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Analyzing Real Cluster Data for Formulating Allocation Algorithms in Cloud Platforms
Olivier Beaumont, Lionel Eyraud-Dubois, Juan-Angel Lorenzo-Del-Castillo
To cite this version:
Olivier Beaumont, Lionel Eyraud-Dubois, Juan-Angel Lorenzo-Del-Castillo. Analyzing Real Cluster Data for Formulating Allocation Algorithms in Cloud Platforms. Parallel Computing, 2015. hal-01214636
HAL Id: hal-01214636
https://inria.hal.science/hal-01214636v1
Submitted on 15 Oct 2015
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Analyzing Real Cluster Data for Formulating Allocation Algorithms in Cloud Platforms
Olivier Beaumont, Lionel Eyraud-Dubois, Juan-Angel Lorenzo-del-Castillo
Inria Bordeaux Sud-Ouest
Université de Bordeaux
Abstract
A problem commonly faced in Computer Science research is the lack of real usage data that can be used for the validation of algorithms. This situation is particularly true and crucial in Cloud Computing. The privacy of data managed by commercial Cloud infrastructures, together with their massive scale, makes them very uncommon to be available to the research community. Due to their scale, when designing resource allocation algorithms for Cloud infrastructures, many assumptions must be made in order to make the problem tractable.
This paper provides deep analysis of a cluster data trace recently released by Google and focuses on a number of questions which have not been addressed in previous studies. In particular, we describe the characteristics of job resource usage in terms of dynamics (how it varies with time), of correlation between jobs (identify daily and/or weekly patterns), and correlation inside jobs between the different resources (dependence of memory usage on CPU usage). From this analysis, we propose a way to formalize the allocation problem on such platforms, which encompasses most job features from the trace with a small set of parameters.
Keywords: Cloud Computing, Data Analysis, Parallel jobs
1. Introduction
The topic of resource allocation algorithms for Cloud Computing platforms has been the focus of recent interest. In this context, the objective is to allocate a set of services –understanding a service as a divisible workload– onto a set of physical machines, so as to optimize resource usage, or to ensure strong Quality of Service guarantees, or to limit the number of migrations used, among others. On the algorithmic side, several solutions and techniques have been proposed to
compute such allocations: many are based on variants of standard Bin Packing algorithms (like First Fit or Best Fit), some are more focused on the dynamic aspect and provide online rules to compute new valid allocations. There is no clear consensus in the community on which aspects of the problem are the most important (dynamicity, fault tolerance, multidimensional resources, additional user-supplied constraints, ...), neither on the formal algorithmic models to take such aspects into account.
In this paper, we analyze a cluster usage trace recently released by Google with the goal of providing answers to some of these questions. Some of the characteristics of this trace have already been analyzed in [1]. Our objective in this paper is twofold. Firstly, we aim at finding new characteristics of the trace and to exhibit the main properties of the jobs running on it. Second, we aim at proposing a set of very few parameters that still account for the main characteristics of the trace and may leverage both the generation of realistic random traces and the design of efficient allocation algorithms.
1.1. The Google Cluster Trace
Google recently released a complete usage trace from one of its production clusters [2]. The workload consists in a massive number of services (called jobs in the terminology of this trace), which can be further divided into tasks, being each task assigned to a single physical machine. Note that a task is an indivisible piece of work that can be implemented as a program running in a virtual machine (VM) or—as it actually happens in the trace—in a Linux Container (LxC). The data are collected from 12583 heterogeneous machines, span a time of 29 days and provide exhaustive profiling information—such as the memory and CPU usage of each task—on 5-minute monitoring intervals (called time windows in the rest of this paper). Each job has a priority assigned, 0 being the lowest one and 11 the highest one. According to [3, 4], priorities can be grouped into infrastructure (11), monitoring (10), normal production (9), other (2-8) and gratis (free) (0-1). The scheduler generally gives preference to resource demands from higher priority tasks over tasks belonging to lower priority groups, to the point of evicting the latter ones if needed. All data, as well as the nature of the workloads, have been obfuscated. The trace providers state that the data come mainly from “internal workloads” and mention MapReduce as an example of a program that spawns two jobs (a master and a slave), each comprising multiple tasks. Let us note that the goal of this paper is not to understand the behavior of the scheduling and resource allocation algorithm used by Google to allocate tasks and jobs, but rather to concentrate on the general properties of the jobs themselves and how to describe the trace.
The whole trace is split into numerous files with a total size of 186 Gb. These trace files contain thorough information about the platform and the jobs running on it. In practice, one of the main difficulty is related to the size of the database and the time needed to validate any assumption based on these data. In this paper, we propose an extraction of the database containing all information about the jobs that we consider as dominant, i.e. jobs that at some
instant belong to the minimal set that still accounts for most of the resources usage, and that can be used to test and validate more easily new assumptions.
1.2. Relevant Features and Important Questions
Based on the trace of the production clusters described in [2], we will in particular concentrate on the following questions:
**Static:** It has been noticed in [1] that, at a given time step, a small portion of jobs only accounts for most of the usage of the platform (both in terms of CPU usage, memory consumption, number of assigned tasks,...). In this study, we confirm this observation. In particular, we prove that less than 6% of all jobs account for almost 95% of CPU usage and 90% of memory usage. A crucial consequence is that, in this context, it is possible to design efficient and optimized algorithms to allocate these jobs, contrarily to what is often assumed in the literature, while possibly relying on basic on-line linear complexity heuristics to schedule the huge number of very small remaining jobs. We also provide a detailed analysis of the class of priorities of these jobs and of the number of tasks they involve.
**Dynamics:** In the context of the design of efficient algorithms, the dynamics of jobs have also to be considered. Indeed, as already stated, we observe statically (at any time stamp) that the number of dominant jobs necessary to account for most of the platform usage is relatively small. Related to the dynamics of the system, we will consider the following additional questions: does the set of dominant jobs vary over time or is it relatively stable? What is the distribution of lifespans of dominant jobs? How much of the overall CPU usage does the set of stable dominant jobs account for? Does the usage (memory, CPU, tasks) of dominant stable jobs vary over time and, if it is the case, do they exhibit specific (hourly, daily, weekly) patterns? In the context of resource allocation mechanisms, this information is crucial in order to determine, even for the small set of dominant jobs, what can be done statically for a long period and what needs to be recomputed at each time step.
**Advanced features of the jobs:** As stated above, a priori, each job comes with a given number of tasks (or with an overall demand in the case of web services for instance) in terms of CPU, memory, disk, bandwidth... This leads to multi-dimensional packing problems that are notoriously difficult to solve, even for relatively small instances (a few hundreds of items). Nevertheless, multi-dimensional packing problem are greatly simplified if there are correlations between the different dimensions. In this paper, we will mostly concentrate on CPU-Memory correlation. We will prove (by depicting for all the tasks from dominant jobs, at all time stamps, their memory and CPU footprints) that for a large fraction of the jobs, the CPU usage varies with time and from task to task but that the memory usage is (almost) independent of the CPU usage. More precisely, we will classify the jobs into a few categories.
**Fault Tolerance Issues:** In such a large platform (typically involving more than 10k nodes), failures are likely to happen. In the case when a SLA has been established between the provider and the client, replication or checkpointing strategies have to be designed in order to cope with failures. In this paper,
we will concentrate on the following questions: what is the actual frequency of failures on such large scale production cluster? Are failures heavily correlated (a relatively large number of nodes fail simultaneously) or mostly independent? Again, these observations can be later used in order to validate failure models or to precisely quantify the qualities and limits of a model.
The rest of this paper is organized as follows. Section 2 presents the related work and clarifies our contribution. In Section 3, we define the set of dominant jobs which account for most of the resource usage and provide a simple description. In Section 4, we analyze the static properties of the workload of this dominant set of jobs. More dynamic properties following the evolution of jobs over time are considered in Section 5. Issues related to failure characterization will be considered in Section 6. Section 7 proposes a variety of reasonable simplifying assumptions which can be made when designing allocation algorithms. Concluding remarks are presented in Section 9. Note that it is impossible to include in this paper all the plots and numerical results and we will present throughout the text a small set of examples spanning all the questions above.
2. Related work
The trace has been published by Google in [2] and its format described in [3]. A forum to discuss trace-related topics is available in [5]. Several teams have analyzed this trace and the associated workload. Reiss et al. made a general analysis in [1] and [4], paying special attention to the workload heterogeneity and variability of the trace and confirming the need for new cloud resource schedulers and useful guidance for their design. Di et al. [6] used K-means clustering techniques in an attempt to classify the type of applications running in the trace based on their resource utilization. As a previous step, a comparison of these applications with respect to those typically run on Grids was done in [7]. In [8], Liu and Cho focused on frequency and pattern of machine maintenance events, as well as basic job-and task-level workload behavior. Garraghan et al. made in [9] a coarse-grain statistical analysis of submission rates, server classification, and wasted resource server utilization due to task failure.
Other teams have used the trace as an input for their simulations or predictions. Di et al. used it in [10] to test fault-tolerance optimization techniques based on a checkpointing/restart mechanism, and in [11] to predict host load using a Bayesian model. Amoretti et al. [12] carried out an experimental evaluation of an application-oriented QoS model. On a different context, job burstiness is used as an input for a queue-based model of an elasticity controller in [13].
All these approaches have been carried out either without any particular application in mind or just as an input to test simulations. On the contrary, our analysis aims at discriminating those features from the trace that are relevant to define a model which captures the main characteristics of both jobs and machines, that is tractable from an algorithmic point of view (not too many parameters) and that can later be used for random generation of realistic traces.
On the other hand, some work has already been done to analyze the dynamics of resource usage in datacenters. Bobroff et al [14] proposed a dynamic consolidation approach to allocate VMs into physical servers reducing the amount needed to manage SLA violations. They analyze the historical usage data and create an estimated model, based on Auto Regressive processes, to forecast the probability function of future demand. Gmach et al [15] rely on pattern recognition methods to generate synthetic workloads to represent trends of future behavior. In this paper, we analyze a much larger dataset, which is publicly available, and we analyze both the dynamics and the repartition of resource usage to provide a set of well-justified assumptions for the design of allocation algorithms.
3. Dominant jobs
In this section, we analyze the repartition of resource usage between jobs, and more precisely of those jobs which are crucial when designing efficient allocation algorithms since they account for most of platform usage. Following [1], we will prove that at any time step, a small portion of the jobs accounts for a large portion of CPU and memory usage. Therefore, reasonable resource allocation algorithms should concentrate on a careful allocation of these dominant jobs.
As mentioned before, the trace contains monitoring data averaged over 5-minute time windows. From each window to the following one, the number of running jobs will vary to a larger or lower extent, depending on the dynamics of the trace in that period. Hence, jobs that account for most of resource usage at a time window will not necessarily do it in the next one. We looked for a set of jobs that were representative of the whole trace. We define $D_i$, the set of dominant jobs for a given time window $i$, as the smallest set of jobs which account for at least 90% of the CPU usage of this time window. The set of dominant jobs which we consider in this paper is the union of these sets over the whole trace, $D = \bigcup_i D_i$. This set $D$ contains 25839 jobs, which makes 3.8% of all jobs in the trace.
Table 1 shows the number of alive jobs in $D$ and its resource usage $R(D)$ (CPU and memory) relative to the corresponding values on each time window.
| Stats | $|D|$ | $|D|/AllJobs_{tw}$ | $R_{cpu}$ | $R_{mem}$ |
|-------|------|-------------------|----------|-----------|
| mean | 240.9| 0.058 | 0.947 | 0.890 |
| std | 13.8 | 0.003 | 0.009 | 0.008 |
| min | 203 | 0.050 | 0.905 | 0.840 |
| 25% | 232 | 0.056 | 0.942 | 0.886 |
| 50% | 239 | 0.058 | 0.947 | 0.891 |
| 75% | 248 | 0.059 | 0.953 | 0.895 |
| max | 336 | 0.082 | 0.975 | 0.913 |
Table 1: Number of dominant jobs, and ratios of number of jobs, cpu and memory usage w.r.t. all other jobs, per time window.
The first row shows that, in average, 240.9 jobs (i.e. 5.8% of the jobs running on each tw) account for 94.7% of the overall CPU usage and 89% of the memory usage. This confirms that, even though the overall trace involves a huge number of jobs, it is of interest to concentrate on a very small fraction of them that accounts for most of platform usage at any time. In the rest of the paper we will focus on these dominant jobs only.
The small amount of jobs that comprises the dominant set is a crucial observation when considering the design of resource allocation algorithms. Indeed a quadratic (resp. cubic) complexity resource allocation would be 1000 (resp. $4 \cdot 10^4$) times faster on this small set of jobs rather than on the whole set, while still optimizing the allocation of the jobs that account for almost all of the CPU usage. It can be noted that these jobs involve a large number of tasks (470 on average, for 49983 the largest one), what explains their overall weight. It is therefore crucial for the algorithms to concentrate on jobs and not on tasks (or virtual machines).
A second observation that can be made is that, for those jobs that account for 90% of the CPU usage, most of the workload is dominated by jobs from particular priority groups. Figure 1 shows three parameters of the trace (number of tasks, total CPU and memory usage) normalized to the total cluster utilization and stacked by priority classes. From this, it can be observed that the set of dominant jobs, which accounts for more than 94% of CPU usage and almost 90% of the overall memory usage, comprises only 65% of the overall number of tasks. The memory and CPU usage bars show that most of jobs belong to the Normal Production priority class. Jobs in that priority class are prevented from being evicted by the cluster scheduler in case of over-allocation of machine resources. The second most important set of jobs are the ones in the Gratis priority class. Gratis priority class jobs are defined as those that incur little
internal charging, and therefore can be easily evicted by the cluster scheduler if needed due to over-allocation. Note that, according to the leftmost bar from the figure, the number of tasks from jobs in the *Gratis* priority class is almost as large as those of *Normal Production* priority (21% versus 27%, respectively).
4. Workload characterization
In this section, we analyze more precisely the static behavior of the workload of dominant jobs. We first describe the distribution of total resource usage for jobs in this set, and find that it can be summarized by a log-normal or a mixture of two log-normal distributions. Then, we analyze the relationships between memory and CPU usage of individual tasks inside a job. Indeed, in the most general setting, resource allocation is amenable to a multi-dimensional bin packing problem (where the dimensions correspond to CPU, memory, disk,...), that are known to be NP-Complete and hard to approximate (see for instance [16] for the offline case and and [17] for the online case). On the other hand, being able to find simple models relating CPU and memory usage can dramatically reduce the complexity of packing algorithms.
4.1. Job resource usage
For this analysis, we have computed the average CPU and memory usage of all jobs in the dominant set, and we have analyzed the behavior of the logarithm
| Classes | $\mu$ | $\sigma$ | $\lambda_1$ | $\mu_1$ | $\sigma_1$ | $\lambda_2$ | $\mu_2$ | $\sigma_2$ |
|---------|--------|----------|-------------|---------|------------|-------------|---------|-----------|
| CPU | | | | | | | | |
| Production | 1.24 | 1.33 | | | | | | |
| Gratis | 1.62 | 1.43 | 0.68 | 1.79 | 1.68 | 0.32 | 1.23 | 0.41 |
| Other | 1.84 | 1.10 | 0.11 | 1.02 | 0.30 | 0.89 | 1.94 | 1.12 |
| Memory | | | | | | | | |
| Production | 0.98 | 1.60 | 0.60 | -0.04 | 1.08 | 0.40 | 2.54 | 0.81 |
| Gratis | -0.32 | 1.97 | 0.69 | -1.36 | 1.28 | 0.31 | 1.98 | 1.08 |
| Other | 0.57 | 1.30 | 0.88 | 0.51 | 1.37 | 0.12 | 0.99 | 0.31 |
Table 2: Parameters of distributions used in Figure 2. For the mixture distributions, $\lambda_1$ and $\lambda_2$ are the weights associated to the two normal distributions with given $\mu$ and $\sigma$.
of these values. The result is shown on Figure 2, and shows that these distributions can be roughly approximated by a Gaussian distribution, what implies that the actual resource usage can be approximated by a log-normal distribution. However, for more precision, it is possible to model them using a mixture of two log-normal distributions. The parameters of the distributions used are given in Table 2. It is of interest to note that although Normal Production jobs account for most of the resource usage in total, individual jobs in the other priority classes (Gratis and Other) use more resource but, since their duration is shorter, fewer of them are alive at any given time.
4.2. CPU vs Memory Usage
In this section, we will concentrate on memory and CPU dimensions, for which data is available in the trace. Other dimensions (bandwidth, for example) are not provided. In fact, the trace provider strongly advises not to speculate about them.
Let us consider the case of a job corresponding to a web service typically handling requests. The memory footprint comes from two different origins. There is first a constant memory footprint that corresponds to the static size of the code being executed. Then, there is a memory footprint that is due to dynamic memory allocations and that is typically expected to be proportional to the number of requests being handled by the task, and therefore to its CPU usage.
In order to find out if there exists any correlation between memory and CPU, we sampled the resource usage of the set of dominant jobs at 20 random timestamps per day, which makes 600 samples along the trace. Note that some of these jobs might never run simultaneously, but we are interested here in the characteristics of each individual job. For each job, we have analyzed simultaneously the memory and CPU usage of each of their individual tasks at all timestamps when this job is alive.
Observations show that for some jobs, there exists groups with different memory-CPU utilization. So, before the analysis, patterns were clustered into
groups using a DBSCAN algorithm. DBSCAN uses as a metric distances between nearest points and, therefore, views clusters as areas of high density separated by areas of low density [18]. After this clustering, we performed simple linear regression on each discovered cluster. We used the $r$-squared value from the linear regression and the coefficient of variation (standard deviation of each job’s distance to the regression line divided by the mean value of all dots) to decide whether the linear regression was a good approximation for this cluster behavior, and we conservatively rejected as BadlyFitted all jobs in which at least one cluster was not approximated correctly. This selection rejected about half of the considered jobs. For the other half, patterns were classified into Flat or Slope by using a threshold on the range parameter, defined as the ratio between the value estimated by the linear regression for the median CPU usage and for 0 CPU usage.
In Figure 3, each plot corresponds to a job and each dot $(cpu, memory)$ shows the specific usage profile of each job’s task. Each color is associated to a specific cluster. Typical situations are depicted on each plot. The top left figure
corresponds to the case where the memory usage is independent of the CPU usage. According to the classification algorithm, this situation occurs in 67% of all the fitted cases. A comparable situation is depicted in top right figure. In this case, the job comprises two different clusters, and could be considered for resource allocation issues as two different jobs. According to the classification, this situation accounts for 6.5% of the fitted jobs. Therefore, in 72.5% of the cases, it is possible to assume that the memory footprint of a job’s task is independent of their CPU usage. The situation depicted in the bottom left figure corresponds to the case where the memory footprint is affine in the CPU usage, with a non-flat slope (corresponding to the previous case depicted by top figures). According to our classification, this occurs in 26.5% of the cases. There also exists a certain amount of jobs that does not follow any clear pattern, and which were classified as BadlyFitted. An example is depicted on the bottom right figure. In this case, it seems that the job consists in many sub-jobs, all tasks in each sub-job being assigned the exact same CPU but varying memory.
Nevertheless, we can observe that for an important fraction of jobs, and with a very conservative selection, it is possible to model memory usage as an affine function of the CPU usage (thus involving only 2 parameters per job) and that for most of these jobs, it is even possible to model the memory usage as a constant (1 parameter per job). As proven in [19], this assumption strongly simplifies resource allocation problems in Clouds.
4.3. Task distribution
Achieving an efficient resource allocation implies considering the amount of work to be distributed among the available machines and how it can be balanced. In the Google trace, each job first requests an amount of required resources, and then its workload is spread among a number of tasks. We asserted earlier in this paper that allocation strategies must focus on jobs and not on tasks. In fact, if the resource usage of all tasks for each job grows and shrinks uniformly, then the effort must be made on allocating the amount of resources required by each job onto the available machines. To confirm our assertion, we looked at the task distribution of dominant jobs and posed several interrelated questions: What is the variation rate of the number of tasks per job? Is it correlated to their resource usage? Is the resource usage balanced among tasks? How and how much do their usage patterns differ among jobs and over time?
To answer these questions, we first observed the number of tasks per job. For each job, we calculated the interdecile ratio of the number of tasks at all time windows to estimate the task dispersion over time. We found out that 50% of dominant jobs have an interdecile ratio of 1 (hence their number of tasks does not vary during the job execution) and 67% have an interdecile ratio equal or lower than 2. So, by and large, the number of tasks remains approximately constant while the CPU usage per task varies over time. Figure 4a illustrates this case with a paradigmatic example of a typical job. Figure 4b, however, portrays an example of a less frequent case in which both the number of tasks and the resource usage per task have a strong variation. In the example with a constant number of tasks, the average amount of CPU used by each task is
clearly different at every time window. In the second example, we found that both the number of tasks and the CPU by task vary with time. According to the information from the Google forum, the scheduler does not have such a granularity, so it is likely that the variation in the number of tasks and the load of each one is rather due to the job itself.
(a) Job with a constant number of tasks over time.
(b) Job with a variable number of tasks over time.
Figure 4: Normalized number of tasks and CPU usage per task for two example jobs.
A way to estimate the balance and variation in the CPU usage among tasks of a same job consists in looking at the usage distribution at each time window. A narrow distribution (quantified as a small interdecile ratio) will suggest a load well balanced among tasks. To estimate the stability of this load balance over time, we computed the cumulative density function (CDF) of the interdecile ratios at all time windows and looked at which percentage of those remained
small. For those jobs with a constant number of tasks, occurrences of high values in the CDF will suggest that the load becomes unevenly distributed at certain periods of the job’s life.
After getting the CDF of each job, we aggregated the variation rates of all dominant jobs by calculating the percentage of jobs for which 80% of their interdecile ratios were under a given threshold. We found out that **52%** (resp. **59%**) of jobs have 80% of their interdecile ratios below 2 for the *Normal Production* (resp. *Gratis*) priority group. The complete distribution of these 80% threshold interdecile ratios is shown on Figure 5. These results make reasonable to conclude that the cluster workload can be modeled as a set of jobs with a stable number of tasks which show a moderate variation in their load balance, and leverage the design of algorithmic models as those proposed in Section 8.
### 5. Dynamic features
#### 5.1. Dynamics of Dominant Jobs
In this section, we consider the dynamics of the dominant jobs identified earlier. The first question to consider is about the “stability” of this set of dominant jobs: how much does the set of dominant jobs change over time? To provide answers to this question, we have analyzed the distribution of their durations, which is shown on Table 3 for the three main priority classes. We can see that the *Gratis* and *Other* priority classes have similar behavior: most jobs in these classes last for a very short time (half of them last less than 25 minutes), but some last much longer (1% of *Gratis* jobs last more than 30 hours, 1% of *Other* jobs last more than 15 hours). However, the *Normal Production* jobs are much more stable: half of them run for more than 31.7 hours. In fact, about 15.6% of all *Normal Production* dominant jobs run for the whole trace.
Another interesting question arises when observing the variation of resource usage of jobs: we have noticed that the CPU usage of *Normal Production* jobs follows interesting periodic patterns. In the following subsection, we analyze how much correlation exists between the CPU usage of individual jobs.
| Stats | Gratis | Normal Production | Other |
|--------|--------|-------------------|-------|
| mean | 186 | 6.79d | 102 |
| std | 1653 | 10d | 938 |
| 25% | 10 | 170 | 15 |
| 50% | 25 | 31.7h | 25 |
| 75% | 65 | 6.98d | 55 |
| 90% | 185 | 29d | 120 |
| 95% | 365 | 29d | 255 |
| 99% | 30.1h | 29d | 15.5h |
Table 3: Distribution of job durations in the main priority classes. 29 days is the whole duration of the trace.
5.2. CPU usage variation
When considering allocation, it is important to categorize the correlation among jobs to be scheduled and/or that have already been scheduled. Indeed, if a resource provider knows that there is a high probability of having two jobs positively correlated in, say, CPU demand, it will take care to allocate them on different machines to avoid starvation of any of them in the event of a spike of demand. On the other hand, two negatively correlated jobs, allocated together, will allow for a better average utilization of the available resources. To perform this analysis, we have restricted to jobs in the Normal Production class, because jobs in the other priority classes do not last long enough, and thus analyzing correlations and usage patterns does not make sense. Furthermore, considering only one priority class avoids (at least partially) the correlation due to the fact that the platform has finite capacity. Indeed, this finite capacity implies that when the demand of one job increases, it uses more resources, and then another job may end up using less resources (or even getting evicted) even if its actual demand did not change.
Looking at individual resource usage of Normal Production jobs provided an interesting insight in their behavior: all jobs that are long enough present daily and sometimes weekly patterns. Since any signal is the sum of its Fourier components, it is possible to recreate the pattern of a group of jobs by just providing statistical values about the amplitude ratios between the main components, together with a small number of parameters such as frequency, amplitude and phase of the main components of each job, as well as a given amount of random noise.
We have analyzed the Normal Production, dominant jobs that run during the whole trace. The CPU demand of each job was decomposed into its Fourier series to quantify its main spectral components. After removing the harmonics, we quantified their amplitude, phase, frequency and background noise. Table 4 provides the averaged ratios between signal amplitudes and the constant part. We can see that the residual noise is about 6% of the average CPU demand for a large part of the jobs, and this can be used as a threshold: any pattern with an amplitude significantly larger can be identified as a relevant component. Our
first observation is that very few jobs exhibit hourly patterns, whereas more than half of the jobs exhibit very strong daily patterns, and two thirds of the jobs have significant daily patterns. Weekly patterns are not as strong, but they are still significant for about half of the jobs. The long-term part of the signal represents variations on a larger time-scale, and we can see that this variation is also significant for many jobs, but it cannot be analyzed any further because the duration of the trace is only one month.
Another interesting question is how much these patterns are synchronized: if all jobs reach their peak demand at the same time, the stress on the platform and on the resource allocation algorithm is much higher. On the other hand, if the peaks are spread on a large enough timeframe, this provides some slack to the allocation algorithm to provide efficient allocations by co-allocating jobs whose peaks happen at different times. From our observations, jobs which exhibit a weekly pattern have all the same (synchronized) behavior: 5 days of high usage, followed by 2 days of lower usage. About daily patterns, we have analyzed the repartition of the phase for those jobs which exhibit a daily pattern (with an amplitude of at least 10% of the mean).
It appears that for half of the jobs, the phase difference is below 60 degrees, which means that their peaks are within 4 hours of each other. Furthermore, 90% of the jobs exhibit a phase difference below 120 degrees, which means that the peaks are at most 8 hours apart. This shows that the behavior of jobs are clearly correlated by this daily pattern, however there are indeed opportunities for good allocation strategies to make use of this 8 hour difference between the peak times of some jobs.
6. Machine failure characterization
The Google trace also includes information about machine events, in particular about times when some machines are removed from the system. According to the trace description, these “removed” events can be either machine crashes, or planned maintenance. An usual assumption for modeling fault-tolerance issues is that machines fail independently: the failure of one machine does not change the failure probability of other machines. Another assumption is that the failure probability of machines does not change with time. When both assumptions
hold, the number of failures in a given time period is a random variable which follows a Poisson distribution $P(\lambda)$, where $\lambda$ is the average number of failures.
In order to test these assumptions, we have counted the number of removals in all 8351 5-minutes time windows of the trace. The result gives an average number of removals of 1.07. Since the trace contains information about 12,000 machines, this would represent an (individual) machine failure probability of $0.8 \times 10^{-4}$ in each time window. However, by looking closer into the data, we have identified three outstanding events, where the removal pattern is very different from the rest of the trace: two events where a large number of machines are removed at 30 seconds interval, and are all reinserted within a few seconds, and another event where a subset of the machines are removed and reinserted many times in a row, until all of them are eventually reinserted within a few minutes.
| # events | 0 | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 |
|----------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| # TW | 3674| 2679| 1276| 410 | 150 | 66 | 32 | 14 | 9 | 4 | 5 | 5 |
| # events | 13 | 14 | 15 | 16 | 17 | 18 | 19 | 20 | 23 | 25 | 30 |
|----------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| # TW | 2 | 3 | 7 | 1 | 2 | 3 | 4 | 1 | 1 | 3 | 1 |
By removing these three outstanding events, we obtain the table above, which shows how many 5-minutes time windows feature a given number of machine removals. The average number of removals is now 1.005. This table shows that in most time windows, the number of removals is rather small, but we can identify 38 time windows with at least 10 removals. Such occurrences are very unlikely under the Poisson distribution: the expected number of such time windows is less than $2.10^{-3}$, which clearly indicates that some correlation exists. Of course, planned maintenance events are expected to be correlated, so the existence of such events could easily justify these occurrences, while keeping the independence assumption for "natural" failures.
For the next step, let us ignore the time windows that we expect to correspond to maintenance sessions, by assuming that all time windows with at least 10 removals are maintenance events. There are 8314 remaining time windows, for which the average number of events is 0.94. Figure 6 shows the actual number of time windows for each number of events, together with the expected value (under a Poisson distribution). This figure shows that time windows with more than 5 failures are still much more present in the trace than what would be expected from a Poisson distribution. This hints at the presence of some correlation on machine failure events, which should be taken into account in a complete model for machine failures. However, a more in-depth analysis would require to be able to differentiate between maintenance and actual failure events and as a first approximation, independent failures with a failure rate of $0.8 \times 10^{-4}$ in each 5 minutes period can be considered as a reasonable model (this corresponds to a mean time between failures of about 1000 hours).
Another interesting feature about failures in this trace is that most removal periods are very short: in 60% of the cases, a removed machine is back in the system less than 17 minutes later. The complete CDF of removal durations is shown on Figure 7.
7. Modeling the workload
The work presented in previous sections quantifies the type of workload existing in actual datacenters such as Google’s. From this analysis, we provide a set of parameters that allows for creating a reasonable, yet simple, model which can be used as an input of a system (for example, an algorithm) in the context of resource allocation.
There are several decisions that need to be taken during the model generation process. Among them, the number of degrees of freedom allowed. Simply put,
which parameters should we use in our model, how many of them, and how much can they vary? Too few parameters will result in a simplistic model that may not reliably reflect the features of the modeled workload. Too many parameters can overfit the model, so it will be more complex without this ensuring at all that it will provide better results. In fact, there is no such thing as a good or bad model, since it depends on the system to which it will be applied. For example, a system whose output is a function of the input memory usage will probably not care about job priorities or CPU usage. However, it might take into account, to a larger or lesser extent, the memory usage distribution and memory periodic patterns.
We believe that for such large datacenters with many tasks, the focus of the allocation system or algorithm should be on jobs themselves, which require large quantity of resources and need to be allocated on many machines, rather than on individual tasks. In fact, in many cases (i.e., for many jobs) it might be possible for the allocation algorithm to decide on how the load of a job is balanced between its tasks. Even though this property cannot be inferred from the trace, it is hinted by the fact that for most jobs, there is a large variability of the CPU usage of its individual tasks. This assumption has been made for example in [19]. Another possibility is to consider a two-stage algorithmic process, in which the job allocation is computed globally, and then simple greedy allocation procedures are used to allocate individual tasks. In both cases, it is reasonable to consider that the memory usage of individual tasks is the same for all the tasks of a job. For more genericity, a linear dependency between CPU and memory usage for all tasks of each job may also be assumed.
In both cases, jobs should be described with their aggregate amount of CPU and memory usage. Our analysis of the dynamics of the trace has shown that it is crucial to model the variation of this resource usage, but that most of the correlation can be captured by considering daily variation patterns, or with more precision by considering both daily and weekly patterns. If required, the rest of the dynamics of job resource usage can be modeled as random noise, without dependencies between jobs.
Finally, machines can be assumed to have independent failures and have a failure rate of about $10^{-5}$ per hour.
8. Algorithmic studies
In this section, we present examples of algorithmic models derived from this trace analysis. These models are an attempt to identify meaningful allocation problems for which good algorithms or heuristics would increase the behavior and performance of Cloud systems.
