 7, 2022
B. August 8, 2022
C. August 9, 2022
D. None of these
In August 2022, the Turkish Minister for Trade visited Pakistan, Named?
A. Vedat Bilgin
B. Ruhsar Pekcan
C. Mehmet Mus
D. Mustafa Varank
On 12 August 2022, Pakistan and _____ signed a preferential trade agreement (PTA) to boost
trade.
A. Germany
B. Saudi Arabia
C. China
D. Turkiye
Who is the current (Aug 2022) chairman of Wapda?
A. Lt Gen Sajjad Ghani (Retd)
B. Naveed Asghar
C. Lt-Gen Muzammil Hussain (Retd)
D. Mr. Justice Mamoon Kazi
Pakistan to commemorate _____ jubilee celebrations on 14 August 2022.
A. Silver
B. Gold
C. Diamond
D. Platinum
Prime Minister Shehbaz Sharif on _____ launched an Rs37.2 billion flood relief cash programme.
A. August 17, 2022
B. August 19, 2022
C. August 21, 2022
D. August 23, 2022
The Punjab government on 17 August 2022, formally notified _____ as a 10th division of the province.
A. Faisalabad
B. Multan
C. Sialkot
D. Gujrat
The UK signed a major deal with Pakistan on _____ under which foreign criminals and immigration offenders from the UK can be returned to Pakistan.
A. August 15, 2022
B. August 17, 2022
C. August 19, 2022
D. August 21, 2022
In Commonwealth Games 2022, Pakistan managed to secure _______ position out of 72
different nations and territories.
A. 8th
B. 12th
C. 16th
D. 18th
Lt Gen Faiz Hameed was appointed as commander.
A. Baluchistan corps.
B. Peshawar corps.
C. Bahawalpur corps
D. military secretary of Pakistan Army
Pakistan’s star athlete Arshad Nadeem wins gold medal in CWG 2022 and sets new world record by throwing _________ Meters in javelin through
A. 86.29m
B. 90.18m
C. 88.43m
D. 89.51m
Which Pakistani weightlifter won the Gold medal
in commonwealth Olympics game 2022?
A. Muhammad Nooh Dastagir Butt
B. Talha Talib
C. Sufyan Abu
D. Abubakar Ghani
Pakistani Weightlifter Muhammad Nooh Dastagir Butt lifted ______ kgs of weight in Commonwealth Games (CWG) 2022?
A. 305 Kg
B. 375 Kg
C. 300 Kg
D. 405 Kg
Who brings the first gold medal for Pakistan in Commonwealth Games 2022?
A. Noor Dastagir
B. Samnia baig
C. Sheroz sham
D. Ali Haider
What is the official Motto of the Birmingham
2022 Commonwealth Games?
A. Sport is all about the spirit
B. Sport is just the beginning
C. Sport is important for All
D. Sports for life
In Commonwealth Games 2022, Pakistan managed to secure _______ position out of 72 different nations and territories.
A. 8th
B. 12th
C. 16th
D. 18th
Where did Quad Summit 2022 take place?
A. China
B. Japan
C. India
D. Australia
QUAD is Known as the ______________.
A. Quadrilateral Social Dialogue
B. Quadrilateral Economic Dialogue
C. Quadrilateral Security Dialogue
D. Quadrilateral Cultural Dialogue
Which country won the most Medals in Birmingham 2022 Commonwealth Games?
A. Australia
B. England
C. Canada
D. India
According to the latest World Values Survey, Pakistan has a Muslim denomination of how much per cent?
A. 88%
B. 92%
C. 95%
D. 98%
The frozen $7bn Afghan fund by President Biden belongs to whom?
A. United States of America
B. Afghan Taliban
C. Common People of Afghanistan
D. Tajid Community of Afghanistan » Read More…
According to German Watch, Pakistan has been ranked in _________ of the countries most affected by climate change in the past 20 years.
A. Top 50
B. Top 25
C. Top 15
D. Top 10
download
According to SBP, Pakistan total debt and liabilities increased by how many trillion Rupees in FY22?
A. Rs10.85 trillion
B. Rs11.85 trillion
C. Rs12.85 trillion
D. Rs13.85 trillion
Nancy Pelosi becomes highest-ranking U.S. official to visit Taiwan in how many years?