8.1. Robust allocation
As a first model, we have studied a robust allocation problem [20], in which the objective is to allocate the jobs to machines so as to guarantee that each job achieves a prescribed reliability threshold. The assumptions and notations are the following:
• Each job is described by its computational and memory requirement, $d_i$ and $m_i$, and an acceptable probability of failure $r_i$;
• Machines have homogeneous computational and memory capacities, $C$ and $M$;
• We look for a static allocation, valid for a given period of time during which the allocation does not change;
• In an allocation, jobs can be divided in tasks and allocated to several machines. Each task can be allocated a different computational power, and we denote by $a_{i,j}$ the computing power allocated to job $i$ on machine $j$, but all tasks require the total memory requirement of the job (in Section 4.2, we show that for most jobs, memory usage does not depend on the task CPU usage);
• During this period, some machines may fail with probability $p$, and we define $X_j$ the random variable which is equal to 1 if machine $j$ is alive at the end of the time period, and 0 otherwise. The allocation may thus provide more computational power to each job than required, so that the remaining computation power after failures occur $R_i = \sum_{j=1}^{m} X_j \times a_{i,j}$ is above the demand $d_i$ with high probability.
The optimization problem is thus formalized as follows:
\[
\begin{align*}
\text{Minimize } m & \text{ such that } \\
& \forall i, \mathbb{P}_{\text{r.s}}(R_i < d_i) < r_i \quad (1) \\
& \forall j, \sum_{i=1}^{n} m_i \mathbb{I}_{a_{i,j}>0} \leq M \quad (2) \\
& \forall j, \sum_{i=1}^{n} a_{i,j} \leq C \quad (3)
\end{align*}
\]
Thanks to this formulation based on jobs rather than tasks, we have been able to propose an efficient allocation algorithm [20], by using relaxation, reformulation and column generation techniques [21]. Using data from the dominant jobs in the Google trace, simulations have shown that this algorithm can provide in reasonable time very compact allocations.
8.2. Packing periodic jobs
As described in Section 5, another interesting feature of the jobs in this Google trace is the periodicity of resource demands. From a resource allocation perspective, it could be interesting to make use of this feature, by attempting to allocate on the same machine jobs which complement each other by having their peak demand at different times. Indeed, in standard allocation procedures, either jobs are provisioned their maximum resource demand to ensure that there is no overprovisioning, or dynamic strategies are used to migrate some of the tasks when overloading occurs. On the contrary, using the periodic feature of
jobs would allow to optimize resource usage with a limited use of migration. In this section, we propose one formulation for this problem, with the following notations and assumptions:
- Each job has a constant memory requirement $m_i$ and is divided in a specified number of tasks $n_i$ (in Section 4.3, we show that for most jobs, the number of tasks is constant over time);
- The workload of each task of job $i$ is modeled as the sum of a constant part and a periodic part: $w_i(t) = c_i + a_i \sin(\phi_i + \omega t)$, where $\omega$ is chosen to have a periodicity over one day (in Section 5, we show that for most jobs, the daily variation pattern explains a large part of the variability, and in Section 4.3, we show that for many jobs, the total workload is evenly balanced between all tasks);
- Machines have homogeneous computational and memory capacities, $C$ and $M$;
- Several tasks can be allocated to a machine if the total workload remains below the machine capacity at all time.
For a given set of tasks $T$, the total workload can be computed as $w_T(t) = \sum_{i \in T} c_i + \sum_{i \in T} a_i \sin(\phi_i + \omega t)$. Standard trigonometric computation shows that $w_T(t) = \sum_{i \in T} c_i + a_T \sin(\phi_T + \omega t)$, where $a_T$ and $\phi_T$ are such that (with complex number notations) $a_T e^{i\phi_T} = \sum_{i \in T} a_i e^{i\phi_i}$. We can thus view the numbers $(a_i, \phi_i)$ as vectors $\overrightarrow{v_i}$ expressed with polar coordinates, and use them to express the resource constraint. Indeed, $w_T(t) \leq C$ for all $t$ if and only if $\sum_{i \in T} c_i + a_T \leq C$, and $a_T$ is simply the norm of the sum of the vectors $\overrightarrow{v_i}$, $a_T = \|\sum_{i \in T} \overrightarrow{v_i}\|$.
The corresponding optimization problem can thus be formalized as follows, where the variable $x_{i,j}$ denotes the number of tasks from job $i$ allocated to machine $j$:
$$
\begin{align*}
\text{Minimize } m & \text{ such that } \\
& \forall i, \sum_{j=1}^{m} x_{i,j} \geq n_i \\
& \forall j, \sum_{i=1}^{ns} m_i x_{i,j} \leq M \\
& \forall j, \sum_{i=1}^{ns} c_i x_{i,j} + \|\sum_{i=1}^{ns} x_{i,j} \overrightarrow{v_i}\| \leq C
\end{align*}
$$
(4)
(5)
(6)
This Second Order Cone Program [22] formulation can be solved with standard solvers like CPLEX, but real size instances are too large to obtain good solutions in a reasonable time. However, this mathematical formulation is a good step towards the design of efficient heuristics for this optimization problem.
9. Conclusions and future work
We have provided in this paper a detailed analysis of a Google Cluster usage trace. We fulfilled the objective of proving that, even if the general resource allocation problem is amenable to a very difficult multi-dimensional bin packing problem, a number of specific features of the trace makes it possible to model jobs with very few parameters, which allows for the design of efficient resource allocation algorithms for Clouds.
Most of the previous articles in the literature highlight the dynamics and heterogeneity of the trace. However, we have shown that there are a set of common features that allow for a simplification of the workload while maintaining the essential behavior needed for the design of trace-generating models. To this end, we focused on the so-called dominant jobs, which account for 90% of the CPU usage of the platform. This set of jobs is relatively smaller, which eases the design of sophisticated allocation techniques.
We carried out an exhaustive study on this set of dominant jobs. The considered features included the resource usage distribution (statically and dynamically), job priorities, variability in task number and resource consumption, periodicity and scale of the existing patterns, independence among resource dimensions (CPU and memory), and job lifetime and failure distributions.
It is noticeable that, in contrast to the conclusions drawn in [7] which point out a big difference between traces from Google and from Grids, we found out that the dominant jobs show a closer resemblance and might benefit from techniques and models used for Grid workloads. For example, despite the higher variability in the number of tasks per job and the higher submission frequency, the load balance variation of the dominant jobs is moderate in general (as opposed to the whole trace), which is closer to a Grid’s behavior. In addition, dominant jobs are longer than the average duration of Grid’s jobs, in contrast to the rest of jobs of the trace. Finally, whereas the CPU usage in the Google cluster is usually lower than the memory usage, in the case of the dominant jobs the CPU usage is slightly higher than the memory usage, closer to the usage of typical Grid jobs.
This work opens a number of interesting questions. On the trace analysis side, we have identified some parameters of interest, and it would be very valuable to propose a complete generating model of those parameters. The characterization of machine failures over time would also be very interesting, but such a detailed analysis would require to differentiate between failures and maintenance. On the algorithmic side, we plan to use the framework we have proposed in this paper to design and validate efficient resource allocation algorithms to cope with (and to benefit from) the dynamics of resource usage.
Acknowledgments
This material is based upon work supported by the French National Research Agency (ANR) under contract no. ANR-11-INFRA-13.
References
[1] C. Reiss, A. Tumanov, G. R. Ganger, R. H. Katz, M. A. Kozuch, Heterogeneity and dynamicity of clouds at scale: Google trace analysis, in: ACM Symposium on Cloud Computing (SoCC), San Jose, CA, USA, 2012.
[2] J. Wilkes, More Google cluster data, Google research blog, posted at http://googleresearch.blogspot.com/2011/11/more-google-cluster-data.html. (Nov. 2011).
[3] C. Reiss, J. Wilkes, J. L. Hellerstein, Google cluster-usage traces: format + schema, Technical report, Google Inc., Mountain View, CA, USA, revised 2012.03.20. Posted at URL http://code.google.com/p/googleclusterdata/wiki/TraceVersion2 (Nov. 2011).
[4] C. Reiss, A. Tumanov, G. R. Ganger, R. H. Katz, M. A. Kozuch, Towards understanding heterogeneous clouds at scale: Google trace analysis, Tech. rep., Carnegie Mellon University (Apr. 2012).
[5] Google cluster data discussion group, https://groups.google.com/forum/#!forum/googleclusterdata-discuss.
[6] S. Di, D. Kondo, F. Cappello, Characterizing cloud applications on a Google data center, in: 42nd International Conference on Parallel Processing (ICPP2013), Lyon, France, 2013.
[7] S. Di, D. Kondo, W. Cirne, Characterization and comparison of cloud versus Grid workloads, in: International Conference on Cluster Computing (IEEE CLUSTER), Beijing, China, 2012, pp. 230–238. doi:10.1109/CLUSTER.2012.35.
[8] Z. Liu, S. Cho, Characterizing machines and workloads on a Google cluster, in: 8th International Workshop on Scheduling and Resource Management for Parallel and Distributed Systems (SRMPDS), Pittsburgh, PA, USA, 2012.
[9] P. Garraghan, P. Townend, J. Xu, An analysis of the server characteristics and resource utilization in google cloud, in: Proceedings of the 2013 IEEE International Conference on Cloud Engineering, IC2E ’13, IEEE Computer Society, Washington, DC, USA, 2013, pp. 124–131. doi:10.1109/IC2E.2013.40.
[10] S. Di, Y. Robert, F. Vivien, D. Kondo, C.-L. Wang, F. Cappello, Optimization of cloud task processing with checkpoint-restart mechanism, in: 25th International Conference on High Performance Computing, Networking, Storage and Analysis (SC), Denver, CO, USA, 2013.
[11] S. Di, D. Kondo, W. Cirne, Host load prediction in a Google compute cloud with a Bayesian model, in: International Conference on High Performance Computing, Networking, Storage and Analysis (SC), IEEE Computer Society Press, Salt Lake City, UT, USA, 2012, pp. 21:1–21:11.
[12] M. Amoretti, A. Lafuente, S. Sebastio, A cooperative approach for distributed task execution in autonomic clouds, in: 21st Euromicro International Conference on Parallel, Distributed and Network-Based Processing (PDP), IEEE, Belfast, UK, 2013, pp. 274–281. doi:10.1109/PDP.2013.47.
[13] A. Ali-Eldin, M. Kihl, J. Tordsson, E. Elmroth, Efficient provisioning of bursty scientific workloads on the cloud using adaptive elasticity control, in: 3rd Workshop on Scientific Cloud Computing (ScienceCloud), ACM, Delft, The Nederlands, 2012, pp. 31–40. doi:10.1145/2287036.2287044.
[14] N. Bobroff, A. Kochut, K. Beaty, Dynamic placement of virtual machines for managing sla violations, in: Integrated Network Management, 2007. IM ’07. 10th IFIP/IEEE International Symposium on, 2007, pp. 119–128. doi:10.1109/IMM.2007.374776.
[15] D. Gmach, J. Rolia, L. Cherkasova, A. Kemper, Workload analysis and demand prediction of enterprise data center applications, in: Workload Characterization, 2007. IISWC 2007. IEEE 10th International Symposium on, 2007, pp. 171–180. doi:10.1109/IISWC.2007.4362193.
[16] M. R. Garey, D. S. Johnson, Computers and Intractability, a Guide to the Theory of NP-Completeness, W. H. Freeman and Company, 1979.
[17] D. Hochbaum, Approximation Algorithms for NP-hard Problems, PWS Publishing Company, 1997.
[18] M. Ester, H. peter Kriegel, J. S., X. Xu, A density-based algorithm for discovering clusters in large spatial databases with noise, AAAI Press, 1996, pp. 226–231.
[19] O. Beaumont, P. Duchon, P. Renaud-Goud, Approximation Algorithms for Energy Minimization in Cloud Service Allocation under Reliability Constraints, in: HIPC, HIgh Performance Computing, Bengalore, Inde, 2013. URL http://hal.inria.fr/hal-00788964
[20] O. Beaumont, L. Eyraud-Dubois, J.-A. Lorenzo, P. Renaud-Goud, Efficient and robust allocation algorithms in clouds under memory constraints, in: Proc. of the 21st IEEE Conference on High Performance Computing (HIPC), 2014.
[21] J. Desrosiers, M. E. Lübbecke, A primer in column generation, Springer, 2005.
[22] S. Boyd, L. Vandenberghe, Convex optimization, Cambridge university press, 2009.
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HTS POWER LEADS FOR THE BTEV INTERACTION REGION*
S.Feher # , R.Carcagno, D.Orris, T. Page, Y.Pischalnikov, R. Rabehl, C. Sylvester, M. Tartaglia, J.C. Tompkins, Fermi National Accelerator Laboratory Batavia, IL 60510, U.S.A.
Abstract
A new Interaction Region (IR) for the BTEV experiment was planned to be built at Fermilab. This IR would have required new superconducting quadrupole magnets and many additional power circuits for their operation. The new "low beta" quadrupole magnet design was based upon the Fermilab LHC quadrupole design, and would have operated at 9.56 kA in 4.5 K liquid helium. The use of conventional power leads for these circuits would have required substantially more helium for cooling than is available from the cryogenic plant, which is already operating close to its limit. To decrease the heat load and helium cooling demands, the use of HTS power leads was necessary. In developing specifications for HTS leads for the BTEV interaction region, several 6 kA HTS leads produced by American Superconductor Corporation (ASC) have been tested at over-current conditions. Final design requirements were to be based on these test results. This paper summarizes the test results and describes the design requirements for the 9.65 kA HTS power leads.
INTRODUCTION
The 10 kA current leads for the high gradient quadrupoles in the BTEV IR at Fermilab were to be made from high temperature superconductor (HTS) to avoid additional loading of the 4.5 K He system. In the present Tevatron configuration, four spool pieces have been modified to incorporate 6 kA HTS leads [1]-[3], and one of these has been installed and operated in the ring for several years.
___________________________________________
*Work supported by US department of Energy
# [email protected]
These HTS current leads made by American Superconductor Corporation consist of parallel tapes of BSCCO-2223 multifilamentary powder-in-tube conductor in a silver alloy matrix soldered to a conventional copper upper section. The vapor-cooled conventional copper section operates between room temperature and twophase nitrogen temperature, while the HTS section operates between this region and 4 K. One of these modified spool pieces is shown in Figure 1. The HTS lead assembly and the LN2 reservoir are clearly visible in the foreground and right side of the picture, respectively.
TEST RESULTS
Based on R&D tests performed during the 6 kA lead program, it appeared that it could be possible to operate the leads at higher currents by increasing the coolant flow.
Preliminary tests of an existing HTS spool at the Magnet Test Facility (MTF) verified this hypothesis: it ran in a stable mode at the nominal operating current of 9.56 A. More detailed tests of a second pair of HTS leads were carried out in a dewar facility which allowed greater control over cryogenic pressure, temperature, and flow. These tests were very successful [3]. Both the upper conventional copper section which is cooled with cold nitrogen vapor and the lower HTS section cooled with cold helium vapor exhibited stable operation up to a 10 kA current and up to 200 A/s current ramp rate.
To demonstrate that the lead is robust we performed a coolant loss test by closing the liquid nitrogen flow valve and waiting for the quench detection system to detect the abnormal situation and to ramp down the power supply. Both the HTS and copper section voltages rose, but the copper section was the first to pass the threshold set by the manufacturer. We did not observe any irregular behaviour of the leads during operation following the coolant-loss test.
The successful high current performance of the first two lead pairs tested demonstrated that a single pair of leads of the existing design will be sufficient for operation at 10kA. The proposed BTEV spool design was modified, reducing the leads required to one pair from the original two pair configuration. Testing of additional lead pairs was continued both to further confirm these results and to qualify the remaining leads in the spares pool.
A third pair of ASC HTS power leads was tested at MTF in February 2005. The test was to again confirm the stable operation at 10 kA. This goal was achieved by operating the leads for ~3 hours steadily (see Figure 2). In total, three pairs of leads have been tested in two different test configurations: one pair in a spool and two
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pair in a dewar. All of them exhibited excellent performance at the desired 9.5-10 kA current range.
Slow Scan Data vs. date
The ASC power leads were originally designed for Tevatron operations so the low temperature superconductor (LTS) part of the leads consists of Tevatron type cable which is not as wide as the bus planned for the BTEV magnets. Splicing the Tevatron cable to the new bus posed an additional challenge. At the lower section of the HTS power leads, between the copper block and the HTS tapes, a relatively low temperature solder (~140 C meting point) was used. To make the joint between the LTS part of the lead and the LTS bus for the magnets, we had to make sure that the solder temperature was kept low enough not to un-solder the adjacent HTS-LTS joint. A special test setup was prepared and the temperature was monitored during the soldering process using a standard PbSn solder. The temperature just above the solder joint was kept under 140 C for the entire soldering process. This new joint configuration was also tested in February. A satisfactory low splice resistance was achieved as evidenced by the measurement shown in Figure 3.
To avoid frosting of the upper end of the leads when excessive cooling is applied, a special thermal insulation scheme was applied onto the outer surface of the leads. First the entire top section of the lead was coated with Conothane CE 1155 Polyurethane Prepolymer (Cytec Industries Inc.). After this coat cured, a layer of Si-Coat 570 High Voltage Insulating Coating (CLS Silicones Inc) was applied to prevent development of water channels. Two-component polyurethane spray foam (Handi Foam; Fomo Product Inc.) followed the silicon coat mainly to thermally insulate the lead. The foam was also coated with silicon so any open channel was sealed from moisture.
This insulation scheme worked very well. During the test the cold side of the insulation was close to -60 C and no frost was observed (see Figure 4).
Figure 4: Thermal insulation scheme applied to the leads is shown. Although the vapor gas outlets are cold and consequently accumulation of frost can be observed the foam insulation remained dry.
The results of the tests of three different pairs of HTS leads are consistent. After these tests we were confident that the Tevatron lead design was sufficient for 10 kA use and that we could have proceeded with qualifying the remaining spares and procure the additional leads required for the BTEV project.
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1148
DESIGN REQUIREMENTS
Based on the test results described in the previous section we concluded that most of the requirements developed for the ASC 6 kA power leads were appropriate for the new design. Consequently the focus of the new requirements was to list the design changes relative to those 6 kA ASC power lead design which were incorporated into the Tevatron spools:
1. The voltage tap connector insulation scheme was improved*.
2. Spacing between the positive and negative leads was increased from 4 in to 5 in. This change made it easier to deal with the electrical separation of the leads and not to increase unnecessarily the stray magnetic field.
3. Improved electrical insulation between the housing of the spool and the support plate of the lead was introduced**.
4. Power flag connection to the 10 kA bus had to be redesigned to accommodate the 60% increase in power. This flag cooling/warming with water had to be redesigned as well but the power lead flag remained the same.
5. To prevent frosting due to increased cooling conditions at the top part of the lead assembly special insulation scheme was developed.
6. Soldering material and technique had to be modified to increase the solder joint strength.
The conceptual design of the new spool containing HTS power leads is shown in Figure 5. The power leads are positioned toward the inner radius of the tunnel to avoid interference with cryogenic pipes and external high current busses along the outer wall. A large opening was included at the bottom section of the satellite chimneys where the leads are placed to allow free flow of liquid helium. This satellite structure also made it possible to control the liquid level for the power leads independently from the main helium bath.
___________________________________________
* The connector for voltage tap signals was not properly prepared by ASC and consequently High Voltage stand off value of the lead was compromised. The base of the connector where the wires are exposed to helium must be embedded into epoxy.
** Surface of the G10 insulating plate between the housing of the spool and the support plate of the lead had a fine epoxy finish to be able to seal the lead with metal C-seals. With time this type of design solution tends to fail and leaks can occur. To obtain a more conservative and reliable solution thin layer of Stainless Steel was added on both sides of the plate. One side of the SS "washer" which is glued with stycast to the G10 plate should have a rough surface and the other side should have the desired fine finish which complies with the standard C-seal requirements.
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CONCLUSIONS
In total, three pairs of ASC made HTS power leads have been tested – one pair in a spool and two in a dewar – in two different test configurations; all of them exhibited excellent performance at the desired 9.5-10 kA current range.
The HTS power lead design requirements for the BTEV IR are almost identical with the 6 kA ASC design requirements with only few minor exceptions: improved connector and power lead electrical isolation from the spool box, improved thermal insulation of the top of the lead assembly, modified LTS to LTS soldering technique and increased spacing between the power leads.
REFERENCES
[1] G. Citver, "HTS Power Lead Test Results", PAC'99 New York, April 1999, pp. 1420.
[2] J. Brandt et al., "Operating Experience with HTS Leads at the Tevatron", Advances in Cryogenic Engineering,, American Institute of Physics, New York, 2002, pp.567-574.
[3] S. Feher et al., "Tevatron HTS Power Lead Test", FERMILAB-CONF-04-257-TD
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DIRECTORS: D Fourie / M Van Dyk
Master Services Agreement
Entered into by and between
X-DSL Networking Solutions (Pty) Ltd
("XDSL")
And
X-DSL Master Services Agreement – V3 2016
1
CUSTOMER
("Customer")
Contents
X-DSL Master Services Agreement – V3 2016
3
Schedules
Schedule 1: Fibre Service Level Agreement (SLA)
Schedule 2: Fibre Service Level Agreement Definitions
Schedule 3: Fibre Service Level Agreement Penalty Matrix
Schedule 4: Quotation - Schedule of Services
1. Definitions
1.1. "Agreement" means this document, as well as schedules attached to it including but without limitation the XDSL Terms and Conditions, Signed Quotation, Fibre Service Level Agreement (SLA) and Fibre Service Level Agreement Definitions, Fibre Service Level Agreement Penalty Matrix, and all other schedules which form part of the Agreement;
1.2. "XDSL" means X-DSL Networking Solutions (Pty) Ltd.
1.3. "Business Day" means Monday to Friday, excluding public holidays in the Republic of South Africa;
1.4. "Business Hours" means from 08h00 to 17h00 South African Time, on Business Days;
1.5. "Caged Area" means the physical space allocated for the sole use of the Customer as more fully described in a Signed Quotation, which is segregated by means of a physically separate cage structure with independent, secured access, within the main Colocation area;
1.6. "Critical Issue" means when the entire company is affected by the failure of the ISP services provided by XDSL;
1.7. Co-located Equipment" means the equipment installed at the Premises by the Customer subject to a Signed Quotation and includes without limitation servers, peripherals, routers, switches, software, databases, data cables, and uninterruptible power supplies;
1.8. "Colocation" means the provision of an empty cabinet for the installation of equipment by the Customer with necessary power in a secure, controlled environment;
1.9. "Commencement Date" means the date on which specific Services commence, being the Ready for Service Date/Commencement Date, as specified, or such other date as may be agreed between the Parties in writing;
1.10. "Contract Term" means the period for which particular ISP Services will endure, as specified in such Signed Quotation;
1.11. "CPI" means the latest available year on year increase in the Consumer Price Index (metropolitan areas, all items) as published by Statistics South Africa as at the effective date of increase;
1.12. "Customer Account" means a mechanism which allows the Customer access to the System;
1.13. "Customer Data" means data:
1.13.1. transmitted to the Customer via the System (or on the Customer System as the case may be),
1.13.2. stored by the Customer on the System (or on the Customer System as the case may be), or
1.13.3. transmitted by the Customer via the System, in the day-to-day utilisation of a Service;
1.14. "Customer System" means the Co-located Equipment operated together by the Customer as a system;
1.15. "Effective Date" means in respect of the Master Service Agreement, the date designated as such on the signature page, or failing such designation, the Signature Date;
1.16. "Fee" means the fees and charges to be paid by the Customer to XDSL in respect of a Service provided by XDSL in terms of a Signed Quotation;
1.17. "Firewall Software and Routerboard" means the Software and Hardware (as referred to in the Fibre SLA Definitions) to enable the Customer to access and use the Internet through the XDSL facilities subject to the terms of this Agreement. XDSL shall provide established XDSL technical procedures for the use of the Services in consultation with the Customer from time to time, and the Customer agrees to follow all reasonable XDSL instructions and procedures as provided to the Customer in writing. XDSL reserves the right to amend the technical procedures from time to time, which, provided such procedures are reasonable, shall become effective with reasonable prior notice thereof to the Customer;
1.18. "Good Industry Practice" means the exercise of that degree of skill, diligence, prudence and foresight which would reasonably be expected from a skilled and experienced service provider engaged in the provision of similar Services seeking in good faith to comply with its contractual obligations, complying with all applicable laws, codes of professional conduct, relevant codes of practice, relevant standards, building regulations, all conditions of planning and other consents;
1.19. "Intellectual Property" means any know-how (not in the public domain); invention (whether or not patented); design, trade mark, or copyright material (whether or not registered);
1.20. "Malicious Code" means anything that contains any back door, time bomb, Trojan horse, worm, drop dead device, computer virus or other computer software routine or code intended or
designed to:
1.20.1. permit access to or the use of a computer system by an unauthorised third party, or
1.20.2. disable, damage, erase, disrupt or impair the normal operation of a computer system;
1.21. "Master Services Agreement" means this document comprising clauses 1 to 26 and excludes reference to any Schedules hereto;
1.22. "Parties" means collectively XDSL and the Customer and the term "Party" refers to either one of them as the context may require;
1.23. "Personnel" " means any director, employee, agent, consultant, contractor or other representatives of a Party involved in the execution of their rights and obligations under this Agreement;
1.24. "Prime Rate" means the publicly quoted prime rate of interest (percent, per annum) from time to time charged by Investec Bank Limited, as certified by any manager of such bank, whose appointment and authority it shall not be necessary to prove, calculated daily and compounded monthly in arrears;
1.25. "Premises" means the building in respect of which XDSL makes Sites available and provides the Services;
1.26. "Service" means a service provided by XDSL to the Customer in terms of a Signed Quotation for Services.
1.27. "Fibre Service Level Agreement" means the document attached hereto as Schedule 1;
1.28. "Fibre Service Level Agreement Definitions" means the document attached hereto as Schedule 2;
1.29. "Fibre Service Level Agreement Penalty Matrix" means the document attached hereto as Schedule 3;
1.30. "Signed Quotation" means a goods, licence, services or work order agreed to and signed by both the Parties pursuant to this Master Services Agreement describing the specific Services to be provided by XDSL to the Customer, including all additional terms and conditions relating to such Service. The Signed Quotation for services are attached as Schedule 4;
1.31. "Signature Date" means the date of the lastdated signature of this Agreement by a Party;
1.32. "Site" means the area allocated to the Customer by XDSL for purposes as specified on the Signed
Quotation;
1.33. "System" means the equipment including without limitation servers, peripherals, routers, switches, software, databases, cables, generators, and uninterruptible power supplies which are operated together as a system by XDSL in providing a Service;
1.34. "Time and Materials" means XDSL's standard time and materials fees and charges applicable from time to time in respect of any service or installation that the Customer may request XDSL to perform on the Customer's behalf, which is not part of the standard service offering, including, without limitation, specialised cabling, equipment mounting, cabinet modifications and other similar services; and
1.35. "Website" means XDSL's website at www.xdsl.co.za.
2. Status and Precedence
2.1. Except where specifically provided to the contrary in a Signed Quotation for Services and then only to the extent so specified, each Signed Quotation shall be subject to this Master Services Agreement. Insofar as any term or condition in a Signed Quotation conflicts with the Master Services Agreement, the provisions of the Signed Quotation shall prevail to the extent only of that conflict.
2.2. Save where expressly provided to the contrary, the terms and conditions of one Signed Quotation shall not apply to any other Signed Quotation.
3. Duration and Termination of this Master Services Agreement
3.1. The Master Services Agreement shall commence on the Effective Date and shall continue thereafter indefinitely until terminated. Each Signed Quotation shall commence on the relevant Commencement Date.
3.2. Either Party may terminate this Master Services Agreement by giving 30 (thirty) days prior written notice to the other Party. The effect of terminating the Master Services Agreement will be to terminate the ability of either Party to enter into subsequent Signed Quotations for Services that incorporate the terms of the Master Services Agreement. Termination of the Master Services Agreement in terms of this clause will not by itself result in the termination of any Signed Quotation of Services previously entered into, or extensions of the same, that incorporate the terms of the Master Services Agreement. The terms of the Master Services
Agreement will continue in effect for purposes of such Signed Quotation of Services for the duration thereof.
3.3. Each Signed Quotation shall endure for the Contract Term in months stipulated therein. Hereafter it will automatically be renewed on a month to month basis until a written notice of termination is received from the contracting party on no less than 1 (one) months written notice to the other Party.
3.4. In the event that XDSL fails to:
3.4.1. Reasonably comply with the provisions of paragraph 16; and/or
3.4.2. Reasonably comply with the provisions and requirements as contained in Schedule 1, Schedule 2 and Schedule 3 of this Agreement, and where specifically:
18.104.22.168. in the event of a Critical Issue persisting for a period in excess of 15 (fifteen) percent of the time in a continuous 60 (sixty) day period, and
22.214.171.124. subject to this event being directly due to, or resulting from the direct actions of XDSL, or the failure of the XDSL network; then
3.4.3. XDSL agrees to the Customer's right to terminate a Signed Quotation with immediate effect from the date of notice of such event occurring as per 126.96.36.199 (as the case may be) on no less than 1 (one) months written notice to the other Party.
3.5.
3.5.1. For avoidance of doubt, any provision of this Agreement which contemplates performance or observance subsequent to any termination or expiration of this Agreement shall survive any termination or expiration of this Agreement and continue in full force and effect.
4. Appointment
The Customer hereby appoints XDSL to provide the Services and facilities as set out in Signed Quotations from time to time.
5. Fees and Payment
5.1. The Customer shall be liable for and shall pay the Fees in respect of Services supplied pursuant to this Agreement on the basis set out in the Signed Quotation.
5.2. Unless otherwise agreed upon in writing, in terms of a Signed Quotation:
5.2.1. all Fees shall be invoiced by XDSL monthly in advance and paid in full within 30 (Thirty) calendar days of the date of XDSL's invoice;
5.2.2. all fees invoiced by XDSL, shall be for a full calendar month, back dated to the 1 st of the month during which the Services commence and pro-rated if necessary.
5.2.3. the Fees referred to in this Agreement exclude all taxes (including, without limitation, value added tax and other taxes levied in any jurisdiction but excluding taxes based on the income of XDSL, duties, tariffs, rates, levies other governmental charges or expenses payable in respect of the Services), all of which shall be payable by the Customer in addition to the Fees stipulated in this Agreement.
5.3. Should the Customer dispute any amount reflected in any invoice in good faith, the Customer shall advise XDSL of such disputed amounts, together with the reasons for disputing same, in writing within 30 (thirty) days of any invoice, provided that:
5.3.1. if the Customer fails to notify XDSL of any such dispute within such 30 (thirty) day period, the Customer shall notwithstanding any dispute, nonetheless pay such amounts to XDSL;
5.3.2. the Customer shall pay all undisputed amounts in respect of such invoice; and the Customer shall not be entitled to withhold any such amount pending resolution of the dispute;
5.3.3. to the extent that the Customer wrongfully withholds any amounts due in terms of clauses 5.3.1 or 5.3.2, such wrongfully withheld amounts shall bear interest at the maximum rate permissible in law; and
5.3.4. any such dispute shall be referred for dispute resolution in accordance with clause 23.
5.4. If any payment due from Customer to XDSL, including any interest and any other charges payable thereon, is not received by XDSL by the due date of payment thereof and the Customer does not pay all such amounts within five (5) days of XDSL 's written notice calling upon the Customer to do so, then XDSL may (without limiting any other remedies it may have in terms of this Agreement or in law) in its sole discretion and upon written notice:
5.4.1. with immediate effect suspend (in whole or in part) the Services up until such time as all arrear amounts, including any interest thereon is paid in full; and/or
5.4.2. terminate:
188.8.131.52. the particular Signed Quotation of Services to which the breach relates; or alternatively
184.108.40.206. the entire Agreement (and all Signed Quotation of Services issued pursuant thereto);
on written notice to the Customer and in either of the above circumstances, XDSL shall be entitled, without limitation of its rights in law, to (a) recover from the Customer all damages XDSL may suffer by reason of such termination, all arrears in fees and other costs, charges, assessments, and reimbursements, or (b) declare to be due and payable immediately, the then present value (calculated with a discount factor of the Prime Rate) of the entire amount of monthly fees which would have become due and payable under all terminated Signed Quotations for the remaining terms of such Signed Quotation of Services (had this Agreement not been terminated). The Customer agrees to pay all such liquidated damages within 30 (thirty) days of the date of termination of this Agreement or the relevant Signed Quotation, as the case may be, XDSL and the Customer agreeing that XDSL's actual damages in such event are impossible to ascertain and that the amount set forth above is a reasonable estimate thereof; and/or
5.4.3. prevent and/or restrict the Customer's access to and/or removal of any Co-located Equipment from the Premises; and/or
5.4.4. exercise a lien over the Co-located Equipment and to use such equipment for its own benefit pending payment of any outstanding amounts.
5.5. Monthly recurring fees shall continue to accrue and be payable by the Customer, notwithstanding XDSL's exercise of available remedies set forth in clause 5.5. XDSL's right of retention in respect of Co-located Equipment shall continue until such time as the Customer has paid all amounts due to XDSL under this Agreement in full, provided that if the Customer has not paid all arrear amounts in full within 120 (one hundred and twenty) days of XDSL's notice in terms of clause 5.5, XDSL shall be entitled to sell and/or dispose of such Equipment in satisfaction of any amounts owed by the Customer to it, consistent with applicable law.
5.6. All outstanding amounts shall attract interest at the Prime Rate. Such interest shall be calculated from the due date of payment to the date of actual payment, both days inclusive, calculated daily and compounded monthly in arrears.
5.7. All amounts due and payable by the Customer
shall be paid to XDSL via EFT in South African Rand, or such other currency as may be specified in the relevant Signed Quotation for Services, without deduction or set-off for whatever reason. The Customer will not be entitled to withhold payment of any amounts payable to XDSL in terms of this Agreement to satisfy any claim of the Customer arising from this or any other Agreement.
5.8. Where XDSL is required to perform additional Services outside of the scope as envisaged by the Signed Quotation, the Customer shall reimburse all reasonable expenses as are properly incurred by XDSL and XDSL's Personnel in fulfilling these additional Services. Such expenses include, but are not limited to, travelling, subsistence, goods and services purchased on the Customer's behalf, communications, stationery, report and presentation material. All such expenses shall be subject to the prior written approval of the Customer.
5.9. If the Parties (acting in good faith) dispute the calculation or quantum of any payment (or part thereof) but do not dispute whether the payment (or part thereof) is due and payable, then such dispute shall be referred to an independent Accountant to be agreed between the Parties (or failing agreement, appointed by the South African Institute of Chartered Accountants ("Accountant") to determine the quantum of the outstanding payment. The Accountant shall act as an expert and not as an arbitrator and will be requested to give his decision as soon as practicable and, in any event, by no later than 10 (ten) Business Days after the dispute is referred to the Accountant. The Accountant's determination shall be final and binding on the Parties and the relevant Party shall pay all amounts determined by the Auditor to be payable within 7 (seven) days of determination by the Accountant.
5.10. Where XDSL employs the services of attorneys or other debt-recovery agencies in respect of any outstanding amounts owing by the Customer then the Customer undertakes to pay on demand all legal costs incurred on the scale as between attorney and own client and including related costs such as collection commission and tracing fees.
6. Security of the Premises(Colocation)
6.1. XDSL shall implement security measures commensurate with Good Industry Practice in respect of the System and the Premises.
6.2. If the Customer discovers a security violation, or reasonably considers that a security violation is
imminent, it shall immediately advise XDSL thereof in writing.
6.3. The Customer shall not do anything to encourage, and shall take all reasonable measures necessary to ensure that no unlawful access is gained to the Premises, the System, or the Customer System due to its default.
6.4. Subject to compliance by XDSL with its obligations in terms of clause 6.1, XDSL shall not be liable for any loss, harm or damage suffered by the Customer arising out of a breach of security in respect of the System or the Premises.
6.5. Risk in the Co-located Equipment shall at all time vest in the Customer, who shall be responsible for insuring same.
6.6. In the event of a security violation, or if XDSL, in its sole discretion, determines that a security violation is imminent, XDSL may take whatever steps it deems necessary to protect its System and/or the Premises, including without limitation:
6.6.1. changing Customers' access codes and passwords, and
6.6.2. temporarily preventing access to the Customer Account or Customer System as the case may be, and
6.6.3. preventing access to the System and/or Premises.
6.7. The Customer shall give reasonable cooperation to XDSL in any investigation which may be carried out by XDSL relating to a security violation.
6.8. If XDSL is providing a Co-location Service or a Cage Service, XDSL shall grant the Customer and its Personnel access to the Premises and Site for the purposes of installation, testing, commissioning, operation, repair, upgrade and maintenance of the Co-located Equipment at all times, provided that such access shall be subject to XDSL's access, security, health and safety policies from time to time, as published and amended on the Website from time to time. XDSL reserves the right to deny any person access who fails to, or who XDSL believes may fail to, adhere to such policies. Without limiting the foregoing XDSL reserves the right to search any person entering or leaving the Premises and the Customer shall notify its Personnel of such possibility.
6.9. XDSL may relocate the Customer within the Premises on no less than 7 (seven) days' notice to the Customer.
6.10. XDSL may on prior written notice to the
Customer inspect the Customer's installation and Co-located Equipment to ensure compliance with the building regulations and restrictions agreed between the Parties.
6.11. The Customer shall maintain the Site in a neat and tidy state and shall, upon termination of the Signed Quotation of Services in respect of any such area return the Site to its original state, fair wear and tear accepted.
7. Intellectual Property
7.1. Unless otherwise stipulated in a Signed Quotation:
7.1.1. nothing in this Agreement will be construed as effecting an assignment of Intellectual Property owned by either Party to the other, and
7.1.2. nothing in this Agreement will be construed as the grant of a licence of Intellectual Property owned by either Party to the other.
7.2. As part of the provision of the Services, the Customer may be provided with software owned by third parties subject to a licence from such third parties. The Customer agrees to comply with all licence terms imposed by such third parties in its use of such software, including any such licence terms appended to this Agreement or a Signed Quotation.
7.3. XDSL hereby grants to the Customer a nonexclusive license for the term to use Firewall Software and Routerboard in accordance with the further provisions of this Agreement. For the avoidance of doubt, all rights in and to such Software vest in XDSL.
8. Suspension of Service
8.1. XDSL reserves the right to suspend the provision of the Services to the Customer under the following circumstances:
8.1.1. where the Customer has not made payment of monies owing to XDSL by due date as set out in clause 5,
8.1.2. where such suspension is necessary to maintain security as set out in clause 6,
8.2. XDSL reserves the right to suspend Services as set out in clause 8.1, provided that XDSL shall use reasonable commercial endeavours to notify the Customer of any such suspension.
8.3. The period of suspension shall remain in force and effect until such time as the reason/s for the suspension has been remedied in terms of this Agreement.
9. Data & Content
9.1. While XDSL recognises the Customer's right to privacy of its data, the Customer agrees that XDSL may monitor the Customer's use of the System so as to ensure that the System is operating properly.
9.2. XDSL has no knowledge of or interest in the data transmitted to, stored on or accessed from the Co-located Equipment by the Customer, subject to the further terms of this Agreement. XDSL has moreover no duty to monitor any content made available or published through the System, subject to the provisions of clause 11.
9.3. The Customer agrees that no action shall lie against XDSL for any damages howsoever arising as a result of any act or omission relating to the transmission of data to and from the Colocated Equipment, its storage on the Co-located Equipment or its publication using the Colocated Equipment to third parties, and the Customer further indemnifies and holds XDSL harmless in respect of any action brought by a third party resulting from such acts or omissions.
10. Maintenance
10.1. XDSL may be required to suspend access to the System in order to carry out routine maintenance to the System, provided that XDSL shall endeavour to undertake same at times of low traffic volume.
10.2. XDSL shall use best endeavours to advise the Customer within a reasonable time of the time and expected duration of such suspension of Service due to maintenance.
10.3. Notwithstanding the above, XDSL may suspend access to the System without notice should maintenance be necessary in an emergency, whereas scheduled maintenance is subject to notification. XDSL may agree to a variation if requested but this is not to exceed 48 hours from the initial scheduled maintenance.
11. Statutory Compliance
11.1. The Customer further notes that XDSL is obliged to comply with certain statutory provisions including, but not limited to those set out in:
11.1.1. the Regulation of Interception of Communications and Provision of Communication-related Information Act (Act 70 of 2003), and
11.1.2. the Film and Publications Act (Act 65 of 1996), and
11.1.3.
The
Electronic
Communications and
Transactions Act (Act 25 of 2002).
11.2. XDSL's compliance with such statutory provisions may include steps which would otherwise constitute infringements of the Customer's privacy, such as the interception of the Customer's communications or the examination of Customer Data. The Customer agrees that no action shall lie against XDSL for any damages howsoever arising as a result of such steps, and the Customer further indemnifies and holds harmless XDSL in respect of any action brought by a third party resulting from such steps in relation to the Customer's System.
12. Indemnity and Limitation of Liability
12.1. Notwithstanding the form (whether in contract, delict, or otherwise) in which any legal action may be brought, XDSL's maximum liability for general and/or direct damages for any breach of this Agreement or any act or omission arising during the course and scope of fulfilling its obligations in terms of this Agreement, shall be limited to an aggregate amount of all the Fees paid by the Customer to XDSL in respect of the Services set out in the Signed Quotation relevant to the breach during the preceding 3 (three) month period. Such maximum amount shall be an aggregate amount for all claims arising out of the causes mentioned.
12.2. Under no circumstances shall XDSL entertain liability for general and/or direct damages for any breach of this Agreement if Fees payable by the Customer as set out in 5.3.1 are overdue.
12.3. Under no circumstances shall either Party be liable for any special, indirect, consequential or like damages which may arise pursuant to this Agreement (or any act or omission arising during the course and scope of fulfilling its obligations in terms of this Agreement), including, without limitation, any damages arising due to any loss of profits or loss of business.
13. Assignment & Subcontracting
13.1. The Customer shall not be entitled to cede, assign, delegate or otherwise transfer the benefit or burden of all or any part of this Agreement or any Signed Quotation for Services without the prior written consent of XDSL.
13.2. XDSL may sub-contract its obligations under this Agreement, provided that XDSL shall remain liable for performance of such subcontractor. XDSL shall not be required to disclose the terms or payment provisions of any sub-contract
entered into with respect to XDSL's obligations under this Agreement.
14. Relationship between the Parties
14.1. Nothing in this Agreement shall be construed as:
14.1.1. Constituting a temporary employment service as contemplated in section 198 of the Labour Relations Act, 1995.
14.1.2. creating a partnership between the Parties and neither Party shall have any authority to incur any liability on behalf of the other or to pledge the credit of the other Party.
14.2. The Parties shall at all times owe each other a duty of good faith.
14.3. The relationship between the Parties will not be an exclusive one and both Parties will be free to enter into agreements similar to this one with third parties.
15. No Solicitation
Neither Party shall during the currency of the Agreement or for a period of 12 (twelve) months following the termination thereof directly or indirectly solicit or offer employment to any Personnel of the other Party who was involved in the implementation or execution of this Agreement, and shall not employ or contract in any manner with any such Personnel of the other Party without the written consent of the other Party.
16. Warranties
16.1. XDSL warrants that:
16.1.1. it has the facilities, infrastructure, capacity and capability to provide the Services;
16.1.2. it will provide the Services:
220.127.116.11. with promptness and diligence and in a workmanlike manner and in accordance with Good Industry Practice;
18.104.22.168. in accordance with all applicable laws and regulations.
16.2. Save for the foregoing warranties, and any specific warranties that may be contained in the Signed Quotation for Services, the Services and Site are provided "as is" and "as available" and without any further warranty of any nature whatsoever, whether express or implied, including without limitation warranties of merchantability, fitness for purpose, title or noninfringement of intellectual property rights.
17. Publicity
XDSL invests in marketing its Customers' businesses and promoting interconnection between its customers. The Customer therefore agrees to XDSL issuing a news release about the Customer's use of XDSL services from time to time, subject to the Customer's prior written approval of the wording of any such release.
18. Confidential Information
18.1. Each Party expressly undertakes to retain in confidence all information (including, with respect to Customer, the identification of other customers of XDSL) and know-how, in whatever form transmitted, including, but not limited to, information concerning its past, present and future business affairs, business plans, operations or systems of such Party ("Disclosing Party") or another Party whose information the Disclosing Party has in its possession under obligations of confidentiality, disclosed in any way to it (the "Receiving Party") that the Disclosing Party has identified as being proprietary and/or confidential or that, by the nature of the circumstances surrounding the disclosure, ought in good faith to be treated as proprietary and/or confidential ("Confidential Information"). The Receiving Party shall treat the Confidential Information with the same degree of care, and will make no use of such Confidential Information during the existence of this Agreement except as otherwise specified herein.
18.2. The Receiving Party shall have no obligation to maintain the confidentiality of information that:
18.2.1. it received rightfully from another party without restrictions on disclosure prior to its receipt from the Disclosing Party;
18.2.2. the Disclosing Party has disclosed to an unaffiliated third party without any obligation to maintain such information in confidence;
18.2.3. is independently developed by the Receiving Party; or
18.2.4. is ordered to be disclosed by an order of court or other adjudicative body.
18.3. Except as otherwise provided, the Receiving Party shall not disclose, disseminate, distribute or use any of the Disclosing Party's Confidential Information to any third party without the Disclosing Party's prior written permission;
18.4. The Parties agree that a breach of the terms of this clause 18 would result in irreparable harm to the Disclosing Party for which a remedy in damages would be inadequate. The Parties
agree that in the event of such breach or threatened breach, the Disclosing Party shall be entitled to seek an interdict to prevent the breach or threatened breach, in addition to remedies otherwise available for such specific performance or injunctive relief, that the Disclosing Party has an adequate remedy at law.
19. Termination and Breach
19.1. XDSL shall tender return of the Co-located Equipment immediately upon termination of the Schedule of Services to which it pertains, subject to the provisions of clause 5.5.4.
19.2. Should either Party fail to comply with any of its obligations or commit a breach of this Agreement and fail to remedy such default or breach within 7 (seven) days after having received a written notice to do so, or be placed in provisional or final liquidation, or judicial management, or enter into any compromise or scheme of arrangement with its creditors, or fail to satisfy a judgment taken against it within 10 (ten) days, the other Party shall be entitled to terminate this Agreement on written notice to the defaulting Party.
19.3. The provisions of this clause will not affect the rights of the Parties to claim damages in respect of a breach of any of the provisions of this Agreement.
20. Termination Assistance
Upon termination of this Agreement or any Signed Quotation of Services, subject to due payment by the Customer of all undisputed amounts due and payable to XDSL, XDSL shall render such reasonable assistance to the Customer so as to enable the Customer to migrate any Services affected by such termination to a service provider of the Customer's choice.
21. Domicilium & Notices
21.1. The Parties choose their addresses where they will accept service of any notices/documents for all purposes arising from or pursuant to this Agreement, the addresses set out on the data sheet of this Master Services Agreement:
21.2. Any Party shall be entitled from time to time by written notice to the other, to vary its physical address to any other physical address within the Republic of South Africa which is not a post office box, or to vary its other domicilium contact details.
21.3. The Parties record that whilst they may
correspond via email during the term of this Agreement for operational reasons, no formal notice required in terms of this Agreement, nor any amendment or variation to this Agreement may be given or concluded via email.
21.4. Notwithstanding anything to the contrary contained or implied in this Agreement, a written notice or communication actually received by one of the Parties from another, including by way of fax, shall be adequate written notice or communication to such Party.
21.5. Notices/documents shall be deemed to be delivered:
21.5.1. if delivered by hand at the physical address, upon the date of delivery;
21.5.2. if delivered by registered post at the postal address, 7 (seven) days after posting thereof; and
21.5.3. if delivered by way of fax, on the date and time of the sending of such fax as evidenced by a fax confirmation report.
22. Applicable Law & Jurisdiction
This Agreement shall be governed by and construed in accordance with the laws of the Republic of South Africa and all disputes, actions and other matters relating thereto shall be determined in accordance with such law.
23. Dispute Resolution
23.1 In the event of there being any dispute or difference between the Parties arising out of this Agreement, the said dispute or difference shall on written demand by any Party be submitted to arbitration in Johannesburg in accordance with the AFSA rules.
23.2 Should AFSA, as an institution, not be operating at that time or not be accepting requests for arbitration for any reason, then the arbitration shall be conducted in accordance with the AFSA rules for commercial arbitration (as last applied by AFSA) before an arbitrator appointed by agreement between the parties to the dispute or failing agreement within 10 (ten) business days of the demand for arbitration, then any party to the dispute shall be entitled to forthwith call upon the chairperson of the Johannesburg Bar Council to nominate the arbitrator, provided that the person so nominated shall be an advocate of not less than 10 (ten) years standing as such. The person so nominated shall be the duly appointed arbitrator in respect of the dispute. In the event of the attorneys of the parties to the dispute failing to agree on
any matter relating to the administration of the arbitration, such matter shall be referred to and decided by the arbitrator whose decision shall be final and binding on the parties to the dispute.
23.3 Any party to the arbitration may appeal the decision of the arbitrator or arbitrators in terms of the AFSA rules for commercial arbitration.
23.4 Nothing herein contained shall be deemed to prevent or prohibit a party to the arbitration from applying to the appropriate court for urgent relief or for judgment in relation to a liquidated claim.
23.5 Any arbitration in terms of this clause 23 (including any appeal proceedings) shall be conducted in camera and the Parties shall treat as confidential details of the dispute submitted to arbitration, the conduct of the arbitration proceedings and the outcome of the arbitration.
23.6 The provisions of this clause 23 will continue to be binding on the Parties notwithstanding any termination or cancellation of the Agreement.
23.7 The Parties agree that the written demand by a party to the dispute in terms of clause 23.1 that the dispute or difference be submitted to arbitration, is to be deemed to be a legal process for the purpose of interrupting extinctive prescription in terms of the Prescription Act, 1969
24. Force Majeure
24.1. Neither Party shall be liable for any delay in performing or any failure to perform any obligations under this Agreement due to any cause beyond their reasonable control, including but without being limited to any of the following: strikes, lock outs or other industrial action, sabotage, terrorism, civil commotion, riot, invasion, war, threat of or preparation for war, fire, explosion, storm, flood, subsidence, epidemic or other natural physical disaster, impossibility of the use of railways, shipping aircraft, motor transport or other means of public or private transport; any act or policy of any state or government or other authority having jurisdiction over either Party, sanctions, boycott or embargo.
24.2. Upon the occurrence of any delay or failure referred to in clause 24.1, the provisions of this Agreement affected shall be suspended for as long as the cause in question continues to operate, provided that if that cause has not ceased to operate within 2 (two) months from when it first arose, this Agreement may be
terminated by either Party on written notice to the other Party.
25. Interpretation
In this Agreement:
25.1. clause headings are for convenience and are not to be used in its interpretation;
25.2. unless the context indicates a contrary intention an expression which denotes any gender includes the other genders, a natural person includes a juristic person and vice versa, and the singular includes the plural and vice versa;
25.3. references to clauses, schedules, parts, annexes and sections are, unless otherwise provided, references to clauses, schedules, parts, annexes and sections of this Agreement;
25.4. cross-references to clauses in a specific schedule, part, annexure or section shall be a cross-reference to clauses in such schedule, part, annexure or section unless specifically stated otherwise;
25.5. when any number of days is prescribed, the number of days shall be calculated on the basis that the first day is excluded and the last day is included, provided that if the last day is not a Business Day, the last day shall be the ensuing Business Day;
25.6. any reference to an enactment contained in the Agreement is to the enactment as at the Effective Date of this Agreement, as amended or re-enacted from time to time;
25.7. where figures are referred to in numerals and in words, if there is any conflict between the two, the words shall prevail;
25.8. terms other than those defined within the Agreement will be given their plain English meaning, and those terms, acronyms, and phrases known in the information and communication technology industry will be interpreted in accordance with their generally accepted meanings;
25.9. any reference to "days" shall be construed as being a reference to calendar days unless qualified by the word "Business"; and
26. General
26.1. This Agreement constitutes the entire Agreement between the Parties in respect of the subject matter hereof and neither Party shall be bound by any undertakings, representations, warranties or promises not recorded in this
Agreement.
26.2. No variation or consensual cancellation of this Agreement and no addition to this Agreement, including this clause shall be of any force or effect unless reduced to writing and signed by the Parties or their duly authorised representatives. No variation by way of email will be of any force or effect.
26.3. No waiver of any of the terms and conditions of this Agreement will be binding or effectual for any purpose unless expressed in writing and signed by the Party giving same, and any such waiver will be effective only in the specific instance and for the purpose given. No failure or delay on the part of either Party hereto in exercising any right, power or privilege hereunder will operate as a waiver thereof, nor will any single or partial exercise of any right, power or privilege preclude any other or further exercise thereof or the exercise of any other right, power or privilege.
26.4. Should any of the terms and conditions of this Agreement be held to be invalid, unlawful or unenforceable, such terms and conditions will be
severable from the remaining terms and conditions which will continue to be valid and enforceable. If any term or condition held to be invalid is capable of amendment to render it valid, the Parties agree to negotiate an amendment to remove the invalidity.
26.5. This Agreement will be governed by and construed in accordance with the law of the Republic of South Africa and all disputes, actions and other matters relating thereto will be determined in accordance with such law.
26.6. Subject to clause 23, the Parties hereby consent and submit to the jurisdiction of the South Gauteng High Court of South Africa, in any dispute arising from or in connection with this Agreement.
26.7. The signatories hereto acting in representative capacities warrant that they are authorised to act in such capacities.
26.8. Each Party shall bear and pay its own fees and costs of and incidental to the negotiation, drafting, preparation and execution of this Agreement.
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WIND AND HAIL UPDATE
South Carolina Wind And Hail Underwriting Association 240 Stoneridge Drive, #101 Columbia, SC 29210
May 1, 2017 17-04
STORM READY EXPO
Bluffton, SC -- June 10, 2017 Myrtle Beach, SC -- June 24, 2017
The South Carolina Department of Insurance will be hosting two Storm Ready Expos in June. The first will be in Bluffton at the Home Depot on June 10th from 10:00 am to 1:00 pm. The second will be in Myrtle Beach at the Home Depot on June 24th from 10:00 am to 1:00 pm.
A variety of booths with information on emergency preparedness and insurance will be available to assist coastal consumers. Some of the confirmed participating booths include SC Department of Insurance (Consumer Services), South Carolina Insurance Association, Emergency Management, Home Depot, and vendors with emergency services. A number of insurance companies will also be there.
In addition, there will be fun activities for the kids.
If your agency is interested in having a booth or if you have a client that would like to have a booth, please contact Ann Roberson ([email protected]). Booth registration at http://www.doi.sc.gov/DocumentCenter/View/9951. There is no charge for a booth.
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CITY OF SCOTTVILLE COMMISSION MEETING AGENDA
1391 st Regular Meeting, Monday, December 5, 2016, 5:30 PM
1. Call to Order at 5:30 PM
2. Pledge of Allegiance
3.
Roll Call of Commissioners
4. Approval of 1390 th Regular Meeting Minutes
5. Approval of the Bills
6. Hearing of Citizens
(Comments Limited to 3 Minutes)
7. Communications
1) Rural Fire Authority Minutes
8. Reports
a) City Manager
b) City Attorney
c) Police Department
d) City Treasurer
e) DDA Report
9. Additions & Deletions to the Agenda
10. Old Business
1) Resolution to Appoint Members to DDA Board
2) Resolution to Approve Budget Amendments
11. New Business
1) Resolution to Appoint Members to the Board of Review
2) PAVER Street Management Proposal
12. Hearing of Citizens (Comments Limited to 3 Minutes)
13. Commission Reports & Comments
14. Adjournment
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Effect of Cold Central Plant Recycled Stockpiling on Mixture Performance
A Thesis
Presented to
the faculty of the School of Engineering and Applied Science
University of Virginia
in partial fulfillment
of the requirements for the degree
Master of Science
by
Syed Kazmi
August 2018
APPROVAL SHEET
This Thesis
is submitted in partial fulfillment of the requirements
for the degree of
Master of Science
Author Signature: _______________________
This Thesis has been read and approved by the examining committee:
Advisor: Jose Gomez
Committee Member: Ben Bowers
Committee Member: Lindsay Burden
Committee Member: Steve Chase
Committee Member: _______________________
Committee Member: _______________________
Accepted for the School of Engineering and Applied Science:
Craig H. Benson, School of Engineering and Applied Science
August 2018
Acknowledgements
This work would not have been possible without the funding and research facilities of the Virginia Department of Transportation (VDOT) and its research branch, the Virginia Transportation Research Council (VTRC), both of which are greatly appreciated.
I would like to thank the following individuals for their contributions to the success of this research:
- Ben Bowers (thesis advisor), for seeing this project through with me from start to finish guiding me along every step of the way.
- Jose Gomez (thesis advisor), for helping me from undergraduate to my graduate studies with all the issues and concerns that came up
- Lindsay Burden (thesis chair), for advising me through the process of completing my thesis as well as serving on the committee
- Steve Chase for his participation in my committee along with the commentary provided
- Brian Diefenderfer for his expertise in the subject matter as well as the comic relief he provided through the entirety of the study.
- VTRC lab technicians, Troy Deeds, Donald Dodds, Jenny Samuels, John Burch, Zack Robb for teaching me lab methodology and assisting with the testing that made this study possible
- Nick Schwear and the folks at the Alan Myers Plant for providing the materials used as well as their knowledge to push the study forward
- My family and friends for all their support and motivation for the past few years to allow this study to be completed. They provided the proper encouragement as well as the much needed breaks throughout the development of the study
Paving roads in the traditional manner using hot mix asphalt is a very intensive process that requires a lot of energy and virgin material. Meanwhile, there are many piles of reclaimed asphalt pavement (RAP) available to use which reduces the need for virgin material. As of now, this usage is limited to about 30% by the Virginia Department of Transportation (VDOT), which is higher than most state DOTs allow. One of the methods that reuses a large quantity of RAP is cold central plant recycling (CCPR), a type of cold recycling. For this method, RAP is taken to a cold recycling asphalt plant, and after being graded and sorted is mixed with binder, water, and other aggregates to create a new mix for paving. Although this method has been around for a while, there is currently been interest by contractors to try and stockpile this mix, however, the effects of this on cold recycled asphalt are unknown. The purpose of this study was to understand the behavior of CCPR asphalt after it has been stockpiled with varying times between creating the mix and compacting specimens to the required density. For this study, the asphalt mix was processed at the plant and stored in plastic 5-gallon buckets that were lined with a large plastic bag to simulate a stockpile and keep moisture loss to a minimum. Specimens were created at varying time intervals and, after properly curing, were tested for characteristics such as indirect tensile strength and dynamic modulus. In addition to the strength characteristics of the CR mix, information about fabrication, such as moisture content and number of gyrations, was also recorded. This study found that even after 24 hours, the strength properties of the asphalt drop significantly and reach a plateau after 72 hours. If mix is stored properly, it is possible to maintain the moisture content over a long period of time however the number of gyrations required to create the specimens as well as its stiffness
increase the longer the mix is stored. When running the dynamic modulus test to determine the overall stiffness of the specimen, this study found that the material became stiffer as time went on for three days after which it remained constant. However, plugging in the values for the dynamic modulus into a mechanistic empirical program, PavementME, suggested that this loss of stiffness has little effect on pavement performance.
# TABLE OF CONTENTS
Acknowledgements ........................................................................................................... ii
Abstract .......................................................................................................................... iii
Table of Contents ........................................................................................................... v
List of Figures ................................................................................................................ vi
List of Tables .................................................................................................................. viii
Glossary .......................................................................................................................... ix
## Introduction .................................................................................................................. 11
Cold Recycling ............................................................................................................. 11
CCPR Stockpiling ......................................................................................................... 11
Curing ............................................................................................................................ 12
## Purpose and Scope ....................................................................................................... 13
## Literature Review ........................................................................................................ 14
Stockpiling .................................................................................................................... 14
Curing Methods ............................................................................................................ 16
Mix Designs .................................................................................................................. 18
PavementME ................................................................................................................ 19
Dynamic Modulus ........................................................................................................ 23
VDOT Specifications ................................................................................................... 24
## Methods ....................................................................................................................... 26
Mix Design .................................................................................................................... 26
Sample Collection ........................................................................................................ 27
Stockpile Simulation .................................................................................................... 28
Specimen Fabrication ................................................................................................... 29
ITS Test ........................................................................................................................ 34
Dynamic Modulus Test ................................................................................................ 36
Dynamic Modulus Master Curve Generation ............................................................ 39
PavementME ................................................................................................................ 40
## Analysis and Discussion .............................................................................................. 43
Moisture Content .......................................................................................................... 43
Compaction Effort ........................................................................................................ 43
ITS Results .................................................................................................................... 45
Dynamic Modulus Results ............................................................................................ 47
Mechanistic-Empirical Pavement Design ..................................................................... 50
## Summary ....................................................................................................................... 52
## Findings and Conclusions ............................................................................................ 54
## Future Work ................................................................................................................ 56
## Bibliography ................................................................................................................ 58
## Appendices ................................................................................................................... 62
Appendix A: Plant Mix Design ..................................................................................... 62
Appendix B: ITS Values (psi) ...................................................................................... 74
Appendix C: E* Values (psi) ....................................................................................... 74
LIST OF FIGURES
Figure 1: Gradation
Figure 2: Processed mix pile
Figure 3: Collecting mix into buckets
Figure 4: Preparing the mold for Marshall hammer
Figure 5: Setting mold into Marshall hammer
Figure 6: Preparing the mold for SGC
Figure 7: Superpave Gyratory Specimen 180mm
Figure 8: 150mm specimen for the dynamic modulus test
Figure 9: ITS testing
Figure 10: Breaking ITS specimen
Figure 11: Mounting studs
Figure 12: Set up for dynamic modulus test
Figure 13: Master curve fitting
Figure 14: PavementME cross-section
Figure 15: Dynamic modulus input for PavementME
Figure 16: Climate inputs for PavementME
Figure 17: Number of gyrations
Figure 18: ITS test results
Figure 19: Dynamic modulus results
Figure 20: Average ITS and $E^*$ at 21.1C and 10Hz
Figure 21: Pavement cross-section
Figure 22: Total Rut Depth (TRD)
Figure 23: International Roughness Index (IRI)
LIST OF TABLES
Table 1: Standard curing methods as summarized by Valenová
Table 2: Standards and specifications used
Table 3: Dynamic modulus temperature and equilibrium time
Table 4: Moisture content
Table 5: Mean results from ITS testing
Table 6: T-test results
Table 7: E* Values
AMPT: asphalt mixture performance tester used to determine dynamic modulus
Chemical stabilizing agents: materials such as cement, lime, and fly ash added to asphalt mix with the purpose of increasing the early strength of the reclaimed materials and enhancing foamed binder dispersion throughout the mixture
Cold central plant recycling: recycling asphalt at a central location using a stationary configuration without the addition of heat
Cold in-place recycling: recycling asphalt within the roadway without the addition of heat by cold milling the pavement surface and remixing with recycling agents followed by compacting the mix
Cold recycling: process of recycling asphalt pavement without the addition of heat
Dynamic modulus (E*): determines the relationship between stress and strain under elastic sinusoidal loading
Emulsified asphalt: mixture of asphalt binder, water, and emulsifying agent with the purpose of properly dispersing the asphalt binder within water to allow for pumping, storing and mixing
Foamed asphalt: mixture of air, water, and hot asphalt with the purpose of reducing viscosity and increasing the surface area of the binder to allow for proper dispersion within the mix
Indirect tensile test: a test to determine the tensile strength of an asphalt specimen by applying a force at a rate of 2in/min to a cylindrical specimen
International roughness index: Smoothness of a pavement determined by measuring roughness of a longitudinal profile of the surface
Reclaimed asphalt pavement (RAP): asphalt pavement or paving mixture removed from its original location to be used reused in future pavements
Total rut depth: longitudinal surface depression in the while path due to permanent deformation of the pavement surface
INTRODUCTION
Cold Recycling
Cold recycling (CR) is the method of recycling asphalt pavement without the application of heat using reclaimed asphalt pavement (RAP) combined with binder, water, and other additives (BARM 2015). This mixture can then be used as layers of a new pavement, typically very deep in the structure and not for surface paving. The two main methodologies of cold recycling are cold in place recycling (CIR) and cold central plant recycling (CCPR). CIR uses all the RAP created during the process and treats generally the top 3 to 4 inches of a pavement (BARM). Depending on the equipment, the surface can be removed with a cold planing drum or a full lane cold planing machine used for single-unit and multi-unit CIR trains respectively (BARM 2015). CCPR, the method which this study explores, collects the RAP from older pavements and takes it to a CCPR plant where it is processed and then immediately ready for use (BARM). These plants can use the RAP immediately or store it at the plant in stockpiles until needed after which it is processed and combined with the water, binder, and other additives such as cement or fibers to create a new mix. This mix can then be transported on site to create a new pavement. These cold recycling methods allow new pavement layers to be made by recycling pavements and using up to 82% less energy in the process making them very important in efforts to be more sustainable (Bloom 2016).