A. 20 years
B. 25 years
C. 35 years
D. 50 years
Which US highest ranking official visited Taiwan that marked break from U.S. policy?
download
A. Nancy Pelosi
B. Brenda Barrus
C. Jeo Biden
D. Donal Trump
Do you know: Where Quad Summit 2022 took place?
SCO Summit 2022 will be held in which country?
A. Ashgabat, Turkmenistan
B. Samarkand, Uzbekistan
C. Bishkek, Kyrgyzstan
D. Dushanbe, Tajikistan
According to AUKUS, which state(s) will be allowed to build nuclear-powered submarines?
A. USA
B. UK
C. UK,US and Australia
D. Australia
Who won a bronze medal in Men's Freestyle 65kg Wrestling event at Commonwealth Games (CWG 22)?
A. Inam Butt
B. Anayt Ullah
C. Nooh Dastagir Butt
D. Shah Hussain
How many members are there in AUKUS?
A. 2
B. 3
C. 4
D. 5
Which Indian veteran leader was summoned over a money laundering case recently.
A. Narender Modi
B. Ram Nath Kovind
C. Sonia Gandhi
D. Amit Shah
Which state will host 20th SAARC Summit 2022?
A. KSA
B. UAE
C. CARs
D. Pakistan
The headquarters of the World Economic Forum is situated in which city?
A. Zaire
B. Cologny
C. Paris
D. Lualaba
What is the Percentage of youth in Pakistan?
A. 30%
B. 45%
C. 63%
D. 78%
Who is the Current 2022 Chairman of NAB (National Accountability Bureau) Pakistan?
A. Abdul Rauf Ch.
B. Qamar Zaman Chaudhry
C. Aftab Sultan
D. Justice (retired) Javed Iqbal
How Many States are there in G20?
A. 19
B. 20
C. 21
D. 22
Famous Pakistani athlete Arshad Nadeem belongs to which district?
A. Multan
B. Khanewal
C. Sialkot
D. Jhang
How many Bronze medals did Pakistan win in Birmingham 2022 Commonwealth Games?
A. Zero
B. Two
C. Three
D. Six
Can you get 18/20 Score in Pakistan Affairs CSS Paper 2022 MCQs Quiz?
How many Silver medals did Pakistan win in Birmingham 2022 Commonwealth Games?
A. 3
B. 5
C. 7
D. 9
How many medals did Pakistan win in Birmingham 2022 Commonwealth Games?
A. 6
B. 8
C. 10
D. 12
Which country to help Pakistan set up Plasma Farming Facilities (PFF)?
A. UAE
B. Iran
C. Turkey
D. China
Consider linking to these articles:
According to Economic Survey 2022, the literacy rate in Pakistan is around what per cent?
Who represented Pakistan at Queen Elizabeth's funeral in London on September 19?
Queen Elizabeth II died on which date?
What are the causes and consequences of the energy crisis in Pakistan?
IMF Board has approved the revival of the Pakistan EFF program. It will be getting the 7th & 8th tranches of how much billion $?
The former Russia (USSR) was composed of how many republics?
How many Bismillah are there in the Holy Quran excluding Surah Toubah?
Facts and Figures For PMS 2022
Shanghai Cooperation Organisation (SCO) Summit 2022 will be held on September 15-16 in the city of which state?
Who is the current (Sept 2022) Chairman of the Indus River System Authority (IRSA)?
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Here, you can seek Current Affairs 2021 & 2022 MCQs of Pakistan Current issues 2021 & year 2022. Pakistan Current Affairs sample test and practise questions for job Test. Current Affairs of Pakistan, first in Pakistan, Important issues, current govt etc. Here you will find updated Current affairs of Pakistan Mcqs.
MCQs of Pakistan's Domestic Affairs that is Political, Economic, Social Issues. And MCQs of Pakistan's External Affairs that is Pakistan's relations with its Neighbors (India, China, Afghanistan, Russia). Pakistan's relations with the Muslim World (Iran, Saudi Arabia, Indonesia, Turkey) MCQs. MCQs about Pakistan's relations with the United States and with Regional and International Organizations (UN, SAARC, ECO, OIC, WTO, CW) will be shared.
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Click below to download in PDF September Month 2022 Pakistan Current Affairs Most Important MCQs
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NOTIFICATION
In supersession of the previous notification No. R/12012/1/2018-MBSE(HSS)/28 dated 29/11/2018, it is hereby notified for the information of all concerned that, the Higher Secondary School Leaving Certificate (Arts, Science & Commerce) Examinations, 2019 under the Mizoram Board of School Education is rescheduled to commence from 5th March, 2019 as per the programme given below:
| DATE/DAY | TIME | SUBJECTS |
|-------------------|-----------------------|-----------------------------------------------|
| 05.03.2019 | (10:00am to 1:00pm) | English |
| (Tuesday) | | |
| 06.03.2019 | | NO EXAMINATION |
| (Wednesday) | | |
| to | | |
| 07.03.2019 | | |
| (Thursday) | | |
| 08.03.2019 | | M.I.L (Mizo/Hindi/Bengali/Nepali) |
| (Friday) | | |
| 09.03.2019 | | NO EXAMINATION |
| (Saturday) | | |
| to | | |
| 11.03.2019 | | |
| (Monday) | | |
| 12.03.2019 | | Education/Psychology (I)/ Physics (I)/ |
| (Tuesday) | | Accountancy |
| 13.03.2019 | | NO EXAMINATION |
| (Wednesday) | | |
| 14.03.2019 | | History |
| (Thursday) | | |
15.03.2019 (Friday) to 17.03.2019 (Sunday)
NO EXAMINATION
18.03.2019 (Monday)
Political Science/Public Administration
Business Studies/Chemistry (T)
19.03.2019 (Tuesday)
NO EXAMINATION
20.03.2019 (Wednesday)
Geography (T)
21.03.2019 (Thursday)
NO EXAMINATION
22.03.2019 (Friday)
Economics/Biology (T)
23.03.2019 (Saturday) to 24.03.2019 (Sunday)
NO EXAMINATION
25.03.2019 (Monday)
Mathematics/Business Mathematics
26.03.2019 (Tuesday)
Sociology
27.03.2019 (Wednesday)
NO EXAMINATION
28.03.2019 (Thursday)
Home Science (T)
29.03.2019 (Friday)
Computer Science (T)/Geology (T)
Practical Examinations shall be held as per the programme given below:
| DATE/DAY | TIME (9:00am to 4:00pm) | SUBJECTS |
|-------------------|--------------------------|-----------------------------------------------|
| 18.02.2019 | | Physics (P)/Chemistry (P)/Biology (P)/Geology (P) |
| (Monday) onwards | | |
| 19.02.2019 | | Geography(P)/Psychology (P)/Home Science (P)/Computer Science (P) |
| (Tuesday) onwards | | |
Unexpected holiday(s) declared by any authority other than the Chairman, MBSE, after publication of the Examination programme, will not prevent conduct of the Examination(s) scheduled for the day(s) concerned.
Sd/-I. ALTIANGBIKA
Secretary
Mizoram Board of School Education
Memo No. R.12012/1/2018-MBSF(1SS)/29 (A) Dated Aizawl the 5th December, 2018
Copy to:
1. The Commissioner & Secretary to the Govt. of Mizoram, School Education Department and Controlling Authority of the MBSI, Aizawl.
2. The Director of School Education, Govt. of Mizoram, Aizawl.
3. The Director of Higher & Technical Education, Govt. of Mizoram, Aizawl.
4. All District Education Officers in Mizoram.
5. All Centre Superintendents of HSSLC Examination, 2019. They are entrusted to conduct practical examination in Geography, Psychology, Home Science, Geology, Computer Science, Physics, Chemistry, Biology, if any, for candidates in their respective Centres.
6. All Principals of Higher Secondary Schools in Mizoram and Colleges where +2 Classes are attached.
7. The Regional Officer, MBSE Regional Office, Lunglei.
8. The Station Director, AIR/DDK, Aizawl/Lunglei, LPS/Zonet Audio Visual Production with a request to kindly arrange for special announcement.
9. Notice Board/Relevant File.
(SARAI LALENGZAMI PACHUAU)
Controller of Examinations
Mizoram Board of School Education
|
<urn:uuid:a218b98e-4208-4f2e-b077-ffc295f854d3>
|
CC-MAIN-2019-04
|
http://www.mbse.edu.in/mbseadmin/pdf/HSSLC_2019.pdf
|
2019-01-24T07:39:11Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-04/segments/1547584519382.88/warc/CC-MAIN-20190124055924-20190124081924-00193.warc.gz
| 343,582,108
| 1,093
|
eng_Latn
|
eng_Latn
| 0.606575
|
eng_Latn
| 0.59865
|
[
"eng_Latn",
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|
docling
|
[
2462,
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5098
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Employment Application Form
PLEASE COMPLETE PAGES 1-2.