CCPR Stockpiling
Sometimes, the materials may be ready but the conditions just are not ideal to process the mix. This can be due to unexpected weather conditions or issues with the CR plant functioning properly. In these cases, it may be necessary to stockpile the processed materials, a
combination of RAP, binder, and chemical additives, and use them when the setting is more appropriate. It can also be necessary to stockpile mix when a project requires more mix than a plant is capable of producing at one time. In these instances, it would be useful to stockpile the completely processed mix, to ensure the job can be completed on time. Stockpiling certain component materials, such as RAP, is not an issue and is done in many instances. However, there are various opinions on the circumstances of stockpiling. For example, in the past, recycled asphalt pavement (RAP) has been collected and stockpiled for nearly two years before it was transported to the site where it was processed to create mix to be used (Diefenderfer 2014). But there is a preference suggested by the National Academies of Sciences, Engineering, and Medicine the states to use it within a year (NASEM 2016). There are suggestions on the proper methods to store RAP and the conditions in which it should be kept, including the shape of the pile, the type of land it is stored on, the type of covering, if any, is required (Zhou 2010, West 2010).
**Curing**
To understand how these types of pavements perform without having to run full scale field tests, it is important to be able to simulate field conditions within a laboratory setting. For this reason, laboratory curing is a crucial step when testing cold recycled asphalt mix for strength properties. Curing considers how long and under what conditions the CR asphalt specimens should be kept in order to gain strength in manners similar to how it would on site. By understanding how to cure CR asphalt properly, it is possible to simulate real world conditions within the laboratory setting. If the asphalt is not allowed enough time to cure, it will not perform up to its proper strength and will therefore be a poor representation of how this
material behaves in the field. Recommendations for curing times and methods for recycled pavements have been suggested since the early 1970s. The proposed method of curing the mix was to keep it at 60°C for 3 days. This method was chosen to stimulate the loss of mixing water while the mix is strengthened, as is what happens during construction (Bowering 1970, Muthen 1999). Since then there have also been suggestions for curing trying to simulate short term and long term conditions, curing it for 1 day at 40°C and just for 3 days at 46°C respectively (Jenkins and Van de Ven 1999). There are also studies suggesting letting the mixture cure in a mold for certain periods of time and then removing the specimen from the mold to cure further (Sebaaly et al. 2004). There are many studies and variations in technique for curing CR asphalt. Yet, with all these ideas, there is still no definitive method established for curing any type of CR mix.
Aside from curing, there are many other factors that determine the effectiveness of a CR mix design including, but not limited to, moisture content, compaction method, variety of materials, and volumetrics. With all these factors, it is very difficult to create one set of guidelines that could be applicable to multiple cases. Therefore, depending on the various factors mentioned, different steps are suggested to be taken to effectively process and store CR mix. These guidelines are still just suggestions meaning that there is more work to be done in the field of stockpiling CR asphalt mix and materials.
**PURPOSE AND SCOPE**
The purpose of this project is to determine the impact of stockpiling time on the mechanical properties of CCPR mixture. For this study, the stockpiling time was defined as the time period between production of the CCPR material and fabrication of the test specimen in the laboratory. The goal of the study is to quantify the changes that take place in the mix to
advise future contractors on the feasibility of stockpiling processed asphalt mix and, in stockpiling, the expected level of performance. The literature review was performed to find if there were any standards or guides on how to properly stockpile cold recycled asphalt mix. Upon finding none, the literature review was conducted on best practices for stockpiling RAP, curing methods, and various mix designs employed by different agencies. Based on the findings from the literature review, as well as the knowledge of the VTRC research scientists, a laboratory method was set up to simulate a stockpile. After determining the most effective method to stockpile the asphalt mix, various test standards were consulted to create specimens at different intervals of time.
LITERATURE REVIEW
Stockpiling
This study looks at how time affects strength and stiffness properties of asphalt mix while in a stockpile. However, within the asphalt industry, stockpiling material, especially RAP, is something that is done often. An asphalt plant may need to hold on to RAP collected from one project until another appropriate project is presented that requires its use. Within Virginia, only 30% of the RAP collected can be reused in new pavement, meaning that with each project to recycle a roadway, there is at least 70% of RAP that goes unused in the repaving of that road. This happens frequently enough that there are recommended guidelines for the proper methods with which the RAP should be stored. Some of the concerns that come up with improperly stored RAP include variability in properties such as the aggregate gradation, asphalt content, and the volumetric properties. This variability is caused by reasons including, but not
limited to, mixing sources of RAP, piles containing non-asphalt materials such as concrete or wood, and mixing the various layers of the pavement (Zhou 2010).
To avoid these causes and others, there are certain practices that have been recommended by various organizations. One important factor is to keep material from different sources in different stockpiles thereby reducing the chance of inconsistent gradation and keeping the pile more homogeneous (Karlsson 2017). Another method to ensure homogeneity within piles is fractionating which is to screen, crush, size, and separate the RAP into stockpiles based on size and composition to ensure uniform conditions (Zhou 2010).
Along with the proper sorting and crushing of the RAP that must take place, the conditions of its storage are important as well. It has been suggested that RAP intended for cold recycling be kept in dry weather and temperatures no colder than 10C (50F) (Kearney 1997). Dry conditions being important for RAP because often times it is the moisture content of RAP that may limit how much of it can be used. This was supported by Kim (2011) who found a relationship where a decrease in moisture content would lead to an increase in tensile strength. In areas that are not very dry, it is beneficial to store the rap on a paved, sloped surface to allow the rain water to drain away. A final measure can be taken to minimize moisture content by covering the RAP stockpile, ideally under the roof of an open-sided building to allow air to pass through but keep the pile safe from precipitation (Zhou 2010). The shape of the stockpile plays a role in the how well it functions as well. In the case that the stockpile cannot be covered, a conical shape is the most effective to protect the RAP from precipitation. However, the stockpile cannot be made too high and large vehicles should also not travel close to the top to avoid any compaction of the RAP (Stroup-Gardiner 2016).
Curing Methods
CR asphalt mixture must be allowed to cure properly after it has been placed in order to gain strength. This can happen typically on a construction site where the CR asphalt will be stronger even after a few hours, although for the mix to gain close to full strength can take days to weeks (Xu 2014). Within a laboratory setting, a lot of the factors can be controlled, such as the temperature, the humidity, the packaging of the sample, etc., to allow the CR mix to gain strength quickly. There is currently no specified method that is considered ideal for curing but many researchers have set up practices that fit best for their specific conditions to be simulated.
Depending on the type of curing, wet curing or dry curing, a suggested curing temperature of 20+/-2C at a relative humidity of 50+/-5% has been recommended where the former sample is sealed to keep prevent free water evaporation and the latter is left unsealed (Graziani, 2017). However, curing at 60C has been used by many researchers, at various times ranging from 6 hours to 30 days (Bowering 1970, Maccarrone et al. 1994, Lee et al. 2003, Van Wijk 1983, Murphy 2014, Sebaaly et al. 2004). One reason for this has been suggested to be that 3 days at 60C is the ideal condition to simulate the initial water loss that takes place for the CR asphalt to reach its strength during construction (Bowering 1970). To go even beyond the 3 day curing onto 30 days should do well to simulate the long term curing of the asphalt (Sebaaly et al. 2004). Long term curing is also suggested for foamed-asphalt pavements since they continue to gain significant strength and stability over long periods of time (Ruckel et al. 1983). Meanwhile, curing for 6 hours at 60C is suggested because it represents the typical value of the
pavements temperature on a hot summer day, where the temperature ranges from 26 to 30C (Lee et al. 2003, Brayton et al. 2001).
Curing conditions performed in a laboratory setting are often done to mimic the results found out in the field after CR asphalt has been placed. Depending on what part of the world the testing is being done, different conditions for curing will be used. When looking at the standard curing methods used in Great Britain and Ireland, there are conditions put in place to model the frequent rains that take place. The authors suggest sealing the specimen for 28 days at 40C in conditions of 90-100% humidity (Valenová 2015). Table 1 some of the standard methods of curing used in different parts of the world as presented by Valenová (2015).
Table 1: Standard curing methods as summarized by Valenová (Valenová 2015)
| Country | Curing Method |
|--------------------------|-------------------------------------------------------------------------------|
| Czech Republic | 90-100% humidity @ 20 +/-2C for 2 days then stored at 40-70% humidity at the same temperature until testing |
| Great Brit and Ireland | Sealed for 28 days at 40C at 90-100% humidity |
| France | Stored at 18C at 40-70% humidity for at least 7 days and then until testing |
| Australia | 40C for 3 days without impermeable covers, then at 20+2C until testing |
| South Africa | 40C for 3 days in impermeable cover, followed by 20+2C without cover until testing |
| Portugal | 1 day at 40-70% humidity at 20+2C, then transfer to temperature chamber at 50C and then stored at 20+2C until testing |
Mix Designs
An important factor that needs to be considered and contributes to the variability in performance of a CR mix is the mix design that is used to create it. The procedure is also dependent on the chemical additives and recycling agents being introduced into the mix, whether it is foamed asphalt or emulsified asphalt. To categorize some of the factors influencing the mix design, they can be broken up into a few categories: the compaction method, the type of bitumen, curing times, temperatures, and curing conditions.
The Wirtgen manual states that cold recycled mixes should be compacted using a Marshall compaction hammer with 75 blows for foamed bitumen. Then to simulate dry curing, the specimen should be kept at 40C until constant mass is achieved for a minimum of 72 hours. To simulate field curing conditions, the specimen should be kept at 30C for 20 hours, then placed in a sealed bag at 40C for 48 hours after which it should be cooled at 25C (Wirtgen 2012).
For testing on CR asphalt mix that has been treated with cement as a chemical additive, a mix design has been described as follows by Grilli (2012). Before compaction, the mix is kept sealed in a plastic bag for 12 hours. After this period, a shear gyratory compactor (SGC) applies 600 kPa (87 psi) of pressure at 30 rpm for 180 gyrations at an angle of 1.25 degrees. After extruding the specimen, they are stored at 20C and 70% humidity until it is time for testing (Grilli 2012). Although this guideline is not used in this study, it is important to note the various methods of specimen fabrication.
The Asphalt Academy has a suggested mix design for creating specimen depending on what type of recycling mechanism is being used, whether it be foam or emulsion. If the goal is to check the indirect tensile strength of a mix, either a vibratory compaction or Marshall hammer is used to create a specimen of 100mm. It is cured for 72 hours unsealed at 40C. For further testing, such as to determine the moisture content for emulsified asphalt, the asphalt academy suggests to use a vibratory compactor to create a specimen that is 150mm in diameter and 127mm in height. To cure, the specimen is left unsealed for 26 hours at 30C and then sealed for 48 hours at 40C. The third mix design is recommended for triaxial testing of foamed asphalt where the vibratory compactor is used to create a specimen 150mm in diameter and 300mm in height. To allow for proper curing, the specimen is left unsealed for 30 hours at 30C and then sealed for 48 hours at 40C (Asphalt Academy 2009).
**PavementME**
PavementME is a software developed based on mechanistic-empirical principles using data from climate, traffic, construction, and material properties to predict the performance of a roadway design (MEPDG 2008).
Prior to the mechanistic-empirical methodology, the pavement design process was purely an empirical method. Early in the 20th century, the main factor determining strength of a pavement was the thickness. For example, every section of highway could have the same thickness even if the soils encountered varied greatly. After the late 1920s, agencies started within the United States started using strength tests for soils when developing a pavement design. Even then, the designs were based more on experience and trial and error as opposed to the mechanistic methods that came after them (Huang 2004). Further attempts to predict
pavement performance relied on statistical analysis of data collected from road tests conducted in Illinois between 1955 and 1960. Using the results from this testing, pavement design began focusing on serviceability and reliability. As research into the design process continued, more mechanistic components had been added over the years leading to a design guide by AASTHO in 1993.
Following road tests, AASTHO developed the present serviceability index (PSI) which related traffic to pavement thickness. The design guide developed an equation for the number of equivalent single axle loads (ESALs) to predict the failure of the pavement. This equation required inputs for resilient modulus, reliability levels, and a structural number which was based on layer structural coefficients and layer drainage coefficients (Mallick et al. 2009).
As opposed to the previous methods used for pavement design, the mechanistic-empirical methodology relies on several inputs to more accurately predict performance. These inputs include the expected traffic loading, the climate for the region the pavement is designed for, and many properties for the asphalt layers used. The software has categories for the different types of layers including subgrades and flexible pavements. Within each pavement layer, there are default properties set in place based on the type of soil expected to be used. These default values are based on data that has been collected from extensive road tests conducted in the past, hence the empirical part. The values include volumetrics, such as unit weight, binder content, and air voids, as well as mechanical properties including dynamic modulus, types of binder, indirect tensile strength, and creep compliance.
For the inputs of values including dynamic modulus and creep compliance, which will be explained further in the manuscript, there are 3 different levels. Level 1 requires the greatest
knowledge about the material and uses parameters that have been measured directly. This level leads to the best performance predictions but also requires greater cost and time to collect the data. Level 2 inputs estimated from correlation or regression equations. These can be based on other site-specific data and represents regional measured values, but not project-specific values. Input level 3 is the default value based on global or regional averages, depending on how much data may be available for a specific region. This level of input requires the least knowledge about the parameter and uses median values from groups of data with similar characteristics. Depending on the time and cost limitations of a project, different levels of input may be used (MPEDG 2008).
The outputs from PavementME include total rut depth (TRD), international roughness index (IRI), and various types of cracking. TRD is the longitudinal surface depression in the wheel path due to permanent deformation (MEPDG 2008). IRI is defined as the standardized roughness measurement characterizing the longitudinal profile of a pavement surface. It explains a vehicle’s suspension motion when traveling for a certain duration denoted in inches and miles respectively. The standard range for a new pavement’s IRI is between 95 in/mi to 222 in/mi (Sayers et al. 1986). To calculate the TRD, PavementME uses the following equation for the permanent deformation for HMA mixtures:
\[
\Delta_p = \varepsilon_p h = \beta_{1r} k_2 \varepsilon_r 10^{k_{1r}} n^{k_{2r}} \beta_{2r} T^{k_{3r}} \beta_{3r}
\]
- \( \Delta_p \) = plastic vertical deformation
- \( \varepsilon_p \) = plastic strain
- \( \varepsilon_r \) = elastic strain at mid-depth
$h$ = thickness of layer
$n$ = number of axle-load repetitions
$T$ = mix or pavement temperature
$k_z$ = depth confinement factor
$k_{1r,2r,3r}$ = global field calibration factors
$\beta_{1r,\beta_{2r},\beta_{3r}}$ = local field calibration factors
For the permanent deformation in unbound pavement sublayers and the foundations or embankment soil, the following equation is used:
$$\Delta_p = \beta_{s1} k_{s1} \varepsilon_v h \left( \frac{\varepsilon_0}{\varepsilon_r} \right) e^{-\left(\frac{p}{n}\right)^{\beta}}$$
$\Delta_p$ = plastic vertical deformation
$\varepsilon_0$ = intercept determined from repeated load permanent deformation test
$\varepsilon_r$ = resilient strain imposed to obtain material properties
$\varepsilon_v$ = average vertical elastic strain calculated by structural response model
$h$ = thickness of layer
$n$ = number of axle-load applications
$k_{s1}$ = global calibration coefficient
$\varepsilon_{s1}$ = local calibration constant for rutting in unbound layers
To determine the IRI value over time, or the smoothness degradation, the following equations are used for flexible pavements and rigid pavements respectively.
$$IRI = IRI_0 + 0.0150(SF) + 0.400(FC_{total}) + 0.0080(TC) + 40.0(RD)$$
$$IRI = IRI_0 + 0.00825(SF) + 0.575(FC_{total}) + 0.0014(TC) + 40.8(RD)$$
Although the manual provides a methodology to guide pavement design, it is not calibrated for regional or local levels of design and therefore must be adapted to the proper area in which the guide is being used. Adjusting the calibration factors for the PavementME software in accordance with local conditions, along with using the measured values for the material properties, have shown to reduce bias and increase accuracy of the predicted results when compared with experimental data (El-Badawy 2012). With disregard to local calibration, the design guide is set up for the broader areas where data was available, however due to the variability in testing and materials, the design guide produces a better representation of conditions when adjusted properly. PavementME takes this into account with its outputs providing two sets of values, one where the reliability of the input data is set to a level of 95% and a second set where it is 50%. To determine how well the data fits or if further calibration is needed, the results need to be validated using an independent data set (Tran 2017).
**Dynamic Modulus**
The dynamic modulus test is used to determine the relationship between stress and strain under a sinusoidal loading (Schwartz et al. 2017). The dynamic modulus describes the stiffness of a material and is important for pavements because it can be an indication of field
performance. To properly determine this property, it is suggested to allow the specimen to properly harden by waiting at least 14 days from fabrication till testing (Zeinali et al. 2014). The dynamic modulus has been used to define design criteria for CIR pavements as well as to determine what levels of rehabilitation may be required (Islam 2018). The values acquired from this testing have been used with mechanistic-empirical software to determine pavement performance (Diefenderfer et al. 2015, Islam 2018). This study will also be using a mechanistic-empirical approach which is why the dynamic modulus testing is important, to provide the inputs so that the performance of different pavements can be compared. Factors affecting the dynamic modulus values include temperature and frequency of loading whereas the confining pressure is not shown to have significant effects (Yan 2014). For the purpose of this study the test is conducted by applying a compressive load but a tension-compression test is a better representation of loading conditions met in the field (Witczak 1974).
**VDOT Specification**
The tests run in this study will be done so based on the specifications used by VDOT. The specifications used for the specimen fabrication and for the tests conducted are summarized below in Table 2.
| Method | Specification |
|----------------------------------------------------------------------|-----------------------|
| Preparation of Asphalt Mixture Specimens Using Marshall Apparatus | ASTM D6926-16 |
| Preparation of Cylindrical Performance Test Specimens Using the Superpave Gyratory Compactor (SGC) | AASHTO R83-17 |
| Resistance of Compacted Asphalt Mixtures to Moisture-Induced Damage | AASHTO T283-14 |
| Standard Practice for Developing Dynamic Modulus Master Curves for Asphalt Mixtures Using the Asphalt Mixture Performance Tester (AMPT) | AASHTO R84-17 |
| Standard Test Method for Total Evaporable Moisture Content of Aggregate by Drying | ASTM C566-13 |
| Developing Dynamic Modulus Master Curves for Asphalt Mixtures | AASHTO R62-13 |
According the VDOT Special Provision for Cold Central Plant Recycling Material, the dry indirect tensile test must meet at a minimum of 45 psi. This is to be done using at least 3 specimen produced with 75 blows per side in accordance with ASTM D6926-16. After being produced, they must be oven dried for 72 hours at 40C and allowed to cool at ambient temperature for 24 hours. As a quality check, contractors must test the mix in a random manner to determine ITS and if less than 90% of the produced specimens fail to meet the required criteria, production must cease until the issues can be addressed.
VDOT Special Provision for Cold Central Plant Recycling Material Placement explains the required conditions to place CCPR material. The recycling operations should only be completed when the temperature is at a minimum of 10C (50F) and there should not be a forecast of freezing temperatures within 48 hours of placement of the CCPR mix. If the placement of CCPR mix will be done during night time and opened to traffic the next morning, then emulsions shall not be used.
**METHODS**
**Mix Design**
The CR mix design used for this study consisted of a blend of 85% RAP and 15% #10 aggregate. The CR mix had 2.5% foamed binder, PG 64-22, as well as 1% Portland cement by weight. The target wet density for the CR mix was 130.8 pcf and the target moisture content was 4.8%. The gradation for the aggregates is shown below in Figure 1. The mix design for this study was done by the contractor and is provided in Appendix A.
Sample Collection
On December 4th, 2017, a visit was made to the Allen Myers asphalt plant in Williamsburg VA to collect the CR mix that would be used throughout the experiment. While on site, all the components of the CR mix the aggregates, binder, water, and Portland cement, were processed through a CCPR plant and collected by a front loader which was used to create a small stockpile from which to sample. The top surface of the pile was scraped off to provide a flat plane for collection. This process is shown below in Figure 2.
Stockpile Simulation
The CR mix was shoveled into 5-gallon buckets that were lined with a large plastic bag used to ensure minimal moisture loss. Since a real stockpile was not available to compare the results of this study to, it was important to keep conditions as similar to a proper stockpile. While in contact with the contractor, it was learned that they would be covering and misting the stockpile to make sure the mix did not dry out. For this reason, it was critical to make sure the moisture content was affected as little as possible, hence, the emphasis on keeping moisture loss to a minimum. Once filled, the mix was topped with 2 damp rags, 8x8in wrung out. The bag tied shut with the lid closing the air tight bucket. A total of 13 buckets of mix were collected. These steps are displayed in Figure 3.
After determining that further testing would need to take place and would require more mix, a second trip was made to the asphalt plant on April 3rd to collect an additional 9 buckets of mix.
**Specimen Fabrication**
For the purpose of this study, there were 2 types of specimens that were created. For the indirect tensile test, specimens 4 inches in diameter and 2.5 inches in height (100mm diameter and 63.5mm height) were produced. These specimens were made in accordance with ASTM D6926-16 Standard Practice for Preparation of Asphalt Mixture Specimens Using Marshall Apparatus With a target density of 130pcf (20.4 kN/m$^3$), using the known volume of the specimen based on the dimensions stated earlier, it was calculated that 2.425lbs (1100g) of mix would be needed for a single specimen. To create these specimens, a compaction mold was filled and rodded 25 times: 15 times in the center and 10 times around the perimeter (Figures 4a and 4b).
After the mold was filled, it is placed into the Marshall hammer device as shown in Figure 5a below. The mold is locked into place using the O-shaped clamp and the hammer is placed in the appropriate position shown in Figure 5b and set up for 75 blows with a weight of 10lbs (4.536kg). Once started, the hammer drops from a height of 18 inches for 75 blows after which the mold is flipped and the process repeated to apply the same compaction force to both sides of the specimen. The final specimens should have a diameter of 4 inches and a height of 63.5 ± 2.5 mm to be within the specifications. After being extruded from the mold, the samples were allowed to cure unsealed at 40C for 72 hours followed by 21C to 24 hours after which the test was conducted in accordance with AASHTO T 283-14.
The second type of specimens fabricated was for the dynamic modulus testing. These specimens were made in accordance with AASHTO R83-17. With a target density of 130pcf (20.4 kN/m$^3$) established by the mix design, 15.07lbs (6853g) of mix was used to create specimens with the height of 7in (180mm) and diameter of 6 in (152.4mm). After weighing out the required amount of mix, about half of it was placed in the mold and prodded 25 times. The second half is added in as well and rodded again 25 times (Figure 6).
After the mix has been placed, the mold was set into the Superpave gyratory compactor set to compact until the desired height of 180mm was reached. After the specimen had been compacted adequately and the number of gyrations recorded, it was extruded out of the mold and allowed to cure for 3 days at 40C and for at least 2 weeks at approximately 21C following. A sample specimen that was cured is shown below in Figure 7.
After the 180mm specimens were cured, they were cored down to a diameter of 4in (100 mm) and each face was cut to leave a specimen with a height of 6in (150mm). These smaller specimens, shown in Figure 8, are then used to run the dynamic modulus test.
Figure 7: Superpave Gyratory Specimen 180mm
Figure 8: 150mm specimen for the dynamic modulus test
ITS Test
There were 6 specimens created for each stockpiling time increment including an initial value when the mix was first produced. The specimens were not compacting to the desired height after 7 days of simulated stockpiling. For this reason, the density was recalculated to be 127 pcf and the mass of mix being used was reduced from 2.425lbs to 2.293lbs (1100g to 1040g).
These specimens were tested as stated in AASHTO T 283-14 with the exception of the subset being conditioned in the soaking cycle. For the purposes of this study, all specimens were tested in dry conditions. Although there were 6 specimens tested for each time period, due to user error, only 5 results were found from the 7, 8, and 41-day testing. A test specimen, as well as the apparatus in which the test is conducted, are shown in Figures 9a and 9b respectively. It is important to note that the ITS specimens exceeded the required height by a few millimeters which is why the amount of mix used was reduced, to keep the specimens within specifications.
To conduct the test, the specimen was placed in the ITS apparatus which applies a compressive force at a rate of 2in/min. This force resulted in the specimen cracking in half while the tensile strength is recorded by the machine. Broken specimens are shown in Figure 10a along with a sample of the results in Figure 10b.
Dynamic Modulus Test
The dynamic modulus test was conducted in accordance with AASHTO R84-17. The dynamic modulus test applies a cyclical load to the specimen while measuring the strain at three locations around the middle of the cylindrical face. This applied stress only causes elastic deformation and is applied at 6 different frequencies, 25 Hz, 10 Hz, 5 Hz, 1 Hz, 0.5 Hz and 0.1 Hz over 3 different temperatures. This is a deviation from the AASHTO standard suggestions of four temperatures. The standard temperatures are typically conducted for testing HMA. When using CR mix, there was concern about the highest temperature causing permanent deformation. To avoid this, the highest temperature of 54.4C was not used. By collecting the data from the different temperatures and frequencies, the plot can be fit to a master-curve.
using time-temperature superposition. The results from this test quantify the stiffness of the material and can be used as an input to analysis software.
To prepare the specimen for the dynamic modulus test using the AMPT, mounting studs for strain gauges are attached using a mixture of super glue and baking powder at a 1 to 1 ratio. These mounting studs are small hexagonal prisms attached to the specimen that allow the strain gauges to measure the strain when the load is applied. These mounting studs are shown in Figure 11.
**Figure 11: Mounting studs**
Following the mounting studs, the test specimens are held in an environmental chamber to bring the internal temperature to the appropriate testing temperatures for the required times, which are described in Table 3.
Table 3: Dynamic Modulus Temperature and Equilibrium Time
| Temperature C | Equilibrium Time |
|---------------|------------------|
| 4.4 | Overnight |
| 21.1 | 4 hours |
| 37.8 | 2 hours |
Once the specimens reached the required temperature, they were placed in the asphalt mixture performance tester (AMPT) and the strain gauges were attached. After waiting for the temperature chamber to reach the proper temperature, the dynamic modulus test was started. This process was repeated with 3 specimens from each time interval while the specimens were. Examples of the set up for both cases are shown below in Figure 12.
Dynamic modulus master curve generation
The dynamic modulus master curve was developed in accordance with AASHTO R63-13. The data of the dynamic modulus values was averaged and fit to a master curve using time-temperature superposition. The equation used to perform this shift is
\[ \log|E^*| = \delta + \frac{\alpha}{1 + e^{\beta + \gamma \log f_r}} \]
where:
- \( |E^*| \) = dynamic modulus, psi
- \( \alpha, \beta, \delta, \) and \( \gamma \) = fitting parameters
- \( f_r \) = reduced frequency, Hz
An example of the shift factors is shown below displaying stress strain curves before and after curve fitting at a reference temperature of 70F (21.1C).
PavementME
The PavementME software uses mechanistic-empirical principles that have been validated with performance data from a variety of road tests that have been conducted. For this software, the cross-section of the pavement is modeled based on the different layers and their properties. Figure 14 shows a sample of the inputs required for this software below.
The PavementME software, using the dynamic modulus data collected from the CR specimens, models the performance of a pavement over a lifespan of 20 years. The default values have been used for all aspects of each layer except for the second layer which were measured values for CCPR. For that layer, the dynamic modulus data was used to determine how it affects performance. A sample of this input is shown in Figure 15.
Figure 14: PavementME cross-section
Figure 15: Dynamic modulus input for PavementME
Since the dynamic modulus is the only value being changed, the key assumptions being made are for the effective binder content, air voids, and properties for creep. For the CR asphalt layer, the effective binder content was assumed to be 11.6%, the air voids 7%, and the creep compliance was determined by the software based on the dynamic modulus values. These assumptions are the defaults for PavementME and are based on the global and regional median values that have been found with similar pavement layers. The final input required for the software is the climate. For the purpose of this study, the Charlottesville climate station has been selected since it is where the mix was being stored and the inputs from that data are shown in Figure 16.
Using this provided data, PavementME outputs the expected performance of the pavement. For this study, the influence of the change in dynamic modulus values on pavement performance is discussed.
Moisture Content
As the mix was stored in the buckets to simulate a stockpile, one of the major concerns was the retention of moisture within the mix. As the testing continued and each new bucket was used, the moisture content of a sample of mix was determined using ASTM C566-13. The results of the moisture content are shown in Table 4 along with the percent difference from the initial value.
Table 4: Moisture content
| Days | Moisture % | % Difference from initial |
|------|------------|--------------------------|
| Initial | 6.00 | 0 |
| 1 | 5.98 | 0.33 |
| 2 | 6.28 | -4.66 |
| 3 | 6.03 | -0.50 |
| 6 | 6.03 | -0.50 |
The target moisture content that was determined from the mix design was 6.00%, and was achieved at the plant as seen from the initial day value. The average moisture content while the mix was stockpiled was 6.08% with a standard deviation of 0.14. The average percent difference from the target moisture content was 1.33% where the largest value of 6.28 was 4.60%. The other values differed no more than 0.50% suggesting minimal variability in the moisture content. Due to this lack of variability, the methodology used to stockpile the CR mix was an effective means to minimize moisture loss.
Compaction Effort
The other issue with stockpiling the mix that may arise is that of compactability. While using the specimen gyratory compactor to create the 180mm specimen, after each day there
was an increase in the number of gyrations required to create the specimen. Figure 17 below shows the average number of gyrations required to create a specimen with respect to the number of days it had been stored.
**Figure 17: Number of gyrations**
The number of gyrations required to compact the material increases linearly for 6 days. This increase in compactive effort suggests the mix is less workable if it is stockpiled for an extended period of time. If the number of passes increases in a similar manner to the number of gyrations, stockpiling even for a couple of days can double the amount of time required to compact the pavement. This can especially be an issue because if the pavement is not compacted quickly enough, a crust can form on the mixture making compaction even more difficult (BARM 2015).
ITS Results
As stated before, there were 6 specimens tested for the first three sets and 5 tested for the last three and the mean results, as well as the standard deviation for the testing are shown below in table 5 while the raw data is available in Appendix B.
Table 5: Mean results from ITS testing
| Days | Mean ITS result (psi) | St. Dev. |
|------|-----------------------|----------|
| Initial | 73.48 | 123.99 |
| 1 | 46.98 | 38.85 |
| 3 | 30.50 | 38.82 |
| 7 | 29.48 | 12.68 |
| 8 | 28.79 | 35.37 |
| 41 | 29.92 | 23.02 |
The results from this testing could be described using an exponential relationship with a coefficient of determination ($R^2$) term of 0.79 as shown in the Figure 21. These results suggest that there is a sharp drop in tensile strength for the asphalt mix even after just 1 day of being stored losing about 36% of its strength and at 3 days about 59% of the initial strength after which the data reaches a stable value. The data in Figure 18 are also shown with a 45psi threshold for what is acceptable as suggested by VDOT CCPR specifications.
Figure 18: ITS test results
In addition to testing for regression, a series of student t-tests were run to compare consecutive sets of tests to determine if the differences in stockpiling times are statistically significant. An f-test was conducted to determine equal or unequal variance. Depending on the results from the f-test, the appropriate t-test was conducted. The summary of these results is presented below in table 6.
Table 6: T-test results
| | Variance | P Value | Result |
|----------------|----------|---------|-------------------------|
| Initial vs. 1 | Equal | 0.00 | Difference is significant|
| 1 vs. 3 | Unequal | 0.00 | Difference is significant|
| 3 vs. 7 | Equal | 0.50 | Difference is not significant|
| 7 vs. 8 | Equal | 0.62 | Difference is not significant|
| 8 vs. 41 | Unequal | 0.48 | Difference is not significant|
The results from the t-test suggest that after 3 days, the differences in the mean indirect tensile strength of CR asphalt are not statistically significant. This suggests that after 3 days, the CR asphalt has reached its potential lowest strength and storing it longer will have little to no effect. For the tensile tests, after the 7 day tests, the test specimens’ height was reduced due to difficulties in compacting the test specimens to the desired height; the amount of mix used was reduced from 1100 grams to 1040 grams. The results of the t-test validate that the change in density had little or no significance on the tensile strength.
**Dynamic Modulus Results**
The dynamic modulus test was conducted on specimen created at the initial time of collection, and at 1, 2, 3, and 6 days after the mix had been collected. For each set, three specimens were fabricated and tested. The average $E^*$ results of those specimens is shown in Table 7. The final master curve was made in accordance with AASHTO R62-13 using an excel spreadsheet. The results from the dynamic modulus curves are shown in Appendix C.
Figure 19 shows a decrease in the dynamic modulus between 7 and 20 percent with each consecutive day from the initial until the third day for the frequency of 10Hz using the fitted curve with a reference temperature of 21.1C (70F). However, between the third and sixth day, the difference is only 1 percent for the initial frequency and the final result is an increase by about 4 percent. This suggests that stiffness, like the indirect tensile strength, is lost very quickly within the first few days of stockpiling but remains constant after the third day. Figure 20 below compares the trends observed for the average ITS values and the dynamic modulus values at 21.1C and 10 Hz. The correlation coefficient between these two trends is 0.89 suggesting that the results of testing are likely related to a high degree.
This relationship may suggest that the factors causing the decrease in tensile strength are also cause the decrease in stiffness over time while the CR mix is stockpiled. A study conducted by Xu (2011) suggested that tensile strength increases linearly with cement content and those specimens with 1.5% cement performed better in testing for rut resistance. These findings suggest that cement plays a role in these factors and could explain why the dynamic modulus and the ITS values follow a similar trend. Cement begins to hydrate as soon as the mix is processed which is why the specimens made the same day have the highest values for stiffness and tensile strength. As the mix is stockpiled and the cement hydrates further, the bonds that increase the strength of the mix are not as well established and can be broken since the mix is not compacted, this being after 3 days according to the results from this study.
Mechanistic-Empirical Pavement Design
AASHTO has created a software, PavementME, that provides a set of procedures to design and analyze the performance of flexible pavements. It takes into account a variety of factors including the type of pavements, the various levels of traffic, and the climate to predict how well a pavement will behave along with the levels of distress it will be in for the lifespan of the road. PavementME was used for this report in order to predict how the property changes caused by stockpiling would potentially affect the performance of the pavement.
To assess the effects of stockpiling, the pavement cross section, acquired from NCHRP research report 863, shown below in Figure 21 was modelled in PavementME (Schwartz et al. 2017).
**Figure 21: Pavement cross-section**
Using this cross section as a typical CIR pavement, the values collected from the dynamic modulus testing were input into the software. The outputs report values for IRI (smoothness) and total rut depth (TRD). The results for these values are presented below in Figures 22 and 23.
**Figure 22: Total Rut Depth (TRD)**
**Figure 23: (International Roughness Index) IRI**
After a period of 20 years, PavementME suggests that stockpiling the mix for 6 days increases the total rut depth (TRD) by 6% and the IRI by 0.8%, both of these being negligible. These values are higher than the recommended thresholds of 0.26in for TRD and 140in/mi for IRI after 20 years however the concerns for the purposes of this study, the effects of the change in performance are more relevant than whether the pavement can perform for a 20 year life. These results are to be expected based on the E* values that were found from the stockpiled CR mix. Just as the E* values for days 3 and 6 are similar, the TRD and IRI values for those days are very close as well. This data makes sense for understanding the effect that the varying E* values have on pavement performance however more inputs would need to be found to properly determine the full effect that stockpiling has on performance.
**SUMMARY**
The purpose of this study was to evaluate the effect of stockpiling CR mix on its material properties and predicted performance. Since there was not a proper stockpile to compare the results with, one method to determine if the storage method was sufficient was to test the moisture content. Throughout this study, the moisture content did not vary more than 0.3% from the initial conditions that were recorded at the plant. This suggests that the methodology used of placing the mix in a bucket layered with a plastic bag and stored with damp rags may be an effective way to minimize moisture loss, similar to what is expected of a properly managed CCPR stockpile. However, to confirm this, a future study should be conducted to compare this method of a simulated stockpile to that of a real stockpile.
The compaction effort required to create the specimens increases the longer the CR mix is stockpiled. This would be an issue in the field because if the material is not workable enough then the amount of time it would take to place the mix would be greatly increased. With higher levels of compaction required, it may take significantly more time to compact the pavement which may be a disadvantage to the contractors working on the job. The compaction effort here is stated in terms of the number of gyrations, which increases more than 100% within the first 2 days. Relating the number of gyrations to the average time it takes to compact pavement to a certain density using a roller, this would mean that each mile of pavement would take twice as long to compact on site.
The ITS data gathered from this report demonstrated a very sharp decline in strength followed by a constant minimum after 3 days of being stockpiled. It is important to note the mean strength dropped to about 47psi after just one day of stockpiling. This is a key finding considering the acceptable ITS strength suggested by VDOT specifications is 45psi. Taking into account that these specimens were created under ideal laboratory conditions, one may expect more discrepancies when creating these specimens in the field.
The results from PavementME suggest that stockpiling the mix has little effect on overall performance however these results cannot be definite. PavementME is a program made to model pavements that are not made of cold recycled materials, such as HMA and concrete, and was used with values pertaining to cold recycled material. For this reason, there were a few assumptions made to properly model the pavement layers. These include values for the binder properties and for the specimen itself since air voids and effective binder content could not be found. These results could mean either that the pavement would experience little change in
quality from stockpiling or that PavementME needs to be developed further to properly model the behavior of cold recycled mix. To properly determine which case is valid, the software would have to be calibrated for using CR mix.
**FINDINGS AND CONCLUSIONS**
Stockpiling CIR mix is a method that currently is practiced by some contractors in order to have an efficient plan for making and placing mix. For example, when projects need to be completed but due to weather conditions, the plant cannot construct the pavement, it may be appropriate to stockpile the CR mix overnight. For these instances, the mix is misted to ensure moisture retention and may be placed on a plastic tarp to prevent contamination. However, based on the results from this study, stockpiling mix for even one day has a large impact on the strength properties of the pavement and needs to be studied even further before being used. The results from this study suggest that even after one day, the CIR mix quickly loses about 36% of its initial strength. Considering these specimens were created and tested under ideal laboratory conditions, it is possible that the reduction in strength would be even greater when tested in the field. Keeping the CR mix in a bucket as opposed to a proper stockpile also decreases the likelihood of contamination. If the CR mix had to be stockpiled for less than a day as was the case with this study, it may meet the requirements for strength set by VDOT. Any time longer than a day and the mix would need to be created with a higher initial strength to ensure the CR mix meets the criteria after the reduction of strength. Since the loss of strength is not continuous and plateaus after the third day of being stockpiled, it may be possible to keep the strength within specifications for an extended period of time for this sample of CR mix, however, as stated, the initial strength would have to be higher.
The dynamic modulus testing suggests the mix exhibited a stiffness reduction as it is stockpiled but as with the ITS data, after three days it is constant. The results from PavementME suggest the change in stiffness does not play a significant role in the outputs of the software being considered for this study, those being IRI and rut depth. However, there would need to be further studies to determine how well the software can be applied to cold recycled pavements.
The methodology used to simulate a proved to be effective in keeping the moisture content in check. With minimal moisture loss, the mix was still workable enough to create specimen and any reduction in workability could be attributed to other factors such as the hydrating of the cement. In other studies, CR mix that has cement additives stiffens over time and is attributed to the curing of the cement (Diefenderfer 2016). Since the greatest increase in strength for cement happens in the first few days, it is possible that leaving the mix in a stockpile for a few days leads to the final product gaining less strength from the cement. This may be the cause of the decrease in stiffness over time for the CR mix. For a real stockpile, the moisture would be kept under check using a scheduled misting but as the results here demonstrate, damp rags and a sealed container do well to contain the moisture in the mix.
In summary
- The laboratory stockpiling methodology used works well to prevent moisture loss
- The compactive effort increases after laboratory stockpiling
- Change in density to keep CR mix within spec had no significant change on tensile strength
• Tensile strength decreased more than 50% after 3 days of stockpiling and then remained constant
• Dynamic modulus decreased within the first 3 days of stockpiling and then remained constant
• PavementME suggests stockpiling has little effect on performance
FUTURE WORK
Quantifying how CR mix properties change after being stockpiled is an important step in being making better use of the resources that are available for pavements. However, with the limited scope of this study, there are still many steps that can be taken in order to advance this area on knowledge further. The first step would be to conduct a study with mix using a real stockpile and a simulated lab stockpile to determine how well this methodology can mimic the conditions of a stockpile. Depending on how well one compares to the other, there would be further steps needed to improve the technique to simulate stockpiling. This could involve looking at different sized containers and seeing how the quantity of each set impacts the material properties, as well as looking at different types of containers and conditions to contain the CR mix. Perhaps the key difference may be to cover the samples in a way that is not air tight and would require misting, which may be a better representation of a proper stockpile. There are just a few ways that this study could be advanced further.
There are different additives used in CR mix that may impact the material properties differently. This study looked at cement stabilized bitumen and one suggestion was that the
Portland cement played a large role in how the material lost strength and stiffness. It would be an important study to repeat this experiment with a CR mix that contains no cement and observing if that plays a large role in the behavior of the material. That could be taken even further by stockpiling mix with different quantities of cement to see if there is a point where the quantity of cement has little to no effect. Aside from cement, there are other additives that can be used for CR mix such as fibers, lime, or fly ash. It would be good to observe how CR mixes with different additives behave when being stockpiled.
In addition to quantifying how CR mix is affected due to stockpiling, it would be an important step to develop the calibration factors needed for PavementME to more thoroughly model the pavement performance instead of relying on the default values based on global and regional medians. This step would require that data be collected from as many types of CR projects that have been conducted to go through an iterative process for properly calibrating the software. As it currently stands, and as it has been stated in this study, PavementME is set up to predict performances of HMA and other materials, but not CR mixes. To create a catalog of different types of CR mix, as there is of HMA, and their long term performance would be an important step in improving the design process as well as making it more efficient.
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## Appendix A: Plant Mix Design
### FOAMED BITUMEN MIX DESIGN REPORT
| MATERIAL TO BE STABILISED | Aggregates | Bitumen | Filler |
|---------------------------|------------|---------|--------|
| Location / Source | Allan Myers Plant | Associated Asphalt | 1% Portland Cement |
| Description | RAP material blended with 15% Screenings | PG 64-22 | AASHTO T-180 Method D' |
| Maximum dry density | 144.6 lb/ft³ (2317 kg/m³) | Optimum moisture content (%) | 4.1 |
| Target wet density for CCPR | 130.8 lb/ft³ | Target Dry Indirect Tensile Strength | 45 psi |
### BITUMEN FOAMING CONDITIONS
| Foaming water added (%) | 2.0 |
|-------------------------|-----|
| Bitumen temperature (°C) | 165 C (329 F) |
### FOAMED BITUMEN STABILISED MATERIAL CHARACTERISTICS
| Compactive effort | Marshall Hammer - 75 blows 100mm diameter | Test Method |
|-------------------|------------------------------------------|-------------|
| Date moulded | 7/18/2017 | ASTM D6926 |
| Foamed bitumen added (%) | 2.20 2.50 2.80 | After compaction, specimens were placed in a 40 °C forced draft oven for 72 hours for curing |
| Type and percent filler added (%) | 1% Cement 1% Cement 1% Cement | |
| Moulding moisture content (%) | 4.9 4.8 4.1 | |
### TEST RESULTS
| ITS dry (psi) | 56 63 64 | AASHTO T-283 (77 °F) |
|---------------|----------|----------------------|
| Moisture content at break (%) | 0.0 0.0 0.0 | Dry density values for each condition were calculated with the volume of each set of specimens |
| Dry Density (lb/ft³) | 127.9 129.7 127.6 | |
| Temperature at break (oF) | 78 78 78 | 77 + 3.6 °F (25 + 2 °C) |
| ITS wet (psi) | 50 55 56 | AASHTO T-283 (77 °F) |
|---------------|----------|----------------------|
| Moisture content at break (%) | 3.9 3.8 3.5 | Cool specimens were placed in 77 °F water bath for 24 hrs prior to testing |
| Dry Density (lb/ft³) | 130.9 128.5 129.6 | |
| Temperature at break (oF) | 78 78 78 | 77 + 3.6 °F (25 + 2 °C) |
| Retained ITS (%) | 88 88 88 | 70% (Min) |
### Graphs:
- **ITS vs % Foamed Bitumen**
- Dry Specimens
- Wet (Conditioned) Specimens
- **% Foamed Bitumen vs Dry density**
- Dry Specimens
- Wet (Conditioned) Specimens
## FOAMED BITUMEN MIX DESIGN - WORKSHEET
**Project:** I-64 CCPR
**Date:** 7/20/2017
**Description:** Unprocessed RAP (85%) combined with #10 Screenings (15%)
**Bitumen Source:** Allan Myers
**Bitumen grade:** PG 64-22
### MOISTURE DETERMINATION
| Preparation | After Curing |
|-------------|--------------|
| Hygroscopic | Moulding | Dry | Soaked |
| Mass wet sample + pan | m1 | 1190.9 | 3223.5 | 3357.6 |
| Mass dry sample + pan | m2 | 1140 | 3223.5 | 3231.6 |
| Mass pan | mp | 108.7 | | |
| Mass moisture | m1-m2 = Mm | 50.9 | 0 | 126 |
| Mass dry sample | m2-mp= Md | 1031.3 | 3223.5 | 3231.6 |
| Moisture content | Mm/Md×100=Mt | 4.9 | 0.0 | 3.9 |
#### Percentage of water added to sample for mixing:
- Amount of water added: 450mL
#### Percentage water added to sample for compaction:
- Amount of water added: 0
#### Total percentage water added:
- Total water added: 450mL
#### Percentage foamed bitumen added:
- Additive and percentage: 1% Cement
### SPECIMEN DETAILS
| Sample ID | N | P | R | O | Q | S |
|-----------|---|---|---|---|---|---|
| Date Moulded | | | | | | |
| 7/16/2017 | | | | | | |
| Date placed in oven | | | | | | |
| 7/16/2017 | | | | | | |
| **Dry** | **Soaked** |
| Date tested | 7/20/2017 | 07/20/147 |
| Diameter (inch) | 4 | 4 | 4 | 4 | 4 | 4 |
| 64 | 65 | 65 | 64 | 63 | 63 |
| Individual Thickness Readings (inch) | | | | | | |
| Avg. Thickness (inch) | 2.52 | 2.56 | 2.56 | 2.52 | 2.48 | 2.48 |
| Mass after curing (lb) | 1062.1 | 1078.9 | 1082.5 | 1081.8 | 1068.2 | 1081.6 |
| Bulk density (lb/ft³) | 127.7 | 127.8 | 128.2 | 130.1 | 130.5 | 132.1 |
| Dry density (lb/ft³) | 127.7 | 127.8 | 128.2 | 130.1 | 130.5 | 132.1 |
Cure specimens for 72 hours @ 104°F thereafter cool to ± 77°F.
### INDIRECT TENSILE STRENGTH TEST
| Condition | Dry (± 77°F) | Soaked (± 77°F) |
|-----------|--------------|-----------------|
| Maximum load (lb) | 1100.0 | 600.0 | 1000.0 | 900.0 | 800.0 | 640.0 |
| Tensile strength (psi) | 69.45 | 37.30 | 62.17 | 56.83 | 51.31 | 41.05 |
| Mean tens. strength (psi) | 56 | 50 |
| Tensile strength ratio | 88 |
## FOAMED BITUMEN MIX DESIGN - WORKSHEET
**Project:** I-64 CCPR
**Sample No.:** ___________________________
**Date:** 7/20/2017
**Description:** Unprocessed RAP (85%) combined with #10 Screenings (15%)
**Bitumen Source:** Allan Myers
**Bitumen grade:** PG 64-22
### MOISTURE DETERMINATION
| Preparation | After Curing |
|-------------|--------------|
| Hygroscopic | Moulding | Dry | Soaked |
| Pan No. | | | |
| Mass wet sample + pan | m1 | 1301.5 | 3235.1 | 3343.6 |
| Mass dry sample + pan | m2 | 1247 | 3235.1 | 3222.7 |
| Mass pan | mp | 122.2 | | |
| Mass moisture | m1-m2 = Mm | 54.5 | 0.0 | 120.9 |
| Mass dry sample | m2-mp= Md | 1124.8| 3235.1 | 3222.7 |
| Moisture content | Mm/Md×100=Mt | 4.8 | 0.0 | 3.8 |
#### Percentage of water added to sample for mixing:
- 2.0 Amount of water added: 450mL
#### Percentage water added to sample for compaction:
- 0.0 Amount of water added: 0
#### Total percentage water added:
- 2.0 Total water added: 450mL
#### Percentage foamed bitumen added:
- 2.50 Additive and percentage: 1% Cement
### SPECIMEN DETAILS
| Sample ID | H | J | L | I | K | M |
|-----------|---|---|---|---|---|---|
| Date Molded | 7/16/2017 |
| Date placed in oven | 7/16/2017 |
| Date tested | 7/20/2017 | 7/20/2017 |
| Diameter (inch) | 4 | 4 | 4 | 4 | 4 | 4 |
| Individual Thickness Readings (inch) | 64 | 64 | 64 | 64 | 65 | 64 |
| Avg. Thickness (inch) | 2.52 | 2.52 | 2.52 | 2.52 | 2.56 | 2.52 |
| Mass after curing (lb) | 1080.5 | 1074.5 | 1080.1 | 1077.3 | 1068.2 | 1077.2 |
| Bulk density (lb/ft³) | 129.9 | 129.2 | 129.9 | 129.6 | 126.5 | 129.5 |
| Dry density (lb/ft³) | 129.9 | 129.2 | 129.9 | 129.6 | 126.5 | 129.5 |
Cure specimens for 72 hours @ 104°F thereafter cool to ± 77°F.
### INDIRECT TENSILE STRENGTH TEST
| Condition | Dry (± 77°F) | Soaked (± 77°F) |
|-----------|--------------|-----------------|
| Maximum load (lb) | 1100.0 | 980.0 | 890.0 | 980.0 | 840.0 | 800.0 |
| Tensile strength (psi) | 69.45 | 61.88 | 56.19 | 61.88 | 52.22 | 50.51 |
| Mean ten. strength (psi) | 63 | 55 |
| Tensile strength ratio | 88 |
## FOAMED BITUMEN MIX DESIGN - WORKSHEET
**Project:** I-64 CCPR
**Sample No.:** ___________________________ **Date:** 7/20/2017
**Description:** Unprocessed RAP (85%) combined with #10 Screenings (15%)
**Bitumen Source:** Allan Myers
**Bitumen grade:** PG 64-22
### MOISTURE DETERMINATION
| Preparation | After Curing |
|-------------|--------------|
| Hygroscopic | Moulding | Dry | Soaked |
| Mass wet sample + pan | m1 | 1306.2 | 3265.5 | 3362.6 |
| Mass dry sample + pan | m2 | 1258.8 | 3265.5 | 3250 |
| Mass pan | m3 | 109.1 | | |
| Mass moisture | m1-m2 = Mm | 47.4 | 0.0 | 112.6 |
| Mass dry sample | m2-m3= Md | 1149.7 | 3265.5 | 3250 |
| Moisture content | Mm/Md×100=Mt | 4.1 | 0.0 | 3.5 |
### Percentage of water added to sample for mixing: 2.0
Amount of water added: 450mL
Percentage water added to sample for compaction: 0.0
Amount of water added: 0
Total percentage water added: 2.0
Total water added: 450mL
Percentage foamed bitumen added: 2.8
Additive and percentage: 1% Cement
### SPECIMEN DETAILS
| Sample ID | A | C | E | B | D | F |
|-----------|---|---|---|---|---|---|
| Date Molded | | | | | | |
| 7/16/2017 | | | | | | |
| Date placed in oven | | | | | | |
| 7/16/2017 | | | | | | |
| Date tested | | | | | | |
| 7/20/2017 | | | | | | |
| 7/20/2017 | | | | | | |
| Diameter (inch) | 4 | 4 | 4 | 4 | 4 | 4 |
| Individual Thickness Readings (inch) | 64 | 65 | 68 | 64 | 65 | 64 |
| Avg. Thickness (inch) | 2.52 | 2.56 | 2.68 | 2.52 | 2.56 | 2.52 |
| Mass after curing (lb) | 1079.0 | 1086.0 | 1100.5 | 1081.8 | 1090.9 | 1077.3 |
| Bulk density (lb/ft³) | 129.8 | 128.6 | 124.6 | 130.1 | 129.2 | 129.6 |
| Dry density (lb/ft³) | 129.8 | 128.6 | 124.6 | 130.1 | 129.2 | 129.6 |
Cure specimens for 72 hours @ 104°F thereafter cool to ± 77°F.
### INDIRECT TENSILE STRENGTH TEST
| Condition | Dry (± 77°F) | Soaked (± 77°F) |
|-----------|--------------|-----------------|
| Maximum load (lb) | 980.0 | 1140.0 | 980.0 | 1080.0 | 780.0 | 800.0 |
| Tensile strength (psi) | 61.88 | 70.87 | 58.24 | 68.19 | 48.49 | 50.51 |
| Mean tens. strength (psi) | 64 | | 56 |
| Tensile strength ratio | | | 88 |
BITUMEN CALIBRATION
BITUMEN
Source: Allan Myers
Test temperature: 165C (329F)
Type: PG 64-22
MACHINE SETTINGS
Pump calibration
Setting
Quantity required (g): 500
Quantity sprayed (g): 500.00
Water
Quantity required (%):
Flow meter setting (l/h):
| % Water | Expansion | Half Life |
|---------|-----------|-----------|
| 2.0 | 11.5 | 15.6 |
| 2.5 | 7.0 | 15.8 |
Expansion / Half Life at deg 165 C (329F)
OPTIMUM FOAM MOISTURE CONTENT 2.0%
BITUMEN CALIBRATION
BITUMEN
Source: Allan Myers
Test temperature: 175C (347F)
Type: PG 64-22
MACHINE SETTINGS
Pump calibration
Setting
Quantity required (g): 500
Quantity sprayed (g): 500.00
Water
Quantity required (%):
Flow meter setting (l/h):
| % Water | Expansion | Half Life |
|---------|-----------|-----------|
| 2.0 | 12.5 | 16.3 |
| 2.5 | 8.5 | 16.5 |
Expansion / Half Life at deg 175 C (347 F)
OPTIMUM FOAM MOISTURE CONTENT 2.0%
BITUMEN CALIBRATION
BITUMEN
Source: Allan Myers
Test temperature: 185C (365F)
Type: PG 64-22
MACHINE SETTINGS
Pump calibration
Setting
Quantity required (g): 500
Quantity sprayed (g): 500.00
Water
Quantity required (%):
Flow meter setting (l/h):
| % Water | Expansion | Half Life |
|---------|-----------|-----------|
| 2.0 | 13.9 | 17.2 |
| 2.5 | 9.0 | 17.4 |
Expansion / Half Life at deg 185 C (365 F)
OPTIMUM FOAM MOISTURE CONTENT 2.0%
## FOAMED BITUMEN SIEVE ANALYSIS
### AASHTO T 27 (Dry)
| Location: | Unprocessed RAP | #10 Screenings |
|-----------|-----------------|----------------|
| Description: | | |
| Sample No.: | | |
| Date sampled: | 8/28/2017 | 8/28/2017 |
| Percentage in Blend | 85.0 | 15.0 |
| Mass of sample (g) | 1661.4 | 525.6 |
| Sieve size | Weight Retained | % Pass. | Weight Retained | % Pass. | Weight Retained | % Pass. | Combined Grading |
|------------|-----------------|---------|-----------------|---------|-----------------|---------|------------------|
| mm | inch | | | | | | |
| 37.5 | 1 1/2 | 0 | 100.0 | 0 | 100.0 | | 100.0 |
| 25 | 1 | 0 | 100.0 | 0 | 100.0 | | 100.0 |
| 19.0 | 3/4 | 40.2 | 97.6 | 0 | 100.0 | | 97.9 |
| 12 | 1/2 | 155.4 | 90.6 | 0 | 100.0 | | 92.0 |
| 9.5 | 3/8 | 310.1 | 81.3 | 0 | 100.0 | | 84.1 |
| 4.75 | #4 | 807.3 | 51.4 | 3.2 | 99.4 | | 58.6 |
| 2.36 | #8 | 1111.1 | 33.1 | 95.3 | 81.9 | | 40.4 |
| 1.18 | #16 | 1377.7 | 17.1 | 222.2 | 57.7 | | 23.2 |
| 0.600 | #30 | 1564.9 | 5.8 | 320.9 | 38.9 | | 10.8 |
| 0.300 | #50 | 1635.8 | 1.5 | 384.3 | 26.9 | | 5.3 |
| 0.150 | #100 | 1654.3 | 0.4 | 438.5 | 16.6 | | 2.8 |
| 0.075 | #200 | 1660.1 | 0.1 | 480.3 | 8.6 | | 1.4 |
**Note:** Sampled RAP and aggregate materials, provided by contractor Allan Myers was combined and split to the reported sample size using AASHTO T 248 (Method A). RAP and aggregate samples were taken.
## Physical Properties Report
**Location: Boscobel**
### Coarse Aggregates
| Product | Bulk Dry | Specific Gravity | Unit Weight | Voids Coarse Agg | Flat & Elongated |
|-----------|----------|------------------|-------------|------------------|-----------------|
| | | SSD | Apparent Absorption | | 5:1 | 3:1 | 2:1 |
| VDOT #56 | 2.599 | 2.615 | 2.642 | 0.63 | 97 | 40 | 0.0 | 13.4 | 53.3 |
| VDOT #57 | 2.597 | 2.612 | 2.636 | 0.56 | 94 | 42 | 0.9 | 11.6 | 49.7 |
| VDOT #68 | 2.588 | 2.605 | 2.633 | 0.67 | 93 | 43 | 2.2 | 11.5 | 49.8 |
| VDOT #78 | 2.597 | 2.617 | 2.650 | 0.77 | 92 | 43 | 3.8 | 24.8 | 67.5 |
| VDOT #8 | 2.582 | 2.606 | 2.646 | 0.93 | 91 | 43 | 1.6 | 15.2 | 52.4 |
| VDOT #9 | 2.582 | 2.606 | 2.646 | 0.93 | 88 | 46 | | | |
### Fine Aggregates
| Product | Bulk Dry | Specific Gravity | Fine Aggregate Angularity | Sand Equivalent | Compaction Weight (lb / ft³) (Volume estimation only) |
|-----------------------|----------|------------------|---------------------------|-----------------|------------------------------------------------------|
| | | SSD | Apparent Absorption | 1252-A | VTM-5 | | |
| VDOT #10 | 2.578 | 2.607 | 2.655 | 1.12 | 50.5 | 55.6 | 52 | 116.4 @ 2.4 % Moisture |
| VDOT Grading B Sand | 2.672 | 2.693 | 2.728 | 0.76 | 49.6 | 55.9 | 79 | 109.1 @ 2.3 % Moisture |
### Source Properties
#### Coarse Aggregates
| Property | Value |
|---------------------------|-------|
| Soundness (MgSO4) | 7.3 |
| L.A. Abrasion A | 34 |
| L.A. Abrasion B | 33 |
| L.A. Abrasion C | 35 |
| Moh's Hardness | 6.0 |
| Clay Lumps / Friable Particles | 0.0 |
#### Fine Aggregates
| Property | Value |
|---------------------------|-------|
| Soundness (MgSO4) | 20.3 |
| Organic Impurities | Color Plate 1 |
| Clay Lumps / Friable Particles | 0.0 |
The information contained in this bulletin follows accepted AASHTO or ASTM testing protocols and is considered accurate, but are made without guarantee. Luck Stone Corp. disclaims any liability incurred in connection with the use of this data.