DATE _________________________________
Name ______________________________________________________________________________________________
Last
First
Middle
Present address _____________________________________________________________________________________
Number
Street
City
State
Zip
E-Mail address _________________________
Social Security No. _______ – _____ – _________
Telephone ( )
Are you under age 18 ____YES ____NO, if "YES", can you provide proof of your eligibility to work? ____YES ____N0
Are you currently authorized to work in the United States? ____YES _____NO. Proof of eligibility will be required if hired.
Position applied for (1) _______________________ and wage desired (2) ________________________
(Be specific)
Days/hours available to work
No Pref____________ Thur __________
Mon ______________ Fri ___________
Tue ______________ Sat __________
Wed ______________ Sun __________
How many hours can you work weekly? ________________________
Employment desired
FULL-TIME
PART-TIMESEASONAL
When are you available to start work?____________________________
___________________________________________________________________________________________________
TYPE OF SCHOOL NAME OF SCHOOL
LOCATION
NUMBER OF YEARS
COMPLETED
YEAR
GRADUATED
High School
_________________ _________________ __________
_______________
College
_________________ _________________ __________
_______________
Bus. or Trade School _________________ _________________ __________
_______________
Professional School _________________ _________________ __________
_______________
Have you ever been convicted of a felony? employment.)
No
Yes (A conviction record will not necessarily disqualify you from
If yes, please explain: _________________________________________________________________________________
Employee Referral? Name____________________________________________
Have you submitted an application at FrozenPeaks before?
No Yes
If yes, give date(s) and positions(s) ___________________________________
Hobbies/Interests: ____________________________________________________________________________________ ___________________________________________________________________________________________________
APPLICATION FOR EMPLOYMENT
Work Experience
Please list your work experience for the beginning with your most recent job held. If you were self-employed, give firm name. Attach additional sheets if necessary.
Name of Employer ________________________________
Address ________________________________________
Name of last supervisor
Employment dates Pay or salary
City, State, Zip Code ______________________________
Phone Number __________________________________
From
To
Start
Final
Your last job title
Reason for leaving (be specific)
Name of Employer ________________________________
Address ________________________________________
Name of last supervisor
Employment dates Pay or salary
City, State, Zip Code ______________________________
Phone Number __________________________________
From
To
Start
Final
Your Last Job Title
Reason for leaving (be specific)
Name of Employer ________________________________
Address ________________________________________
Name of last supervisor
Employment dates Pay or salary
City, State, Zip Code ______________________________
Phone Number __________________________________
From
To
Start
Final
Your last job title
May we contact your present employer?
Yes No
PLEASE READ CAREFULLY
I hereby certify that my answers and assertions set forth in this application are true and complete to the best of my knowledge. If I am employed, I understand that any false statements on this application shall be considered sufficient cause for my dismissal.
I expressly authorize, without reservation, the employer, its representatives, employees or agents to contact and obtain information from all references (personal and professional), employers, public agencies, licensing authorities and educational institutions and to otherwise verify the accuracy of all the information provided by me in this application, resume or job interview. I hereby waive any and all rights and claims I may have regarding the employer, its agents, employees or representatives, for seeking, gathering and using truthful and non-defamatory information, in a lawful manner, in the employment process and all other persons, corporations or organizations for furnishing such information about me.
I understand that FrozenPeaks has an "All Hands On Deck" policy and, if hired, I will be trained and could be working in any area of the store, as determined by Management. Furthermore I understand that if I am hired, employment with this company is "at will," which means that either the company or I can terminate my employment for any reason not prohibited by state or federal law.
___________________________________ _________________________________
________________
Applicant Signature
Print Name
Date
|
<urn:uuid:7e1646b1-af59-4e52-aea1-ce04222261aa>
|
CC-MAIN-2017-17
|
http://frozenpeaks.com/wp-content/uploads/2014/05/employee_application2013.pdf
|
2017-04-26T02:05:52Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-17/segments/1492917121121.5/warc/CC-MAIN-20170423031201-00387-ip-10-145-167-34.ec2.internal.warc.gz
| 149,718,552
| 916
|
eng_Latn
|
eng_Latn
| 0.754996
|
eng_Latn
| 0.980691
|
[
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2350,
5130
] |
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