**LuckStone**
**Gradation Report**
**Location:** Boscobel
**Product:** VDOT #10
**For Period:** 04/01/2017 - 09/07/2017
### Voice of the Customer
| Sieve Size | 3/8 | #4 | #8 | #16 | #30 | #50 | #100 | #200 |
|------------|-----|----|----|-----|-----|-----|------|------|
| Specification | 100-100 | 85-100 | Opt | Opt | Opt | Opt | 10-30 | Opt |
| Target | 100 | 92.5 | | | | | 20 | |
| Tolerance | | 7.5 | | | | | 10 | |
### Voice of the Process
| Avg % Passing | 100.0 | 99.5 | 78.6 | 54.1 | 37.1 | 25.7 | 17.5 | 11.9 |
|---------------|-------|------|------|------|------|------|------|------|
| Avg Ind % Retained | 0.0 | 0.5 | 20.9 | 24.5 | 17.0 | 11.4 | 8.2 | 5.6 |
| Number of Samples | 25 | | | | | | | |
**Fm**
2.9
Test specification: AASHTO T 180-15 Method D Modified
| Elev/Depth | Classification USCS | Classification AASHTO | Nat. Moist, | Sp.G. | LL | PI | % > 3/4 in. | % < No.200 |
|------------|---------------------|-----------------------|-------------|-------|----|----|-------------|-------------|
| 0.00-0.01 | SW | A-1-a | | 2.65 | NP | NP | 3.4 | 1.1 |
TEST RESULTS
Maximum dry density = 120 pcf
Optimum moisture = 9 %
MATERIAL DESCRIPTION
(SW) Black, Fine to Coarse Recycled Asphalt Product
Remarks:
Tested in accordance with AASHTO T-180
WET DENSITY= 130.8
Figure
Tested By: MK
Checked By: SDP
| Sample Location | Sample | Percentage Clay Lumps/Friable Particles 1.5" Sieve | Percentage Clay Lumps/Friable Particles 3/4" Sieve | Percentage Clay Lumps/Friable Particles 3/8" Sieve | Percentage Clay Lumps/Friable Particles #4 Sieve | Percentage Clay Lumps/Friable Particles #16 Sieve | Maximum Allowable Percentage Per Sieve Size |
|--------------------------|--------|---------------------------------------------------|---------------------------------------------------|---------------------------------------------------|-------------------------------------------------|-------------------------------------------------|---------------------------------------------|
| Allan Myers New Kent- RAP | 2 | 0 | 0 | 0 | 0 | 0 | 0.20 |
### Appendix B: ITS Values (psi)
| Initial | 1 Day | 3 Day | 7 Day | 8 Day | 41 Day |
|---------|---------|---------|---------|---------|---------|
| 81.48733| 44.08592| 35.01409| 29.76197| 27.85212| 28.64789|
| 58.40986| 48.54226| 30.23944| 30.08028| 27.05634| 30.23944|
| 67.80001| 49.65634| 27.05634| 30.08028| 33.74085| 30.23944|
| 71.61972| 44.08592| 27.05634| 27.69296| 28.25 | 32.62676|
| 85.94367| 50.92958| 31.83099| 29.76197| 27.05634| 27.85212|
| 75.5986 | 44.56338| 31.83099| | | |
### Appendix C: E* Values (psi)
| Initial | Temp. | 25 Hz | 10 Hz | 5 Hz | 1 Hz | 0.5 Hz | 0.1 Hz |
|---------|-------|-------|-------|------|------|--------|--------|
| 4°C | | 711,893 | 677,133 | 652,138 | 592,382 | 569,998 | 515,174 |
| 20°C | | 544,230 | 504,344 | 476,594 | 410,215 | 385,994 | 326,286 |
| 38°C | | 386,525 | 346,157 | 318,793 | 257,249 | 236,605 | 188,984 |
| **1 Day** | | | | | | | |
| 4°C | | 679,840 | 642,565 | 616,555 | 554,914 | 532,337 | 476,255 |
| 20°C | | 505,021 | 464,266 | 436,418 | 370,040 | 346,882 | 288,190 |
| 38°C | | 339,630 | 299,213 | 272,864 | 214,462 | 196,139 | 152,995 |
| **2 Day** | | | | | | | |
| 4°C | | 538,428 | 507,777 | 487,665 | 440,576 | 424,284 | 382,948 |
| 20°C | | 412,052 | 378,887 | 356,599 | 303,516 | 286,353 | 239,699 |
| 38°C | | 275,330 | 241,536 | 221,037 | 174,577 | 161,137 | 126,947 |
| **3 Day** | | | | | | | |
| 4°C | | 454,355 | 426,072 | 408,958 | 369,701 | 356,599 | 322,080 |
| 20°C | | 330,057 | 298,778 | 279,778 | 236,218 | 222,294 | 186,083 |
| 38°C | | 225,582 | 197,783 | 180,282 | 142,263 | 131,225 | 103,658 |
| **6 Day** | | | | | | | |
| 4°C | | 476,956 | 447,224 | 428,586 | 385,438 | 371,297 | 332,426 |
| 20°C | | 328,510 | 299,793 | 281,083 | 236,484 | 222,995 | 185,938 |
| 38°C | | 232,786 | 202,908 | 183,473 | 143,167 | 131,216 | 102,701 |
|
eb8bb88a-a6e0-45d8-8abc-fc7b3b20696c
|
CC-MAIN-2024-10
|
https://libraetd.lib.virginia.edu/downloads/g732d945t?filename=1_Kazmi_Syed_2018_MS.pdf
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2024-02-24T04:12:30+00:00
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Correspondence
Markku Saloheimo
Markku.Saloheimo@vtt.fi
Received 8 March 2004
Revised 31 May 2004
Accepted 8 June 2004
Expression of Melanocarpus albomyces laccase in Trichoderma reesei and characterization of the purified enzyme
Laura-Leena Kiiskinen, 3 Kristiina Kruus, Michael Bailey, Erkko Ylo¨sma¨ki, Matti Siika-aho and Markku Saloheimo
VTT Biotechnology, PO Box 1500, Fin-02044 VTT, Finland
Previous studies on Melanocarpus albomyces laccase have shown that this enzyme is very interesting for both basic research purposes and industrial applications. In order to obtain a reliable and efficient source for this laccase, it was produced in the filamentous fungus Trichoderma reesei. Two approaches were used: production of a non-fused laccase and a hydrophobin–laccase fusion protein. Both proteins were expressed in T. reesei under the cbh1 promoter, and significantly higher activities were obtained with the non-fused laccase in shake-flask cultures (corresponding to about 230 mg l " 1 ). Northern blot analyses showed rather similar mRNA levels from both expression constructs. Western analysis indicated intracellular accumulation and degradation of the hydrophobin–laccase fusion protein, showing that production of the fusion was limited at the post-transcriptional level. No induction of the unfolded protein response pathway by laccase production was detected in the transformants by Northern hybridization. The most promising transformant was grown in a fermenter in batch and fed-batch modes. The highest production level obtained in the fed-batch culture was 920 mg l " 1 . The recombinant laccase was purified from the culture supernatant after cleaving the major contaminating protein, cellobiohydrolase I, by papain. The recombinant and wild-type laccases were compared with regard to substrate kinetics, molecular mass, pH optimum, thermostability, and processing of the N- and C-termini, and they showed very similar properties.
INTRODUCTION
Laccases (EC 220.127.116.11) are multicopper enzymes belonging to the group of blue oxidases. They catalyse oxidation of a wide variety of organic and inorganic compounds, including diphenols, polyphenols, substituted phenols, diamines and aromatic amines. One electron at a time is removed from the substrate by a type-1 blue copper ion and transferred to a trinuclear copper cluster (Messerschmidt, 1997). Molecular oxygen is used as the electron acceptor. The substrate loses a single electron and usually forms a free radical. The unstable radical may undergo further laccase-catalysed oxidation or non-enzymic reactions including hydration, disproportionation and polymerization (Thurston, 1994). Laccases are common enzymes in nature, especially in plants and fungi (Gianfreda et al., 1999). Recently, some novel bacterial laccases have also been reported (Martins et al., 2002; Arias et al., 2003). The laccases most studied hitherto are of fungal origin, especially from the class of white-rot fungi. Several physiological roles have been proposed for fungal laccases, such as participation in plant pathogenesis, pigment production and degradation of lignocellulosic materials (Thurston, 1994; Gianfreda et al., 1999).
3 Present address: Finnzymes Oy, Keilaranta 16 A, Fin-02150 Espoo, Finland.
Abbreviations: ABTS, 2,29-azinobis-(3-ethylbenzthiazoline-6-sulphonate); CBHI, cellobiohydrolase I; 2,6-DMP, 2,6-dimethoxyphenol; ER, endoplastic reticulum; HFBI, hydrophobin I; UPR, unfolded protein response.
Laccases are currently seen as highly interesting industrial enzymes because of their wide variety of potential substrates. Proposed applications for laccases include textile dye bleaching, pulp bleaching, effluent detoxification, biosensors and bioremediation (Gianfreda et al., 1999; Xu, 1999). However, a serious problem often encountered with industrial exploitation of laccases is the low production level by the native hosts. This problem may be overcome by heterologous production of laccases in fungal hosts that are capable of producing high amounts of extracellular enzymes, generally Trichoderma reesei or Aspergillus spp. Expression of Phlebia radiata laccase has previously been reported in T. reesei (Saloheimo & Niku-Paavola, 1991), whereas laccases from Trametes villosa (Yaver et al., 1996), Myceliophthora thermophila (Berka et al., 1997) and Coprinus cinereus (Yaver et al., 1999) have been expressed in Aspergillus oryzae.
0002-7147
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Recently, expression in Aspergillus niger has also been reported for laccases from Pycnoporus cinnabarinus (Record et al., 2002) and Ceriporiopsis subvermispora (Larrondo et al., 2003). The yields of fungal laccase production have generally been in tens of milligrams per litre.
We have previously described a novel laccase from the thermophilic fungus Melanocarpus albomyces (Kiiskinen et al., 2002). This laccase was shown to have very interesting properties relating to potential industrial applications of laccases as well as to studies on structure–function relationships. Compared to many other laccases studied, M. albomyces laccase is more thermostable and has a higher pH optimum, both of which are useful properties for many applications (Kiiskinen et al., 2002). The three-dimensional structure of M. albomyces laccase has been solved as one of the first complete laccase structures (Hakulinen et al., 2002). The crystal structure revealed novel properties of M. albomyces laccase concerning molecular oxygen binding to the active site and the C-terminus entering inside the enzyme. Heterologous expression in Saccharomyces cerevisiae was also recently reported for this laccase, and the results showed that the C-terminal end of the protein is of special interest also with respect to production of this enzyme (Kiiskinen & Saloheimo, 2004). Because these results further emphasized the potential of this laccase for research and industrial purposes, we have now expressed the laccase gene in T. reesei, a filamentous fungus that is well known for its ability to produce high amounts of extracellular enzymes (Ma¨ntyla¨ et al., 1998).
METHODS
Microbial strains and enzymes used for cloning. Escherichia coli strains used for vector propagation were DH5a from Gibco-BRL and TOP10F9 from Invitrogen. T. reesei RutC-30 (Montenecourt & Eveleigh, 1979) was used as a host for laccase production. Enzymes used to manipulate DNA or RNA were obtained from New England Biolabs or Boehringer Mannheim.
Vector construction. The T. reesei expression vector pAMH110 (Saloheimo et al., 1989) was digested with KspI and NdeI to remove a spacer fragment between the cbh1 promoter and terminator sequences. M. albomyces lac1 cDNA was released from the plasmid pLLK4 (Kiiskinen & Saloheimo, 2004) by SacI and EcoRI digestion and ligated into pAMH110 by blunt-end ligation, to obtain the plasmid pLLK8. The expression cassette for hygromycin resistance consisting of the Aspergillus nidulans gpdA promoter and trpC terminator and the E. coli hygromycin resistance gene was taken from the plasmid pBluekan7-1.NotI (from P. J. Punt, TNO Nutrition and Food Research, the Netherlands) by NotI digestion. It was cloned into the EcoRI site of pLLK8 by blunt-end ligation to obtain the final expression plasmid pLLK13.
pCR2.1-TOPO-vector (TOPO TA Cloning Kit, Invitrogen) and sequenced. As the cDNA itself contained an Asp718 site, the cDNA was released from the vector by partial digestion with Asp718 and ligated into the Asp718 site of the plasmid pTNS29. pTNS29 is a pUC19-based expression vector containing the T. reesei cbh1 promoter and a genomic copy of the hfb1 open reading frame (Nakari-Seta¨la¨ et al., 1996), followed by an artificial linker and the cbh1 terminator sequence. The Asp718 site of pTNS29 is located after the linker sequence. The final HFBI–laccase expression construct was pLLK12.
Transformation of T. reesei and screening of the transformants. T. reesei RutC-30 was transformed with linearized expression vector pLLK13 essentially as described by Penttila¨ et al. (1987). As pLLK12 did not contain the hygromycin resistance cassette, it was digested with SphI and StuI to release the expression cassette, and the cassette was cotransformed with pBluekan7-1.NotI carrying a hygromycin resistance cassette. The transformants were plated on minimal medium (Penttila¨ et al., 1987) containing 20 g glucose l 2 1 and 125 mg hygromycin l 2 1 . Well-growing transformants were purified to uninuclear clones by plating single spores on selective medium. To test for laccase production on plates, the transformants were grown on plates with minimal medium containing 20 g lactose l 2 1 and 125 mg hygromycin l 2 1 for 5 days. Two millilitres of 15 mM ABTS (Roche Diagnostics) in 25 mM succinate buffer (pH 4?5) was pipetted onto the plates and the formation of green colour around fungal colonies was monitored visually for 2 h. Selected laccase-positive transformants were cultivated in shakeflasks in minimal medium (Penttila¨ et al., 1987) supplemented with 40 g lactose l 2 1 , 20 g grain-based carbon and nitrogen source l 2 1 (Suominen et al., 1993), 0?1 mM CuSO4, and 10 g potassium hydrogen phthalate l 2 1 for buffering at pH 6. For monitoring the growth properties of the fungi, selected transformants were also grown in a soluble medium where the grain-based carbon and nitrogen source was replaced by 2 g peptone l 2 1 . All the cultivations were performed at 28 uC and 200 r.p.m. The effect of copper concentration on laccase production was studied by cultivating selected transformants in the minimal medium with 0?1, 0?5, 1, 2 or 3 mM CuSO4.
Western, Northern and Southern blot analyses. The recombinant laccase was studied by Western blotting with polyclonal antibodies raised in rabbits against the native M. albomyces laccase. Samples from culture supernatants and cell lysates of shake-flask cultures grown in the medium with lactose and grain-based nitrogen and carbon source were analysed. After 7 days of growth, the supernatant samples and cells were collected. The cells were washed twice with 20 mM sodium succinate buffer (pH 4?8), ground under liquid nitrogen and suspended into the same buffer with protease inhibitors (Complete Mini protease inhibitor cocktail, Roche). Samples were separated by SDS-PAGE (Mighty Small II SE250, Hoefer Pharmacia Biotech) and proteins were electroblotted onto nitrocellulose filters (Schleicher & Schuell). M. albomyces laccase was detected using alkaline-phosphatase-conjugated goat anti-rabbit IgG secondary antibody (Bio-Rad). The supernatant and cell lysate samples analysed corresponded to the same culture volume.
In order to construct a vector for production of a fusion protein between the T. reesei hydrophobin I (HFBI) and M. albomyces laccase, the cDNA encoding mature laccase was amplified by PCR with a programme of 26 cycles of 94 uC for 45 s; 57 uC for 30 s; 72 uC for 2 min. The PCR primers were 59-ACGTACGGTACCGAGCCGACGTGCAACACGCC-39(forward) and 59-ACGTACGGTACCTCAACGAACCAGCCACTCGC-39 (reverse). Asp718 sites incorporated into the primers are underlined. The PCR product was cloned into
Total T. reesei RNA was extracted with the TRIzol reagent (Life Technologies). The RNA was treated with glyoxal, run in a 1 % agarose gel (Sambrook et al., 1989), transferred onto Hybond-N nylon membranes (Amersham Pharmacia Biotech) and hydridized according to the manufacturer's instructions. The filters were probed with M. albomyces lac1 cDNA and with the pdi1 gene encoding protein disulphide isomerase (Saloheimo et al., 1999), the bip1 encoding the major endoplasmic reticulum (ER) chaperone (Pakula et al., 2003) and the hac1 gene encoding the transcription factor of the unfolded protein response (Saloheimo et al., 2003). Signal intensities were normalized with respect to the signals of the gpd1 gene encoding glyceraldehyde-3phosphate dehydrogenase. The Northern signals were quantified with a Typhoon 8600 phospho/fluoroimager (Molecular Dynamics).
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The copy number of the expression construct in positive T. reesei transformants was studied by Southern hybridization. T. reesei genomic DNA was extracted with Easy DNA Kit (Invitrogen) and hybridized with radiolabelled M. albomyces lac1 cDNA in stringent conditions (Sambrook et al., 1989).
Fermenter cultivations. The transformant pLLK13/295 producing the highest level of laccase in shake-flasks was cultivated in a Braun Biostat C-DCU 3 fermenter (B. Braun Biotech) in 20 litres of a medium containing (g l 2 1 ): lactose 40, peptone 4?0, yeast extract 1?0, KH2PO4 4?0, (NH4)2SO4 2?8, MgSO4.7H2O 0?6, CaCl2.2H2O 0?8, CuSO4.5H2O 0?025, and 2?0 ml 26 trace elements solution l 2 1 (Mandels & Weber, 1969). pH was adjusted to 5?5–6 with NH4OH and H3PO4, and the cultivation temperature was 28 uC. Dissolved oxygen level was kept above 30 % with agitation at 400–500 r.p.m., aeration at 2–10 litres min 2 1 and 0–20 % O2-enrichment of incoming air. Foaming was controlled by automatic addition of Struktol J633 polyoleate antifoam agent (Schill & Seilacher). Samples were taken daily to measure dry weight, lactose and total protein concentration, laccase activity and b-1,4-endoglucanase activity. Activity of the major cellulase cellobiohydrolase I (CBHI) was also measured (Bailey & Ta¨htiharju, 2003). In the fed-batch fermentation, lactose was fed into the fermenter according to the algorithm described by Bailey & Ta¨htiharju (2003).
Purification of recombinant M. albomyces laccase. The culture supernatant from the batch fermentation was first clarified by adding 10 g bentonite l 2 1 (Steetley Bentonite and Absorbents). The solution was mixed at 4 uC for 1 h and centrifuged at 2300 g for 10 min. To enable the separation of recombinant M. albomyces laccase from the major extracellular protein CBHI, the clear culture supernatant was treated with papain (from papaya latex, Sigma). The ratio of papain concentration to CBHI concentration was 15 : 100. The reaction was carried out in 100 mM acetate buffer (pH 5?0) containing 10 mM cysteine and 2 mM EDTA at 37 uC for 2 h. After papain digestion, the solution was loaded on a PhenylSepharose Fast Flow column (5617 cm; Pharmacia) equilibrated with 600 mM Na2SO4 in 5 mM citrate buffer (pH 5?0). Proteins were eluted with a linear 600–0 mM Na2SO4 gradient within four column volumes. Laccase-containing fractions were pooled and the buffer was changed to 20 mM sodium acetate (pH 5) by gel filtration through a Sephadex G-25 Coarse column (5617 cm; Pharmacia). Laccase was further purified by anion-exchange chromatography with a DEAE-Sepharose Fast Flow column (5623 cm; Pharmacia) equilibrated with 20 mM sodium acetate buffer (pH 5). Proteins were eluted with a linear 0–400 mM Na2SO4 gradient within 2?5 column volumes. Active fractions were pooled, concentrated on an Amicon PM10 membrane (Millipore) and applied to a Sephacryl S-100 HR gel filtration column (5682 cm; Pharmacia) equilibrated with 50 mM sodium phosphate buffer (pH 7) containing 150 mM NaCl. Laccase-positive fractions were concentrated and the buffer was exchanged to 50 mM Tris/HCl (pH 7) with disposable desalting columns (PD-10; Amersham).
Enzyme activity and protein concentration measurements.
Laccase activity was calculated by measuring the oxidation of 5 mM ABTS in 25 mM succinate buffer (pH 4?5) at 436 nm and using an absorption coefficient (e) of 29 300 M 2 1 cm 2 1 (Niku-Paavola et al., 1988). The kinetic parameters for purified laccase were also measured with syringaldazine (525 nm; e 65 000 M 2 1 cm 2 1 ; Leonowicz & Grzywnowicz, 1981), 2,6-dimethoxyphenol (469 nm; e 49 600 M 2 1 cm 2 1 ; Wariishi et al., 1992), and guaiacol (465 nm; e 12 100 M 2 1 cm 2 1 ; Paszczynski et al., 1985) in 40 mM MES/NaOH buffer (pH 6). The Michaelis–Menten curves for determining Km and Vmax were obtained with the GraphPad Prism 3.02 program (GraphPad Software).
cellulose as substrate at pH 5 using a standard method (IUPAC, 1987), and CBHI activity was measured according to Bailey & Ta¨htiharju (2003). Biomass dry weight was measured gravimetrically. Lactose concentration was measured enzymically with an assay kit (Boehringer Mannheim). Protein concentrations were determined by the Lowry method after precipitation of proteins with an equal volume of 10 % trichloroacetic acid. Total protein concentration during purification of laccase was determined with the Bio-Rad DC Protein Assay kit. Bovine serum albumin was used as a standard in both methods. Purification was monitored with SDS-PAGE (12 % Tris/HCl Ready Gel, Bio-Rad), in which protein bands were visualized by staining with Coomassie brilliant blue (R 350; Pharmacia).
Molecular mass, pH optimum, thermostability and redox potential of recombinant laccase. The molecular masses of native and recombinant M. albomyces laccases were determined by MALDI-TOF mass spectrometry on a Ultraflex time-of-flight instrument (BrukerDaltonics) as previously described (Palonen et al., 2003).
The pH optimum of recombinant M. albomyces laccase was determined in the universal McIlvaine buffer (Dawson et al., 1959) within a pH range of 2?2–8?0, using guaiacol as substrate. The thermal stability of recombinant laccase was determined by incubating the enzyme solution (0?3 g l 2 1 ) in 85 mM citrate buffer (pH 6) at 40, 50 and 60 uC. The residual enzyme activities were measured at room temperature with ABTS or 2,6-DMP as substrates. Isoelectric focusing was performed on an LKB 2117 Multiphor II Electrophoresis System (LKB Pharmacia) as previously described (Kiiskinen et al., 2002). The redox potentials of the T1 coppers of native and recombinant M. albomyces laccases were determined by photometric copper titration in 0?1 M KH2PO4 (pH 6?0) as described by Xu et al. (1996), using the redox titrant couple K3Fe(CN)6/K4Fe(CN)6.
RESULTS
Expression of M. albomyces laccase cDNA in T. reesei
Two expression plasmids for laccase production in T. reesei were constructed. In pLLK13 the full-length laccase cDNA was alone between the cbh1 promoter and terminator, whereas in pLLK12 the region encoding the mature laccase was fused with the T. reesei hydrophobin gene hfb1. pLLK12 was constructed for expression from the cbh1 promoter of an HFBI–laccase fusion protein with HFBI at the N-terminus. This was done for two reasons. Firstly, it has been shown that fusion of a foreign protein with a secreted native protein can enhance its production (e.g. Nyysso¨nen et al., 1993), and secondly, HFBI as a fusion partner can facilitate the purification of recombinant proteins in aqueous two-phase purification (Linder et al., 2001; Selber et al., 2001).
b-1,4-Endoglucanase activity was measured with hydroxyethyl
T. reesei RutC-30 was transformed with the two M. albomyces laccase expression vectors and transformants were selected on plates for hygromycin resistance and purified to uninuclear clones through a single-spore culture. About 40 transformants that grew well on hygromycin plates were selected for laccase production from both transformations. Laccase expression was studied by applying ABTS solution on fungal streaks grown on plates containing selective medium with lactose as the sole carbon source, and laccase activity was observed as the appearance of green colour http://mic.sgmjournals.org
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around the streaks. Thirty laccase-positive clones were found among pLLK13 transformants and 33 positive clones for pLLK12. The time of green colour appearance ranged from about 2 min to several hours and the best transformants from both constructs gave approximately similar results.
Several laccase-positive transformants from both expression constructs were grown in shake-flask cultures, and the laccase activities were measured in the culture supernatants. This activity typically peaked on the eighth day of culture. The non-fused laccase from pLLK13 was produced in significantly higher amounts than the HFBI–laccase fusion protein The two best transformants from the non-fusion construct pLLK13 produced 193 (transformant 295) and 160 nkat ml 2 1 (transformant 149) and the two best transformants from the fusion construct pLLK12 produced 42 (transformant 89) and 26 nkat ml 2 1 (transformant 22) of laccase. As estimated from the specific activity of the purified laccase produced in T. reesei, the laccase level produced by pLLK13/295 corresponds to about 230 mg l 2 1 .
The effect of copper concentration on laccase production by T. reesei was tested in shake-flask cultivations. The results showed that addition of Cu 2 + to the T. reesei minimal medium was beneficial. Addition of 0?1 mM copper to the medium improved the production levels about fourfold (data not shown). Increasing the concentration of copper up to 3 mM did not improve production levels any further. The laccase yields shown in this paper were obtained in media supplemented with 0?1 mM CuSO4.
Characterization of laccase-producing transformants
The T. reesei transformants producing M. albomyces laccase were characterized by SDS-PAGE and Western blot analysis with laccase antiserum. The culture supernatants of transformants producing non-fused laccase showed a somewhat heterogeneous laccase band with slightly higher molecular mass than that of native M. albomyces laccase (Fig. 1a, lanes 4 and 5). However, mass spectrometric analysis of the purified recombinant laccase discussed below showed that the recombinant laccase was essentially homogeneous and had a molecular mass very close to that of the native laccase. The different mobility of the recombinant laccase in SDSgels could be explained by the high content of other proteins in the T. reesei supernatant (see Fig. 1c). Western blotting from culture supernatants of the HFBI–laccase fusion construct transformants showed a minor band of the expected fusion protein size (Fig. 1a, lanes 1 and 2). Most of the HFBI–laccase fusion protein was probably cleaved by a protease between the fusion partners, as the antiserum detected a major laccase band similar in size to that produced by the non-fusion construct transformants. In some culture supernatant samples the fusion protein band was not detected at all, indicating total cleavage of the protein (Fig. 1b, lane 1). Analysis of the culture supernatant samples in a Coomassiestained SDS-gel showed that the recombinant laccase was one of the major secreted proteins in the transformants (Fig. 1c).
Cell lysate samples of the laccase-producing transformants were also studied by Western blotting. The efficiency of laccase secretion from the T. reesei cells was investigated by analysing supernatant and cell lysate samples corresponding to the same culture volume. For both expression constructs, a major proportion of the recombinant protein was detected inside the cell, but for the fusion protein the intracellular proportion was much higher (Fig. 1b, lanes 2 and 4), suggesting less efficient secretion of this protein. Both the HFBI–laccase fusion protein and several cleavage products were detected in the intracellular sample of the fusion construct pLLK12 transformant. This indicates that the fusion protein is more susceptible to intracellular protease attack in general than the non-fused laccase.
The laccase gene copy numbers of the five best-producing transformants from both expression constructs were studied by Southern hybridization. All the analysed transformants from the non-fusion construct appeared to have a single
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copy of the expression plasmid, whereas all the transformants derived from the fusion construct had two or three copies (data not shown).
Northern analysis was performed from the parental strain and the two best-producing transformants from both constructs. These strains were grown in shake-flasks in a medium inducing high laccase production, and mycelium samples for Northern analysis were taken on the fourth, fifth and seventh day of growth. The Northerns were probed with M. albomyces laccase cDNA to determine the expression level of the transformed constructs. In addition, possible activation of the unfolded protein response (UPR) pathway by laccase expression was studied by probing the Northerns with two target genes of this signalling pathway: pdi1 encoding protein disulphide isomerase (Saloheimo et al., 1999) and bip1 encoding the major ER chaperone (Pakula et al., 2003). The signal intensities quantified for these genes were normalized with respect to signal intensities of the gpd1 gene encoding glyceraldehyde-3-phosphate dehydrogenase. In addition, probing with the hac1 gene encoding the UPR transcription factor was performed. It has been shown that under UPR-inducing conditions a truncated hac1 mRNA is found in the cells (Saloheimo et al., 2003).
The laccase gene probing showed mRNAs of the expected size, derived from the two expression constructs (Fig. 2a). Quantification of the signals showed that the mRNA levels obtained from the fusion construct were at the same level as those derived from the non-fusion construct, or even at a higher level (Fig. 2a). The pdi1 and bip1 mRNA levels did not show major differences between the laccase-producing strains and the control. On the fourth culture day they were similar or lower in the transformants compared with the parental strain and at the other time points they were slightly higher (Fig. 2a). The only exception was the bip1 transcript level of the transformant pLLK12/89 on the fifth day (about twofold difference compared to the control). The truncated form of hac1 mRNA was not found in any of the samples analysed. Taken together, these results show that the UPR pathway is not induced by M. albomyces laccase production in T. reesei.
To analyse whether the growth of T. reesei was affected by expression of the laccase gene, a shake-flask cultivation of the pLLK12 and pLLK13 transformants and the parental strain was carried out in a soluble medium and mycelial dry weight was measured. Growth of the non-fusion construct pLLK13 transformants was clearly retarded compared with the control (Fig. 2b). Growth of the HFBI–laccase fusion transformants appeared to be only slightly or not at all affected. M. albomyces laccase is susceptible to low pH (Kiiskinen et al., 2002) and thus the shake-flask cultures for which the growth curves are shown were buffered to pH 6?0. This is not optimal for the growth of T. reesei. In other cultures in which the medium was buffered to pH 5?5, the laccase transformants grew equally well as the parental strain (data not shown).
Fig. 2. Comparison of T. reesei transformants producing HFBI–laccase fusion protein or non-fused laccase. (a) Northern analysis of the control strain and two best-producing transformants from the HFBI–laccase fusion construct (transformants 22 and 89) and from the non-fusion construct (149 and 295) was performed by probing the Northerns with lac1 and the UPR-related probes pdi1, bip1 and hac1 after 4, 5 and 7 days of cultivation. The signal intensities were quantified and normalized to gpd1 signal. (b) Growth curves for T. reesei transformants 22 (#) and 89 ( n ) producing HFBI–laccase fusion protein, 295 (N) and 149 ( m ) producing non-fused M. albomyces laccase, and the control strain (6).
Laccase production and purification
The transformant pLLK13/295 that produced the highest laccase activity in shake-flasks was cultivated in a 20 litre fermenter. The batch fermentation was carried out in a medium with lactose as the carbon source and 0?1 mM added CuSO4 to support incorporation of copper into the laccase. The pH of the medium was adjusted to 5?5–6 because M. albomyces laccase has been shown to be unstable at low pH (Kiiskinen et al., 2002). Laccase production was detectable after about 1 day of cultivation, and it continued http://mic.sgmjournals.org
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up to the end of the fermentation. The highest activity, 250 nkat ml 2 1 , was obtained at the time when the fungus was already autolysing, as indicated by the decrease in dry weight (Fig. 3). At this point, the fermentation had to be ended due to increasing difficulties in foam control. The production curves for cellulases were typical for this kind of batch fermentation: the most efficient cellulase production occurred at the time when exhaustion of lactose started to limit fungal growth (Bailey & Ta¨htiharju, 2003).
The recently published medium-feeding method for continuous cellulase production with T. reesei (Bailey & Ta¨htiharju, 2003) was tested with the laccase-producing transformant. In a fed-batch fermentation, lactose was added into the fermenter according to an algorithm that calculates the decrease in the rate of base addition for pH control. It has been shown that the production of cellulases is highest at the time when the rate of base addition required for pH control starts to decrease, i.e. when the growth rate of the fungus is decreasing (Bailey & Ta¨htiharju, 2003). In this first attempt to adapt the strategy for laccase production, the fermentation was continued for 215 h. The laccase production phase of the fermentation was significantly prolonged, as the highest laccase activity in the culture supernatant was measured after 169 h (data not shown). Laccase activity at that point was 780 nkat ml 2 1 , corresponding to about 920 mg l 2 1 .
Purification of recombinant laccase was hindered by the presence of high amounts of the major cellulase CBHI in the culture supernatant. Laccase and intact CBHI could not be separated by the chromatographic methods used because the isoelectric points, hydrophobicities and sizes of these proteins were very similar. However, purification of laccase was successful after treating the culture supernatant with papain. Papain cleavage altered the hydrophobic properties of CBHI so that it lost its binding capacity on PhenylSepharose at 600 mM Na2SO4. The activity or size of M. albomyces laccase did not change during papain treatment, suggesting that papain did not digest the laccase. This was also verified by N- and C-terminal sequencing of the purified laccase. Both termini were similar to those of native M. albomyces laccase (Kiiskinen & Saloheimo, 2004). After papain digestion, CBHI and laccase were separated by hydrophobic interaction chromatography, because laccase
was bound on Phenyl-Sepharose. It eluted as two active peaks: the first peak eluted at about 200 mM salt concentration, and the second, smaller, peak eluted with buffer. The first laccase peak was further purified by DEAE Sepharose anion-exchange chromatography and Sephacryl S-100 HR gel filtration. The overall purification factor was 11 and the recovery of activity was 40 % (Table 1).
The kinetic parameters with four different substrates were determined for purified native and recombinant laccases. The Km and kcat values, as well as the specific activities, were very similar for both enzymes (Table 2). The molecular masses were determined by MALDI-TOF mass spectrometry, which gave a value of 71?3 kDa for the recombinant laccase and 72?2 kDa for the native laccase. In isoelectric focusing, both laccases gave one band with a pI of about 4?0 (data not shown). The pH optimum of the recombinant M. albomyces laccase was determined using guaiacol as substrate. The optimum was broad, ranging from 5 to 7, as also earlier described for the native laccase (Kiiskinen et al., 2002). The thermal stability of the recombinant laccase measured at 40, 50 and 60 u C was also similar to that of the native laccase: the half-lives of both enzymes were >70 h at
Table 1. Purification of the recombinant M. albomyces laccase
ND, Not determined.
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Table 2. Kinetic parameters and specific activities of native (MaL) and recombinant (rMaL) M. albomyces laccases
ABTS measurements were performed at pH 4?5, other assays at pH 6.
40 u C, 50 h at 50 u C and 3?5 h at 60 u C. The redox potential of the T1 copper of M. albomyces laccase expressed in T. reesei was 0?47±0?01 V, which is in accordance with the redox potential of the wild-type enzyme: 0?46±0?01 V.
DISCUSSION
The first laccase was described in 1883 from the Japanese lacquer tree Rhus vernicifera (Yoshida, 1883). Since then several laccases have been studied with respect to their biological function, substrate specificity, copper-binding structure and industrial applications (Thurston, 1994; Gianfreda et al., 1999; Xu, 1999). Despite the long history of laccase research, many biochemical and functional aspects of these enzymes still remain unclear. In order to understand the mechanisms of substrate binding, electrontransfer reactions and the suitability of laccases for various applications, well-characterized model enzymes are needed. M. albomyces laccase is a very interesting enzyme for laccase research due to its temperature and pH characteristics, suitable for industrial applications (Kiiskinen et al., 2002), and its novel structural properties concerning oxygen binding (Hakulinen et al., 2002). However, the production levels of laccase by M. albomyces have been low and the cultivations have been difficult to reproduce. In order to obtain a more reliable source for this enzyme, M. albomyces laccase cDNA was expressed in T. reesei.
was not observed. On the other hand, this was the first time that HFBI was used as a production carrier protein. Based on Southern hybridization, the differences in production levels between the two expression constructs did not depend on expression construct copy numbers. The fusion construct was expressed to higher or similar mRNA levels compared with the non-fusion construct, and therefore the difference between the constructs cannot be explained by transcription efficiency or mRNA stability (Fig. 2a). The cause of the lower production with the fusion construct most probably occurred at the post-translational level, because the fusion protein was retained inside the cells and degraded much more than the non-fused laccase (Fig. 1b). Two efficiently secreted proteins thus did not produce a well-secreted fusion protein in this case. One reason might be the presence of a linker sequence that might not have been optimal. Although a laccase protein species with about the same mobility as the mature laccase was observed inside the cells, along with multiple other degradation products, the fusion protein might not have been proteolytically cleaved precisely at the N-terminus of the mature laccase. This may have predisposed the remaining laccase to proteolysis.
M. albomyces laccase cDNA was expressed in T. reesei from two plasmids with the strong cbh1 promoter. One of the constructs contained the laccase cDNA alone with its own signal sequence and propeptide region. In the other construct, the laccase cDNA region encoding the mature enzyme was fused to the T. reesei gene encoding the hydrophobin HFBI. Both expression constructs yielded transformants that produced significant laccase activities. In shake-flasks, the highest production level was 230 mg l 2 1 from the non-fusion construct, whereas the activity levels from the fusion construct were about five times lower. Fusion to a secreted host protein has improved the heterologous production of, for example, murine Fab fragments (Nyysso¨nen et al., 1993) and a bacterial xylanase (Paloheimo et al., 2003) in T. reesei, but in our case this effect
The addition of copper to the T. reesei minimal medium had a positive effect on heterologous laccase production. Because the laccase was expressed under the cbh1 promoter, which is not activated by copper, the improved production levels were most probably not caused by higher transcription rates. In addition, no effect of copper addition on fungal growth was detected, which implies that the higher laccase yields may have been caused by improved folding of the active enzyme in the presence of elevated copper concentrations. The ability of added copper to improve correct folding of recombinant laccase has previously been detected in A. nidulans and A. niger expressing a laccase from Ceriporiopsis subvermispora (Larrondo et al., 2003). In addition, the importance of adequate copper levels for efficient heterologous laccase production has been reported in S. cerevisiae, where the overexpression of two copper-trafficking enzymes from Trametes versicolor led to significantly improved recombinant laccase yields (Uldschmid et al., 2003).
Unfolded protein response (UPR) is a signal-transduction pathway that reacts to accumulation of unfolded proteins in http://mic.sgmjournals.org
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the ER and induces genes involved in folding, degradation of proteins in the ER or their further transport from this compartment (Mori, 2003). Heterologous proteins often do not fold as efficiently as native ones, and thus their production can cause induction of the UPR pathway (Saloheimo et al., 1999). The possible induction of UPR, in other words the possible exposure of the host cells to secretion stress, by laccase expression in T. reesei was studied by Northern hybridization with the genes pdi1, bip1 and hac1 as probes (Fig. 2a). The mRNAs of the UPR target genes pdi1 and bip1 were not present at elevated levels as compared with the control, and the truncated form of the hac1 mRNA was not found in any of the strains, indicating that laccase expression did not cause severe secretion stress in T. reesei. In the case of the HFBI–laccase fusion strain this was somewhat unexpected, since rather extensive intracellular accumulation of the protein and its degradation products was detected (Fig. 1b). A possible explanation for this result could be that the fusion protein is not trapped in the ER but rather in other parts of the secretory pathway, e.g. the vacuole. The growth curves measured for the laccase-producing transformants in non-optimal pH conditions show that laccase expression from the non-fusion construct is somewhat harmful to the host (Fig. 2b), although no secretion stress response appears to be triggered in the transformant cells. The reduced growth at pH 6 could indicate that laccase production causes some additional stress for the host but this can only be seen under non-optimal growth conditions where other stress factors are also present. Another possibility is that the M. albomyces laccase already secreted to the growth medium may inhibit growth at higher pH values, because the laccase is most active at pH values above 5 (Kiiskinen et al., 2002).
the C-terminus. This is consistent with our finding that laccase activity increased in T. reesei shake-flask culture supernatant samples during storage at 4 u C. The involvement of proteolysis in activation of laccases has previously been shown with a Pleurotus ostreatus laccase (Palmieri et al., 2001). Another possible reason for the increase in laccase level at the late stage of the fermentation is that some of the laccase may have been trapped inside the cells and released as they started to autolyse.
Recombinant laccase was purified from the fermentation culture supernatant of T. reesei. The separation of laccase and the major secreted protein CBHI was achieved by hydrophobic interaction chromatography after cleaving the CBHI with papain. Papain cleaved CBHI between the cellulose-binding domain and the core protein (van Tilbeurgh et al., 1986), which resulted in altered hydrophobic properties. Papain digestion did not change the activity, size, or N- and C-terminal peptide sequences of M. albomyces laccase, confirming that this method was suitable for laccase purification. According to mass spectrometry, the molecular mass of recombinant laccase was only 0?9 kDa lower than that of native laccase, which indicates that T. reesei glycosylated laccase to the same extent as M. albomyces. In contrast, significant overglycosylation was observed when M. albomyces laccase was expressed in S. cerevisiae (Kiiskinen & Saloheimo, 2004).
It has been shown that M. albomyces laccase is processed at both its N- and C-termini (Kiiskinen & Saloheimo, 2004). The C-terminal processing is of special interest, because the truncated C-terminus protrudes inside the enzyme, potentially forming a plug to an O2/H2O exchange tunnel leading to the active site (Hakulinen et al., 2002). N- and C-terminal peptide sequence analyses of the purified recombinant laccase produced by T. reesei showed that this host is able to perform both of the processing steps correctly. When M. albomyces laccase was expressed in S. cerevisiae, the production levels were enhanced both by using yeast alpha-factor prosequence in the expression construct and by introducing a stop codon into the laccase cDNA at the C-terminal processing site (Kiiskinen & Saloheimo, 2004). This indicated indirectly that baker's yeast was not able to perform either of the processing steps of the laccase efficiently. Interestingly, the production curve of laccase in the T. reesei batch fermentation (Fig. 3) was rather different from that of cellulase production, even though the laccase gene was expressed from the major cellulase gene cbh1 promoter. Laccase activity in the culture supernatant increased for 40 h after cellulase production and fungal growth had ended due to exhaustion of the carbon source. This increase in laccase level could be related to activation of laccase by processing at
The purified recombinant laccase was biochemically characterized and compared to the wild-type laccase. The results for specific activities, pH optima, thermostabilities and redox potentials showed that M. albomyces laccase produced in T. reesei was similar to the native laccase. This was further verified by kinetic analysis with four different substrates. The parameters Km and kcat for both laccases were very similar. When compared to other laccases, M. albomyces laccase has a rather high Km value (0?28 mM) for the nonphenolic ABTS, as Km values around 0?03–0?05 mM have been observed for most fungal laccases (Xu et al., 1996; Chefetz et al., 1998; Garzillo et al., 1998; Schneider et al., 1999; Record et al., 2002). On the other hand, the Km values for the phenolic 2,6-DMP (0?005 mM) and syringaldazine (0?003 mM) were very low, indicating that phenolic compounds are better substrates for M. albomyces laccase than the commonly used ABTS. This was also observed when the rate of electron transfer was taken into account and the values for kcat/Km were compared between different substrates; the order of kcat/Km was: syringaldazine>2,6DMP>ABTS (Table 2). Guaiacol proved to be a poor substrate for M. albomyces laccase, as its Km value was as high as 0?9 mM. Relatively high Km values (0?4–5 mM) for guaiacol have also been measured with other fungal laccases (Chefetz et al., 1998; Garzillo et al., 1998).
Laccases have generally been rather difficult to produce in large amounts in heterologous hosts. For example, only about 20 mg P. radiata laccase l 2 1 was previously produced in a fermenter cultivation of T. reesei (Saloheimo & NikuPaavola, 1991). In shake-flasks, 19 mg Mt. thermophila
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laccase l 2 1 was produced in A. oryzae (Berka et al., 1997), and 70 mg P. cinnabarinus laccase l 2 1 in A. niger (Record et al., 2002). The highest reported production level of heterologous laccase hitherto was 135 mg C. cinereus laccase l 2 1 in a shake-flask cultivation of A. oryzae (Yaver et al., 1999). Laccase expression in the yeasts S. cerevisiae and Pichia pastoris has resulted in significantly lower yields than in filamentous fungi, and the highest laccase production levels in Pichia pastoris have been around 5–8 mg l 2 1 (Otterbein et al., 2000; Soden et al., 2002). The production levels reported in this work for M. albomyces laccase in T. reesei in shake-flask cultures (230 mg l 2 1 ), batch fermentations (290 mg l 2 1 ) and in the fed-batch fermentation (920 mg l 2 1 ) are thus the highest heterologous laccase expression levels reported so far. Comparable laccase yields have previously been achieved with homologous laccase production systems in a shake-flask cultivation of P. cinnabarinus which yielded 1000–1500 mg laccase l 2 1 (Lomascolo et al., 2003) and a fermenter cultivation of Trametes pubescens which yielded 700 mg laccase l 2 1 (Galhaup et al., 2002). The wild-type M. albomyces is not an efficient laccase producer and therefore heterologous expression of the lac1 gene was required in order to obtain high laccase amounts.
In addition to efficient production in T. reesei, expression of the M. albomyces laccase gene in S. cerevisiae has also given a relatively good yield as compared to other laccases produced in S. cerevisiae (Kiiskinen & Saloheimo, 2004). It is known that proteins from organisms closely related to the host are generally better produced than those from more distantly related organisms. Most of the laccases previously studied originate from the white-rot basidiomycetes, whereas the protein production hosts T. reesei, Aspergillus sp., P. pastoris and S. cerevisiae are ascomycetes. Therefore, the fact that M. albomyces is an ascomycete may be an important reason for the good production yields of its laccase. On the other hand, the highest reported expression levels of the ascomycetous Mt. thermophila laccase in A. oryzae were very modest (Berka et al., 1997). Thus it will be interesting to follow new data on ascomycete laccase production in ascomycetous production hosts as results become available. In this paper we have demonstrated a high level of expression of M. albomyces laccase in T.reesei, providing areliableandeconomicalmeans of producing this interesting enzyme for future studies.
ACKNOWLEDGEMENTS
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The authors thank Ella Cederlund at Karolinska Institutet, Stockholm, for C-terminal amino acid sequencing and Dr Annikka LinnalaKankkunen at the University of Kuopio for N-terminal sequencing. Dr Nisse Kalkkinen at the University of Helsinki is thanked for MALDI-TOF analyses. Seija Nordberg, Riitta Nurmi, Tarja Hakkarainen, and Outi Liehunen provided excellent technical assistance. This work is a part of the research programme 'VTT Industrial Biotechnology' (Academy of Finland; Finnish Centre of Excellence programme, 2000–2005, Project no. 64330) and it was financially supported by the National Technology Agency (Tekes), and the Neste Oy Foundation.
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Global Health Security Agenda: Action Packages
Preamble
In order to encourage progress toward these goals, the "Action Packages" concept was developed to facilitate regional and global collaboration toward specific GHSA objectives and targets. Following the May 2014 GHSA Commitment Development meeting in Helsinki countries identified eleven discrete GHSA Action Packages, which were discussed further at the August 2014 Global Infectious Diseases Meeting in Jakarta. All countries that support the GHSA are welcome to participate in one or more Action Packages and are asked to consider specific commitments across these areas on a national, regional, or global basis.
The Global Health Security Agenda (GHSA) is an effort by nations, international organizations, and civil society to accelerate progress toward a world safe and secure from infectious disease threats; to promote global health security as an international priority; and to spur progress toward full implementation of the World Health Organization (WHO) International Health Regulations 2005 (IHR), the World Organization for Animal Health (OIE) Performance of Veterinary Services (PVS) pathway, and other relevant global health security frameworks.
The 11 Action Packages in this document have been agreed upon by Action Package leaders and contributing countries, with the understanding that they may be changed or added to over time. Technical experts from countries around the world have worked collaboratively over the past months to shape these Action Packages and will continue to lead and implement them following the GHSA meeting at the White House on September 26, 2014. As of this date, 39 countries have committed to contribute to the Action Packages, and others are encouraged to join as the GHSA moves forward. In developing these Action Packages, the goal has been to translate political support into action and to recruit countries to join in working to achieve GHSA objectives.
The purpose of Action Packages and the underlying Prevent-Detect-Respond framework is to: •
These Action Packages are being publicly released at this stage to further increase understanding and encourage entities outside of government to take part in the GHSA as part of a whole-of-society approach. We encourage non-governmental stakeholders—including foundations, development banks and non-governmental organizations—to contribute to the development and implementation of these Action Packages. Purpose and Organization
Focus international discussion toward specific, coordinated actions in support of the GHSA; · Highlight measurable approaches countries can adopt to accelerate, monitor and report GHSA progress; and
* Provide a mechanism by which countries can make specific commitments and take leadership roles in the GHSA. Countries can consider commitments to one or more Action Packages and may agree to lead, co-lead or actively participate in work with other countries regionally or globally to implement a unified set of actions.
Each Action Package includes the relevant five-year target, an indicator by which to measure progress, desired impact, current country commitments, five-year action items, and lists of baseline assessment, planning, monitoring, and evaluation activities necessary to implement the action items. It is understood that each Action Package will evolve as current commitments are delivered and new commitments are pledged.
All countries are welcome and encouraged to lead or join any of the GHSA Action Packages. Progress in the development of GHSA commitments—including pledges to participate in Action Packages and to support the GHSA with other national and international activities—will be reviewed regularly, and gaps and next steps will be highlighted through the GHSA Steering Group and annual GHSA Ministerial going forward. Countries wishing to advance or assist others in GHSA activities and goals may also wish to coordinate with international organizations who, individually or collectively, have developed specific tools and/or programs that can be tailored to build capacity and address country development needs.
GHSA activities should be conducted in collaboration with relevant local, national, and international stakeholders and in coordination with the relevant activities of the WHO, Food and Agriculture Organization of the United Nations (FAO), OIE, and INTERPOL. Wherever practicable and strategic, GHSA Action Packages and commitments should reflect an appropriate level of multidisciplinary (e.g., "One Health") coordination to meet respective GHSA targets. Progress and Next Steps
Acronyms
antimicrobial resistance
World Health Organization
GHSA Antimicrobial Resistance Action Package (GHSA Action Package Prevent-1)
(1) Number of comprehensive plans to combat antimicrobial resistance agreed and implemented at a national level, and yearly reporting against progress towards implementation at the international level
Five-Year Target: Support work being coordinated by WHO, FAO, and OIE to develop an integrated and global package of activities to combat antimicrobial resistance, spanning human, animal, agricultural, food and environmental aspects (i.e. a one-health approach), including: a) Each country has its own national comprehensive plan to combat antimicrobial resistance; b) Strengthen surveillance and laboratory capacity at the national and international level following agreed international standards developed in the framework of the Global Action plan, considering existing standards and; c) Improved conservation of existing treatments and collaboration to support the sustainable development of new antibiotics, alternative treatments, preventive measures and rapid, point-of-care diagnostics, including systems to preserve new antibiotics. As Measured by:
(2) Number of countries actively participating in a twinning framework, with countries agreeing to assist other countries in developing and implementing comprehensive activities to combat antimicrobial resistance, including use of support provided by international bodies to improve the monitoring of antimicrobial usage and resistance in humans and animals.
Consistent with the WHO process to coordinate development of an AMR Global Action Plan:
Desired National Impact: Decisive and comprehensive action to enhance infection prevention and control activities to prevent the emergence and spread of AMR, especially among drug-resistant bacteria. Nations will strengthen surveillance and laboratory capacity, ensure uninterrupted access to essential antibiotics of assured quality, regulate and promote the rational use of antibiotics in human medicine and in animal husbandry and other fields as appropriate, and support existing initiatives to foster innovations in science and technology for the development of new antimicrobial agents. Country Commitments to Action Package: • Leading countries: Canada, Germany, Netherlands, Sweden, United Kingdom • Contributing countries: Australia, India, Indonesia, Italy, Japan, Norway, Portugal, Switzerland, Thailand, United States • Contributing international organizations: FAO, OIE, WHO Five-Year Action Items:
1. Develop a national action plan, based on a one health approach, to combat antimicrobial resistance which includes:
- measures for controlled and restrained use of antimicrobials, - actions to raise awareness of AMR issues in order to improve the effective use of antibiotics by public and professionals,
- best practice in hygiene and infection prevention measures, - the presence of reliable surveillance systems for antimicrobial resistances and antibiotic consumption, considering the different sectors: hospitals, outpatient facilities and the community as well as in veterinary medicine and in animal husbandry, - uninterrupted access to essential and affordable antibiotics of assured quality,
- measures that minimize the occurrence of residues of antibiotics and the spread of resistant bacteria in(to) the environment.
4. Ensure access to at least one reference laboratory for each country capable of identifying at least three of the seven WHO priority AMR pathogens using standardized, reliable detection assays, and reporting these results. Alternatively one reference laboratory for each of the three priority pathogens should be in place.
2. Develop and implement guidelines and standards for infection prevention. 3. Develop and use new guidelines or encourage use of existing guidelines, training and other resources to promote the prudent and restrained use of antimicrobials, in both human, animals and other areas when appropriate.
5. Support ongoing work with international organizations to develop and implement a harmonized approach for monitoring and surveillance of antimicrobial drug use and antimicrobial resistance in humans and animals, including interpretive criteria for susceptibility reporting across WHO, FAO, and OIE regional surveillance programs. Using this information, these organizations can strengthen outreach activities to influence health professionals (veterinary and human) on the need for early recognition of AMR and prudent use of antimicrobials to limit the spread of AMR.
6. Collaboration in international initiatives to encourage and accelerate the discovery and development of new generations of antibiotics, including new models for controlled distribution and use of these new antibiotics.
2. Analysis of the present status on the national level and identification of areas that need to be strengthened (e.g. surveillance systems, capacity and capability of existing laboratories for the diagnosis of AMR)
3. Identification of guidelines (e.g. from WHO) that can be adapted to the situation in the
7. Collaboration in international initiatives to encourage and accelerate the discovery and development of inexpensive and rapidly deployable, point-of-care diagnostics. Baseline Assessment and Planning Activities 1. Identification of relevant stakeholders spanning human, animal, agricultural, food and environmental aspects
country 4. Use WHO's IHR Monitoring Framework, OIE's PVS Pathway, and other appropriate instruments to identify countries' priorities for strengthening core competencies. Monitoring and Evaluation Activities 1. Introduce arrangements which are consistent with the WHO process to coordinate development of an AMR Global Action Plan
GHSA Zoonotic Disease Action Package (GHSA Action Package Prevent-2)
As Measured by: Identify the five zoonotic diseases/pathogens of greatest public health concern and strengthen existing surveillance systems for prioritized zoonoses.
Five-Year Target: Adopted measured behaviors, policies and/or practices that minimize the spillover of zoonotic diseases from lower animals into human populations.
Desired Impact: Implementation of guidance and models on behaviors, policies and practices to minimize the spillover, spread, and full emergence of zoonotic disease into or out of human populations prior to the development of efficient human-to-human transmission. Nations will develop and implement operational frameworks—based on international standards, guidelines, and successful existing models—that specify the actions necessary to promote One Health approaches to policies, practices and behaviors that could minimize the risk of zoonotic disease emergence and spread. Country Commitments to Action Package: • Leading countries: Indonesia, Vietnam • Contributing countries:
Georgia, Kenya, Sweden, United Kingdom, United States, Yemen
* Contributing international organizations:
Five-Year Action Items:
FAO, OIE, WHO
1. Emphasize One Health approaches across all relevant sectors of government with the goal of detecting and controlling zoonotic threats while they are still in animal populations. This approach should enhance national ability to meet international standards and improve the quality of human and animal health systems via the WHO IHR Monitoring Framework and the OIE PVS Pathway. 2. Implement joint IHR and PVS training programs for human and animal health services.
Actions shall be coordinated with FAO, OIE and WHO as relevant international organizations.
3. Increase the compatibility of existing animal and human diagnostics and surveillance data fields, avoiding the creation of new data systems wherever possible.
5. Support the implementation of national architecture for real-time bio-surveillance, spanning animal and human populations to support disease monitoring, reporting and analysis via biosurveillance of high-risk wildlife groups (i.e., birds, bats, etc.)
6. Actively address the proposal of core competencies and systems requirements (e.g., laboratory methods, surveillance data fields) for implementation of the surveillance system.
4. Introduce and advice national multi-sectoral policies and regulatory guidelines promoting poultry and livestock production and marketing practices that minimize the risk of zoonotic disease emergence, including food safety policies and guidelines as well as legislation reinforcing veterinary supervision of the use of antibiotics in animals.
7. Enhance, link, and increase analytic capability within disease reporting systems (WHO, WAHIS), to ensure that WHO, FAO, and OIE receive pertinent information.
8. Introduce an operational framework that supports multi-sectoral notification for outbreaks of suspected zoonotic origin in the early stage of emergence (prior to efficient human-to-human transmission). The framework should address outbreaks that occur in both animals and humans at a similar time and/or place.
2. Identify core competencies and systems requirements (e.g., laboratory methods, surveillance data fields) necessary for implementation of an operational framework, policies, guidelines and method of surveillance.
9. Introduce systems that promote complementary research, for public health purposes, and analysis within and across countries for enhanced prevention, detection and response activities for emerging zoonotic diseases. Baseline Assessment and Planning Activities 1. Use WHO's IHR Monitoring Framework and OIE's PVS Pathways as instruments to identify countries' priorities for strengthening core competencies.
frameworks to minimize the risk of zoonotic disease emergence and spread.
3. Determine where it will be possible to enhance surveillance and laboratory diagnostics for selected priority zoonotic diseases to aid in early detection. Such an approach would be preferable to the establishment of new electronic disease surveillance systems. Monitoring and Evaluation Activities 1. Monitoring activities through Implementation of WHO's IHR Monitoring Framework and the OIE's PVS Pathway. 2. Evaluate the implementation of appropriate One Health policies in national operational
GHSA Biosafety and Biosecurity Action Package (GHSA Action Package Prevent-3)
As Measured by: Number of countries who have completed/Completion of a national framework and comprehensive oversight system for pathogen biosafety and biosecurity, strain collections, containment laboratories and monitoring systems that includes identification and storage of national strain collections in a minimal number of facilities.
Five-Year National Target: A whole-of-government national biosafety and biosecurity 1 system is in place, ensuring that especially dangerous pathogens 2 are identified, held, secured and monitored in a minimal number of facilities according to best practices; biological risk management training and educational outreach are conducted to promote a shared culture of responsibility, reduce dual use risks, mitigate biological proliferation and deliberate use threats, and ensure safe transfer of biological agents; and country-specific biosafety and biosecurity legislation, laboratory licensing, and pathogen control measures are in place as appropriate.
Desired National Impact: Implementation of a comprehensive, sustainable and legally embedded national oversight program for biosafety and biosecurity, including the safe and secure use, storage, disposal, and containment of pathogens found in laboratories and a minimal number of holdings across the country, including research, diagnostic and biotechnology facilities. A cadre of biological risk management experts possesses the skillset to train others within their respective institutions. Strengthened, sustainable biological risk management best practices are in place using common educational materials. Rapid and culture-free diagnostics are promoted as a facet of biological risk management. The transport of infectious substances will also be taken into account. Country Commitments to Action Package: • Leading countries: Canada, Denmark, Kenya, Peru, Portugal, Spain • Contributing countries: Azerbaijan, Germany, India (to be confirmed), Jordan, Republic of Korea, United Kingdom, United States • Contributing international organizations: FAO, IAEA, INTERPOL, OIE, WHO Five-Year National Action Items:
program. 3. Develop, implement, and sustain a national oversight program for pathogen biosafety and biosecurity that will incorporate biological risk evaluations of the nation's biological entities; the creation of a legal framework and legal authorities; a multi-sectoral approach; the design and construction of the oversight program; the assessment and establishment of best practices to be put in place in laboratories and facilities; the training of national officials on biological risk evaluation; and existing security arrangements.
1. Develop and implement a strategic plan for biosafety and biosecurity. 2. Develop, modernize, enact, and sustain country-specific legislation to support a national
1 Biological Risk Management: The analysis of ways and development of strategies to minimize the likelihood of the occurrence of biorisks (i.e. the probability or chance that a particular adverse event, including accidental infection or unauthorized access, loss, theft, misuse, diversion or intentional release, possibly leading to harm, will occur). 2In this context, especially dangerous pathogens include biological agents and toxins capable of producing significant adverse health and economic effects due to an uncontrolled or intentional release within or outside the laboratory.
4. Establish a new (or mandate an existing) government agency to administer and enforce biosafety and biosecurity oversight systems; creation of the country's list of agents of concern; and development of best practices, information material and tools for government and other entities. Activities should be conducted to ensure that agents are identified, licensed, transported, secured, monitored, and disposed of in a minimum number of facilities with biosafety and biosecurity best practices in place.
2. Identify common educational training materials and personnel to be trained as trainers. Implement biological risk management training and educational outreach to promote a shared culture of responsibility, awareness and reduction of dual use biological risks. Develop tools and identify opportunities to assist trainees in implementing new skills at their institutions—or more broadly within their country or region—to train cadres of biological risk management professionals. Conduct national and/or regional training events.
5. Integrate field investigation and emergency response capability as an important part of the national program. Baseline Assessment and Planning Activities 1. Develop a strategic plan—informed by a policy framework and including best practices and model national programs—to guide the development and implementation of a national whole-of-government oversight program for pathogen biosafety and biosecurity.
3. Promote sustainable, rapid and culture-free diagnostic methods for biosurveillance as part of biological risk management and support development and training in such methods.
5. Share models, approaches and regional best practices to assist in developing and implementing legally embedded national programs for pathogen biosafety and biosecurity that would address risks posed by a range of activities involving pathogens: possessing, handling, using, producing, storing, permitting access to, transferring, importing, exporting, and releasing or otherwise abandoning. Assistance should include a nationwide assessment of risks in laboratories and facilities by trained biosafety and biosecurity evaluation officials, and where appropriate, biosafety and biosecurity enhancements. Legal authority must be provided to conduct these assessments, to develop elements of the biological risk management oversight program, to train officials in conducting biological risk assessments and identifying mitigating solutions to biological risks, and to implement sustainable programs of bio-risk assessment and oversight.
4. Work with other countries to develop a policy development protocol to be used to initiate the development and/or refinement of a national biosafety and biosecurity framework. This protocol will begin with an in-depth issues analysis to explore the following policy considerations: outstanding risks to public health and safety and national security (gap analysis); environmental scan of stakeholder groups and behavior profiling; international comparison; national and state challenges or limitations; social and economic considerations; required controls and authorities; options considered; recommended option for moving forward; and expected impact to stakeholders.
6. Strengthen and sustain biological risk management best practices with partner countries by training a qualified group of staff members at priority institutions using common educational materials, including biosafety and biosecurity components. Trainings can utilize existing curricula and training models. Newly trained personnel will maintain biological risk management training and training of other trainers with global partners. In-kind contributions will include the provision of expert trainers, materials, and common educational materials.
Monitoring and Evaluation Activities 1. Monitor and evaluate the impact of the national program and provide recommendations for future enhancements.
GHSA Immunization Action Package (GHSA Action Package Prevent-4)
As Measured by: At least 90% coverage of the country's fifteen-month-old population with at least one dose of measles-containing vaccine as demonstrated by coverage surveys or administrative data.
Five-Year Target: A functioning national vaccine delivery system—with nationwide reach, effective distributions, access for marginalized populations, adequate cold chain, and ongoing quality control—that is able to respond to new disease threats.
Desired Impact: Effective protection through achievement and maintenance of immunization against measles and other epidemic-prone vaccine-preventable diseases (VPDs). Measles immunization is emphasized here because it is widely recognized as a proxy indicator for overall immunization against VPDs. Countries will also identify and target immunization to populations at risk of other epidemic-prone VPDs of national importance (e.g., cholera, Japanese encephalitis, meningococcal disease, typhoid, and yellow fever). In the case of some diseases that are transferable from cattle to humans, such as anthrax and rabies, animal immunization should also be taken into account. Country Commitments to Action Package: • Leading countries: Italy, Portugal • Contributing countries: India, Pakistan, Republic of Korea, Saudi Arabia, United Arab Emirates, Yemen • Contributing international organizations: FAO, OIE, WHO Five-Year Action Items:
1. Conduct routine immunization activities, focusing on measles coverage of fifteen-month-olds. 2. Establish activities that address immunity gaps for measles and other epidemic-prone VPDs by strengthening routine immunization services and implementing supplementary immunization activities (SIAs). 3. Implement case-based surveillance according to minimum standards. 4. Implement a communication plan to accompany immunization campaigns and practices.
Actions will be coordinated, as appropriate, with relevant international organizations including FAO, OIE and WHO.
5. Detect and investigate measles and other VPD outbreaks that occur. 6. Provide access to a laboratory in a VPD laboratory network for diagnostic confirmation in order to strengthen capacity for early detection of measles and other epidemic-prone VPDs.
9.
10.
Achieve and document conduct of safe injection practices.
7. Strengthen effective outbreak response immunization for measles and other epidemic-prone VPDs by a) improving capacity to conduct high-quality SIAs, including development and maintenance of detailed and validated microplans, rigorous selection and training of vaccination teams, identification and dissolution of barriers to vaccination within older age groups and vulnerable populations; and b) providing access to vaccine stockpiles. 8. Achieve and document sufficient vaccine production.
Baseline Assessment and Planning Activities
Achieve and document vaccination of health care workers.
1. Assess and document past and current achievement of national and subnational vaccination coverage targets for measles and other epidemic-prone VPDs by conducting vaccine coverage surveys and serosurveys when appropriate, with an initial focus on measles coverage.
3. Identify laboratory capacities necessary to address VPDs, and identify the applicability of using Global Laboratory Network laboratories to respond to emerging infectious diseases with new diagnostics.
2. Identify barriers to improving efficiencies in the prevention of VPDs (e.g., poor bacteriology capacity, prior antibiotic use, improper specimen collection/handling/transport, lack of standardization of laboratory procedures, barriers to vaccination among older age groups, poor quality control, limited human resources, poor network coordination, poor communications).
epidemiology, laboratory, and data management. 6. Identify ways to leverage countries' immunization priorities with regard to the Millennium Development Goals and various GAVI Alliance initiatives.
7. Identify instruments to use (e.g., the new user-friendly tool for district-level measles risk assessment developed by the United States Centers for Disease Control with a grant from the Bill and Melinda Gates Foundation). Monitoring and Evaluation Activities 1. Conduct appropriate monitoring and evaluation of the implementation and impact of VPD immunization, with an initial focus on 90% measles-containing vaccine (MCV1) coverage and later considering post-introduction evaluations for second dose (MCV2) coverage.
4. Work with the Expanded Program on Immunization to identify the applicability of routine immunization in endemic situations and identify gaps. 5. Identify areas of improvement for VPD surveillance components including
GHSA National Laboratory System Action Package (GHSA Action Package Detect-1)
As Measured by: A nationwide laboratory system able to reliably conduct 3 at least five of the 10 core tests 4 on appropriately identified and collected outbreak specimens transported safely and securely to accredited laboratories 5 from at least 80 percent of districts in the country.
Five-Year Target: Real-time biosurveillance with a national laboratory system and effective modern point-of-care and laboratory-based diagnostics.
Desired Impact: Effective use of a nationwide laboratory system capable of safely and accurately detecting and characterizing pathogens causing epidemic disease, including both known and novel threats, from all parts of the country. Expanded deployment, utilization, and sustainment of modern, safe, secure, affordable and appropriate diagnostic tests or devices. Country Commitments to Action Package: • Leading countries: South Africa, Thailand, United States • Contributing countries: Canada, China, Ethiopia, Finland, Georgia, Israel, Japan, Malaysia, Mexico, Peru, Switzerland, United Kingdom, Yemen • Contributing international organizations: FAO, OIE, WHO Five-Year Action Items:
1. Evaluate capacity needed at national reference, provincial, and district laboratories and implement a five-year approach based on experience with Integrated Disease Surveillance and Response (IDSR) and other ongoing platforms to build capacity at each level.
Actions will be coordinated, as appropriate, with relevant international organizations including FAO, OIE and WHO.
2. Integrate or increase collaboration among human and animal laboratory systems for a One Health approach. 3. Field-test novel point-of-collection diagnostics appropriate for screening outbreak specimens.
4. Train biomedical engineers in-country to certify biosafety cabinets and repair/maintain general laboratory equipment (centrifuges, fridges, freezers, incubators).
5. Systematically submit microbial samples or isolates to the public health reference laboratory/ies at the regional or national level.
3 The laboratory results must be as accurate as possible, all aspects of the laboratory operations must be reliable, and reporting must be timely in order to be useful in a clinical or public health setting. Laboratory quality can be defined as accuracy, reliability and timeliness of reported test results.
4 The list of 10 core tests in each country includes six testing methods selected according to the IHR immediately notifiable list and the WHO Top Ten Causes of Death in low-income countries: polymerase chain reaction (PCR) testing for Influenza virus; virus culture for poliovirus; serology for HIV; microscopy for mycobacterium tuberculosis; rapid diagnostic testing for plasmodium spp.; and bacterial culture for Salmonella enteritidis serotype Typhi. These six methods are critical to the detection of epidemic-prone and emerging diseases, and competency in these methods is indicated by the successful testing for the specific pathogens listed. The remaining four tests should be selected by the country on the basis of major national public health concerns (see Ijaz et al., "What gets measured gets done. Emerging Infectious Diseases July 2012;18:1054-7). 5 For example, accredited laboratories could be those that have completed appropriate activities according to the Stepwise Laboratory Quality Improvement Process Towards Accreditation (SLIPTA) checklist; the Strengthening Laboratory Management Towards Accreditation (SLMTA) accreditation process; International Organization for Standardization (ISO) standards (e.g., 9001, 15189, and 17025); and/or WHO disease-specific programs (e.g., measles and polio).
6. Establish a laboratory information management system that links with the national disease reporting system.
10. Identify mechanisms to integrate and sustain national and regional diagnostic capability, including acquisition of reagents and media and access to reference laboratories to support ongoing validation of point-of-care diagnostic tests. Baseline Assessment and Planning Activities 1. Use WHO's IHR Monitoring Framework and OIE's PVS Pathway (including IHR/PVS laboratory assessment tools) and other appropriate instruments to identify countries' priorities for strengthening core competencies.
7. Provide infrastructure improvements, security enhancements, freezers, and a pathogen access control software system to archive and protect collections of dangerous pathogens. 8. Implement step-wise improvement toward accreditation at the district and central levels.
9. Implement basic microbiology training for district-level laboratory technicians, including modules on specimen collection, packaging, transport, and disposal.
2. Identify the five priority test-pathogen combinations to form the basis for nationwide laboratory system strengthening efforts. 3. Determine the level of diagnostic capability practical and needed at each level of the
6. Map all laboratories in the country with geographic information system (GIS) technology, based on population density and disease burden, and calculate the number of additional testing facilities or specimen referral routes (based on the country's tiered health care system) needed to ensure population access, especially by rural and vulnerable populations, to diagnostic testing and care facilities. Mapping should include laboratory capacities, networks, and partner domains and competencies. Calculate the number of additional strategic sites necessary for storage of rapid tests for priority diseases.
public health hierarchy from national to district. 4. Obtain results from prior laboratory assessments and ensure that future assessments
are not conducted unless action will follow. 5. Develop national plans for developing and transitioning diagnostic approaches and training.
7. Identify existing system vulnerabilities (e.g., laboratory commodity supply chain weaknesses).
building actions to offer to countries and to contribute to measurable progress.
8. Develop national protocols to address specimen handling (safe and secure collection, packaging, transport, and disposal), controlled archiving, and import/export procedures. Identify public-private partnerships that could support a more robust specimen transport system and/or use of mobile health technology for laboratory result reporting. 9. Develop a complete toolkit of best practices, guidance, lessons learned and capacity
levels. 12. Develop a catalog of diagnostics, both currently available and in development, which may be of use to partners interested in incorporating new diagnostic capabilities. Monitoring and Evaluation Activities
10. Identify and/or define performance measures, target laboratories for phased improvements, tier-specific testing capacities, and result reporting pathways and identify existing performance measures for laboratory-based disease surveillance. 11. Identify and/or develop appropriate accreditation programs at the district and central
1. Train long-term laboratory assessors and conduct biannual proficiency panel testing on testing capacities defined by tier at each testing site. 2. Conduct proficiency testing for animal diseases with guidance from FAO or OIE
reference laboratories. 3.
Monitor turn-around time and laboratory result reporting and ensure that they are
within defined limits. 4. Review system performance during outbreaks or execute drills to assess performance of system improvements at least biannually.
GHSA Real-Time Surveillance Action Package (GHSA Action Package Detect-2/3)
As Measured by: Surveillance for at least three core syndromes 6 indicative of potential public health emergencies conducted according to international standards.
Five-Year Target: Strengthened foundational indicator- and event-based surveillance systems that are able to detect events of significance for public health, animal health and health security; improved communication and collaboration across sectors and between sub-national, national and international levels of authority regarding surveillance of events of public health significance; improved country and regional capacity to analyze and link data from and between strengthened, real-time surveillance systems, including interoperable, interconnected electronic reporting systems. This can include epidemiologic, clinical, laboratory, environmental testing, product safety and quality, and bioinformatics data; and advancement in fulfilling the core capacity requirements for surveillance in accordance with the IHR and the OIE standards.
Desired Impact: A functioning public health surveillance system capable of identifying potential events of concern for public health and health security, and country and regional capacity to analyze and link data from and between strengthened real-time surveillance systems, including interoperable, interconnected electronic reporting systems. Countries will support the use of interoperable, interconnected systems capable of linking and integrating multi-sectoral surveillance data and using resulting information to enhance the capacity to quickly detect and respond to developing biological threats. Foundational capacity is necessary for both indicator-based (including syndromic) surveillance and event-based surveillance, in order to support prevention and control activities and intervention targeting for both established infectious diseases and new and emerging public health threats. Strong surveillance will support the timely recognition of the emergence of relatively rare or previously undescribed pathogens in specific countries. Country Commitments to Action Package: • Leading countries: Georgia, Norway • Contributing countries: Azerbaijan, Ethiopia, Finland, Indonesia, Israel, Italy, Kenya, Mexico, United Kingdom, United States, Yemen • Contributing international organizations: FAO, OIE, WHO
6 Internationally recognized standards for syndromic surveillance are available for the following five syndromes: severe acute respiratory syndrome, acute flaccid paralysis, acute hemorrhagic fever, acute watery diarrhea with dehydration, and jaundice with fever. The three syndromes chosen will depend on national disease control priorities. These surveillance systems should include early warning surveillance data and laboratory findings, which should be analyzed by trained epidemiologists (see Ijaz et al., "What gets measured gets done. Emerging Infectious Diseases July 2012; 18:1054-7).
Five-Year Action Items:
1. Collaborate with partner countries, FAO, OIE, WHO and other relevant partner organizations to adopt and implement agreed upon standards for surveillance data.
Actions will be coordinated, as appropriate, with relevant international organizations including FAO, OIE and WHO.
reference laboratories at the national and international levels.
2. Accelerate improvement and implementation of syndrome- and/or event-based surveillance systems, including those related to food and drug safety e.g. through the IDSR framework and guidelines or similar existing programs. Such systems will include opportunities for international or multi-sectoral cooperation. 3. Establish or improve lines of communication with public health laboratories, including
4. Establish links to an international reference network for the identification and verification of
6. Develop the appropriate technical mechanisms to integrate the surveillance data feeds from different sectors for expert analysis and interpretation to benefit decision-makers at relevant levels of government and/or a central national hub.
emerging pathogens that cannot be identified within the country. 5. Strengthen or, if needed, develop surveillance systems that reach across all sectors of government to transmit standardized electronic surveillance data from regional, district, and community levels to a central national hub.
8. Sustain indicator-based surveillance, including syndromic surveillance, and event-based surveillance through training workshops, development of guidelines, provision of expert trainers, materials, and curricula, or other contributions in kind.
7. Coordinate event-based surveillance with existing reference microbial laboratory networks as well as WHO IHR notification systems and national focal points, and through notification of OIE listed diseases.
11. Support other countries in the establishment and/or strengthening of national public health surveillance systems as requested by the IHR paragraph 44 and consistent with Article X of the Biological and Toxin Weapons Convention.
9. Contribute to an international framework document for assessment of surveillance systems. 10. Share lessons learned and pool resources on a regional basis for more efficient reporting, investigation and response.
2. Identify gaps in surveillance and diagnostic capacity and develop a national strategy for addressing identified weaknesses.
3. Identify and promote information technology solutions in countries and across regions that strengthen routine and event-based surveillance through timely and accurate data capture, dissemination, and response. Create an inventory of current information technology (IT) systems and work to ensure interoperability among them, ensuring that parallel electronic systems are not created.
12. Collaborate with FAO, OIE and WHO to harmonize standards of reporting, quality of data, and IHR compliance. Baseline Assessment and Planning Activities 1. Convene a technical discussion with FAO, OIE, WHO and partner countries to develop and implement minimum standards for surveillance data, and review existing tools and systems for surveillance, and promote a common understanding, integration, and interoperability among all relevant sectors of government.
4. Determine the prevalence of the 3 core pathogens and of those other pathogens that present as similar syndromes (e.g., acute nonspecific febrile illness) in each major geographical region of the country.
5. Define the epidemiologic objectives/targets for surveillance, develop guidelines and job aids, and train health professionals prior to introducing or amending IT activities.
6. Identify opportunities to utilize existing surveillance guidelines such as the IDSR framework and the WHO's guidelines for implementation of early warning and response. 7. Perform risk assessment. Monitoring and Evaluation Activities 1. Evaluate effectiveness of surveillance system enhancements.
GHSA Reporting Action Package (GHSA Action Package Detect-4)
As Measured by: Number of countries trained for reporting of potential public health events of international concern to WHO and to other official reporting systems such as OIE-WAHIS. (and/or) Number of National IHR Focal Points connected to the learning package on reporting to WHO.
Five-Year Target: Timely and accurate disease reporting according to WHO requirements and consistent coordination with FAO and OIE.
Desired Impact: Countries and their National IHR Focal Points, OIE Delegates, and WAHIS National Focal Points will have access to a toolkit of best practices, model procedures, reporting templates, and training materials to facilitate rapid (within 24 hours 7 ) notification of events that may constitute a PHEIC to WHO / listed diseases to OIE and will be able to rapidly (within 24/48 hours 8 ) respond to communications from these organizations. Country Commitments to Action Package:
FAO, OIE, WHO
* Leading countries:
* Contributing countries:
* Contributing international organizations:
France
Israel
Five-Year Action Items:
2. Develop a toolkit of best practices, model procedures, reporting templates, and training materials, which will include the OIE notification obligations as appropriate and be distributed by WHO to all States Parties to the IHR. Monitoring and Evaluation Activities 1. Evaluation consistent with the WHO process to assess IHR implementation by State Parties and with the OIE PVS Pathway.
Actions will be coordinated, as appropriate, with relevant international organizations including FAO, OIE and WHO. Baseline Assessment and Planning Activities 1. Utilize existing data and new technical consultations with WHO, in liaison as appropriate with OIE/FAO, to assess best practices at the national or regional levels, and review barriers that impact the timeliness, accuracy, and transparency of reporting.
7 According to IHR article 6 and OIE Terrestrial Animal Health Code, Chapter 1,1 - Article 1,1,3.
8 According to IHR article 10.
GHSA Workforce Development Action Package (GHSA Action Package Detect-5)
As Measured by: One trained field epidemiologist per 200,000 population, and one trained veterinarian per 400,000 animal units (or per 500,000 population), who can systematically cooperate to meet relevant IHR and PVS core competencies.
Five-Year Target: A workforce including physicians, veterinarians, biostatisticians, laboratory scientists, farming/livestock professionals, and at least 1 trained field epidemiologist per 200,000 population, who can systematically cooperate to meet relevant IHR and PVS core competencies.
Desired Impact: Prevention, detection, and response activities conducted effectively and sustainably by a fully competent, coordinated, evaluated and occupationally diverse multi-sectoral workforce.
* Contributing international organizations:
Country Commitments to Action Package: • Leading countries: Jordan, Thailand • Contributing countries:
Ethiopia, Finland, Saudi Arabia, United States, Yemen
Five-Year Action Items:
FAO, OIE, WHO
2. Establish and strengthen rigorous, sustainable training programs for public and veterinary health professionals. Utilizing established ministerial relationships and existing programs such as the Field Epidemiology Training Program (FETP), efforts should emphasize practical, handson experience and provide mentorship, guidance, and technical expertise to support Ministry of Health, Ministry of Agriculture and other officials. Areas of competency will include field-based epidemiologic methods (including outbreak investigations, planned epidemiologic studies, and public health surveillance analyses and evaluations), evidence-based decision making, development of effective public health programming, and fulfillment of core IHR and PVS core competencies, leading to the development of timely and effective public health interventions. 3. Strengthen national networks to share resources, scientific data, and best practices and to
Actions will be coordinated, as appropriate, with relevant international organizations including FAO, OIE and WHO. 1. Implement the workforce development strategy and plan.
enhance the country's ability to fulfill relevant IHR and PVS core competencies. 4. Strengthen international and regional networks to share resources (trainers, training material, etc.), scientific data, and best practices with other countries. 5. Foster opportunities for joint investigations, trainings and epidemiological studies among neighboring countries.
6. Foster and expand the public health workforce at the district and provincial levels. Expedite progress on the goal of at least 1 trained field epidemiologist per 200,000 population by expanding basic and intermediate-level FETPs via a tiered approach to produce well-trained public health workers capable of conducting timely outbreak detection and investigation, public health response, and public health surveillance.
Baseline Assessment and Planning Activities 1. Identify and collaborate with partners in the Ministry of Health, Ministry of Agriculture, public health institutes and other relevant local, national, and international entities.
Monitoring and Evaluation Activities 1. Determine whether a national strategic plan is in place. 2. Monitor the number of trained public and veterinarian health professionals graduating annually from each level (beginner, intermediate, and advanced) of the Field Epidemiology Training Program. 3. Monitor the outputs conducted by participants and programs for quantity (process) measures, impact measures and relevancy to health security.
2. Create a workforce development strategy and plan to strengthen all levels of national public health systems and build capacity system-wide and in critical disease-specific programs. The plan should include physicians, veterinarians, biostatisticians, entomologists, and laboratory scientists and feature a budget with identified funding sources. The plan should result in at least one trained field epidemiologist per 200,000 population, capable of using data to prevent, detect and respond to well-known public health threats and emerging infectious diseases of human and animal origin. 3. Establish a Field Epidemiology Training Program.
GHSA Emergency Operations Centers Action Package (GHSA Action Package Respond-1)
Desired Impact: Effective coordination and improved control of outbreaks as evidenced by shorter times from detection to response and smaller numbers of cases and deaths. Country Commitments to Action Package: • Leading countries: Malaysia, Turkey • Contributing countries: Ethiopia, Kenya, Saudi Arabia, United Kingdom, Vietnam • Contributing international organizations: FAO, OIE, WHO Five-Year Action Items:
Five-Year Target: Every country will have a public health Emergency Operations Center (EOC) functioning according to minimum common standards; 9 maintaining trained, functioning, multisectoral rapid response teams (RRTs) 10 and "real-time" biosurveillance laboratory networks and information systems; 11 and trained EOC staff capable of activating a coordinated emergency response 12 within 120 minutes of the identification of a public health emergency. As Measured by: Documentation that a public health EOC meeting the above criteria is functioning.
Actions will be coordinated, as appropriate, with relevant international organizations including FAO, OIE and WHO.
Fire, EPI-X, and Epi Info) for use in the national EOC.
1. Conduct trainings and exercises on GHSA capabilities with regional partners. 2. Establish or upgrade physical space for the national public health EOC to render it immediately accessible to the lead public health authority, with adequate space for a broad multi-sectoral response team; reliable power and communications; and capability to convene participants from ministries and other national and multinational partners as appropriate. 3. Install and train staff on key applications (including but not limited to WebEOC, Red Sky, Dragon
management topics.
4. Designate and train personnel—including technical subject matter experts (e.g., physicians, veterinarians, epidemiologists, microbiologists) as well as support staff—and logistically commit to their rapid deployment as directed by the EOC (e.g., with vehicles and allowances necessary to transport personnel). 5. Develop and field-test distance learning tools to train staff on public health emergency
6. Develop train-the-trainer capacity and establishment of regional centers for advanced training to sustain and continuously enhance public health emergency management workforce skills.
9
10 Rapid response teams (RRTs) are rostered, trained, multidisciplinary teams able to deploy to a public health emergency in any part of the country within 24 hours to investigate and characterize the epidemic, evaluate patients, collect clinical specimens, oversee containment measures, and communicate with public health authorities.
"Minimum common standards" are defined as emergency management program standards such as the International Organization for Standardization (ISO) 22300 family of standards or national equivalents. WHO's Emergency Response Framework could also be considered as a source of standards.
11 A "real-time" network or system is one in which information generated by one node in the network or system can be distributed to another node within the network or system within 60 minutes.
12 "Activating a coordinated emergency response" is defined as conducting a first conference call or meeting including all relevant emergency management sectors and functions (e.g., command/management, operations, planning, logistics, administration/ finance, and communications).
7. Establish One Health Committees with legislative support and cooperation between Ministries of Health and Agriculture.
9. Install EOC infrastructure. This will include hardware and software to enable emergency management functions as well as software to enable data collection, analysis, and display.
8. Ensure comprehensive emergency management training for core EOC leadership at the Ministries of Health and Agriculture. In collaboration with other key stakeholders, develop distance learning tools to train staff on public health emergency management topics. With international support, field test tools and sponsor visiting fellows for in-depth public health emergency management training at relevant national and international institutions.
4.
10. Ensure connectivity to public health surveillance and laboratory information systems in order to facilitate public health response decision making. Baseline Assessment and Planning Activities 1. Develop an appropriate planning framework. 2. Review national laws and authorities enabling public health emergency management and define the mission of the public health EOC. 3. Identify and establish liaisons with all relevant government ministries.
Develop standards for staff competencies, infrastructure, and EOC systems.
5. Develop procedures and protocols for EOC operations.
6.
Develop a country sustainability plan for EOC operations.
10. Conduct an exercise on GHSA capabilities with regional partners to determine performance baselines. Monitoring and Evaluation Activities 1. Test the proficiency of personnel—including technical subject matter experts (e.g.,
7. Prepare an inventory of external stakeholders' activities. 8. Convene technical consultations to review best practices, lessons learned, and tools under development for EOC and RRT operations. 9. Conduct national training and exercises to determine performance baselines.
physicians, veterinarians, epidemiologists, microbiologists) as well as support staff. 2. Conduct communications exercises between the national EOC and all stakeholders to enhance sharing of public health information.
3. Conduct after action reviews of all exercises and live activations of all EOC and RRT functions, and implement a capacity improvement plan using recommendations from the reviews.
GHSA Linking Public Health with Law and Multisectoral Rapid Response Action Package (GHSA Action Package Respond-2)
As Measured by: Evidence of at least 1 response within the previous year that effectively links public health and law enforcement, OR a formal exercise or simulation involving leadership from the country's public health and law enforcement communities.
Five-Year Target: In the event of a biological event of suspected or confirmed deliberate origin, a country will be able to conduct a rapid, multi-sectoral response, including the capacity to link public health and law enforcement, and to provide and/or request effective and timely international assistance, including to investigate alleged use events.
Desired Impact: Development and implementation of a memorandum of understanding (MOU) or other similar framework outlining roles, responsibilities, and best practices for sharing relevant information between and among appropriate human and animal health, law enforcement, and defense personnel and validation of the MOU through periodic exercises and simulations. In collaboration with FAO, International Criminal Police Organization (INTERPOL), OIE, WHO, individual Biological and Toxin Weapons Convention States Parties (and where appropriate the Implementation Support Unit), the United Nations Secretary-General's Mechanism for Investigation of Alleged Use of Chemical and Biological Weapons (UNSGM), and other relevant regional and international organizations as appropriate, countries will develop and implement model systems to conduct and support joint criminal and epidemiological investigations in the event of suspected biological incidents of deliberate origin. Country Commitments to Action Package: • Leading countries: Republic of Korea, Peru • Contributing countries: Australia, Canada, Indonesia, Israel, Malaysia, Portugal, United Kingdom • Contributing International Organizations: FAO, INTERPOL, OIE, WHO Five-Year Action Items:
1. Establish MOUs or other similar policy frameworks between and among health, agriculture, defense, security and law enforcement sectors at appropriate levels of government, and with relevant regional and international organizations. MOUs will include triggers for information sharing, methods by which information will be shared, guidance for addressing challenges and seeking external assistance, and parameters for joint investigations and interviews.
Actions will be coordinated, as appropriate, with relevant international organizations including FAO, OIE and WHO.
2. Conduct annual trainings for security, public health, and animal health officials to increase capacity to respond effectively to biological attacks. Ministry of Defense personnel should also join, as they are often key stakeholders in the management of national disasters and emergencies, and international partners with relevant expertise and mandates should be invited to participate.
3. Promote programmes and other assistance packages to help develop national and international capacities to support the building and maintenance of an effective operational capability for the UNSGM, to include i) logistics capabilities, development and testing of protocols and procedures, ii) identification and training for national experts in the diverse range of relevant disciplines required, and iii) helping to build improved and more extensive laboratory analytical capabilities to deal with biological samples (human, animal and plant) that could be collected in an investigation of alleged deliberate use of biological agents. Baseline Assessment and Planning Activities 1. Identify the relevant ministries or agencies to include the multi-sectoral response in case of biological event of suspected or confirmed deliberate origin.
2. Identify the ministry or agency to conduct criminal investigation and epidemiological investigation, respectively. 3. Review national laws and authorities to select a coordinating ministry or commission
5. Develop and share a best practices toolkit for training. 6. Conduct a scenario-based exercise (table-top or functional) under supervision of a coordinating ministry or commission. Monitoring and Evaluation Activities 1. Conduct an annual multi-sectoral table-top or functional exercise with all activities covered under procedures and protocols 2. Review the result of an exercise with higher level government official's attendance.
4. Develop procedures and protocols to respond bio-threats including risk communication for experts and general public, rapid response team with on-site rapid testing capacity supporting the development of international capacity to respond to deliberate disease events including Mechanism for Investigation of Alleged Use of Chemical and Biological Weapons (UNSGM).
GHSA Medical Countermeasures and Personnel Deployment Action Package (GHSA Action Package Respond-3)
As Measured by: Evidence of at least 1 response to a public health emergency within the previous year that demonstrates that the country sent or received medical countermeasures and personnel according to written national or international protocols, OR a formal exercise or simulation that demonstrates these things.
Five-Year Target: A national framework for transferring (sending and receiving) medical countermeasures and public health and medical personnel among international partners during public health emergencies.
Desired Impact: Countries will have the necessary legal and regulatory processes and logistical plans to allow for the rapid cross-border deployment and receipt of public health and medical personnel during emergencies. Regional collaboration will assist countries in overcoming the legal, logistical and regulatory challenges to deployment of public health and medical personnel from one country to another. Country Commitments to Action Package:
*
Chile
Contributing countries:
Canada, Israel
* Leading countries:
* Contributing international organizations:
Five-Year Action Items:
FAO, OIE, WHO
1. Establish regional collaboration with other countries and FAO, OIE and WHO regional offices to share information about public health and medical personnel to facilitate cross-border resource deployment during emergencies. 2. Resolve logistical and other problems inhibiting the cross-border deployment of public health
Actions will be coordinated, as appropriate, with relevant international organizations including FAO, OIE and WHO.
and medical personnel during emergencies.
2. Identify ongoing and potential opportunities for and challenges to the cross-border deployment of public health and medical personnel, including legal, logistical and/or regulatory matters. Monitoring and Evaluation Activities
Baseline Assessment and Planning Activities 1. Develop regional toolkits including model liability language or legislation, processes for expediting border crossings during emergencies, and pre-established funding or logistical arrangements to facilitate deployments.
1. To be determined.
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Interviewee:
Jane Dewey
Interviewers: Abigail Cote and Riya Shah
Date: October 22, 2018
Transcribers: Abigail Cote and Riya Shah
Overseen By: Profs. Carl Robert Keyes and Lucia Knoles, Assumption College
Abstract: Jane Dewey was born in Wilkinsburg, Pennsylvania in 1931. Jane grew up in New Brighton, Pennsylvania and lived on a piece of property that her family had owned for five generations. After attending New Brighton's primary and secondary schools, Jane went to Abbot Academy and finished her education at Wellesley College in Massachusetts where she obtained a political science degree. After graduation, she married Henry, moved to Worcester, Massachusetts, had three girls, and was a stay at home mother. When her children were grown, Jane worked at the Ben Franklin Bookstore where she was introduced to a book composed of Civil War letters. These letters intrigued Jane which led her to Harvard University and the American Antiquarian Society where she researched letters from the 1840s left behind by Henry's grandfather. It took her five years to analyze these manuscripts and to this day Jane continues to volunteer in their manuscript department. She also reveals her marathon training and qualifying for the Boston Marathon at age 53.
AC: Do we have your permission to record the oral history and, if yes, can you state your name and the date?
JD: Yes, Yes Jane Dewey, October 22, 2018.
AC: Thank you. What is your full name including both maiden name and married name if applicable?
JD: Jane Kenah Dewey.
RS: When were you born?
JD: 1931.
AC: Have you ever been married?
JD: Yes.
AC: And what's the name of your husband?
JD: Henry Dewey.
RS: Do you have any children?
30 Elm Street – Worcester, MA 01609 – [email protected]
JD: Yes. Three daughters.
RS: What are their names?
JD: Jane [M. Dewey], Ann [D. Hofmann] and Sarah [Jensen].
AC: Do you have any grandchildren?
JD: Yes, two and they are Christopher Hofmann and Francie Hofmann
RS: What cultures or ethnicities you identify with?
JD: Caucasian.
AC: Tell me about your parents?
JD: [laughs] Well, one nice thing was that they lived a long time. Mother [Sarah Patton Kenah] died at 99. She came – they were both from Western Pennsylvania and mother just came up here after my father [Roland M. Kenah] died at 89, came up here because I was here and she lived at the Willows in Northborough, My mother and father – well, I will say my life was, I don't know how much do I embroider? They were either from Pittsburgh [Pennsylvania], mother was from Pittsburgh [Pennsylvania] and my father was New Brighton, Pennsylvania which is 40 miles outside. And they married and my father worked at Westinghouse in Pittsburg, he was an electrical engineer. He expected to stay there and I was born and they picked out a place to live. And the Depression hit and he was let go at Westinghouse because last in first out. So he didn't have much [resigned laugh] options. Actually, he took the option he had which was to move back home into New Brighton [Pennsylvania] where he was from and where his father had a small tube company, collapsible tube company. They made toothpaste tubes and such and so it was temporarily that we moved back to New Brighton [Pennsylvania]. I was one or two years old and we moved into the house that my grandmother had lived in. She owned it but didn't live in it and it was an apartment and we moved into the second floor. My father went to work temporarily for his father and the temporarily was forever [laughs] because at the end of the Depression pretty soon came World War II and that was an industry that was important and my father stayed there. And we took over the whole house, the second floor and my brother the third and my sister was born and we took over the whole house which is kind of fun. I was the fifth generation to live on that lot in New Brighton. The first was my great grandmother who came as a widow. She was a Quaker from Negley, Ohio and she was a widow, so there were lots of Quakers in Brighton [Pennsylvania]. And she moved into the house which had been a Quaker schoolhouse I guess and then that house burned and another smaller house was built and moved and on that lot my grandfather when he got married—I am speaking of my great grandmother who was my grandmother's side of the family but my grandfather who grew up halfway up the block, you know, that's the way things were. Anyway he was in the lumber business and built a
proper big Victorian house. So it's kind of fun even though it wasn't the same house I was the fifth generation to live on that lot. Which I think mother—I'm sure mother was very sad to live in this little 9000 people population. She loved people and she certainly made the best of it but for me it was great to grow up in a little town, wonderful, I loved it. So, my father stayed there and the company built a new factory which is at Rochester nearby and my family when I got married sold the house and built a little house in Beaver, Pennsylvania which is nearby so their life centered around Beaver Western Pennsylvania but I left. Everybody left [laughs] that's the thing when I think about it my grandmother's era the family lived in the block and everybody's family and now I have a cousin in New Mexico, cousin in Florida, my sister in Texas and I am here and there is one remote cousin left in Brighton.
AC: So where have you lived during your life and like in what neighborhood and what experiences did you have there?
JD: Well I just told you about the house where I lived and the town I lived. And I went to the schools there through freshman year in high school and then my mother who had seen the broader world [laughs] she… well the high school wasn't terrific, it really wasn't, and she thought I wasn't working as hard as I could. So, she asked a friend of hers who worked at Wellesley [College in Massachusetts]—mother had gone to Wellesley—asked her where a good prep school was and she sent her a list in alphabetical order and Abbot Academy was at the top [laughs] alphabetically so I went to Abbot Academy in Andover. I left my sophomore yearsophomore-junior senior year. It's now part of Phillips Academy in Andover because that's what happens to lot of these schools. And then I went to Wellesley and then I met Harry and here I am. You asked me something else—oh, where I've lived? I have lived only in three houses. Well I lived in my house in New Brighton for 21 years or 20 years and then at an apartment on Pleasant Street for a year and then we moved in here 65 years ago come April, this next April. So we are not really big movers.
RS: If you were not born in Worcester when did you arrive?
JD: 1953, January of 1953
RS: And how did you come to live in Worcester?
JD: I married Henry who lived in Worcester who'd never consider living anywhere else.
AC: Do your family members live in this area?
JD: No
AC: So you are the only one? Do your children live here, did they move further away?
JD: They are not that far away. Well, there's one in Florida now but Jane is in Norfolk [Massachusetts] and Ann is in in Carlisle, Massachusetts so they are not that far.
RS: So I know you moved here because of your husband, but what is your connection to Worcester?
JD: None. I used to go through here on the train, wake up in Springfield [Massachusetts], have a breakfast in Worcester and get off in Wellesley [Massachusetts] or Boston [Massachusetts].
AC: What challenges do you think Worcester still faces today?
JD: Well I'm just going to say I am sort of remote as I read the newspapers I think it sounds as if it is on the verge of renaissance of sorts. What I see is traffic. I now have to plan when I go out. I didn't use to have to think about that at all. You guys are part of the problem [laughs].
AC: What would you change about the city?
JD: Oh my! It's very hard for me, well I will say that when I came to Worcester it was a thriving downtown with department stores and movies and restaurants and now I mean for a long time there hasn't been any reason to go downtown. There's nothing there. I mean for me I haven't bought anything except from a catalog in many years or hand me down from my eldest daughter [laughs].
RS: So what distinct characteristic makes Worcester the place that it is?
JD: Well, I would say the colleges certainly. And culturally the Worcester Art Museum, everybody before I came here heard about the Worcester Art Museum and then since I've been here Mechanics Hall has been wonderful. Worcester Music Festival which has a great reputation and my husband was involved when we first came with the Philadelphia Orchestra for a week can you believe it? And then Chicago and couldn't keep that up very long, that was not possible. But culturally, I mean obviously I'm not going to do things at the Palladium or at the at the DCU or I mean it's not my music. That's my music over there [pointing at her piano]. No, I have to show you a friend of mine just sent 25 pieces of great old sheet music [laughs]. But I think Worcester—I am glad to live in Worcester and it's not that far from Boston. I grew up with trains. When I came here I missed trains and bridges and then we did get the trains and the minute the train came I went to Boston on the train.
AC: What do you think women's experiences in Worcester been generally?
JD: It's very hard for me to answer because I don't know.
AC
: Ok.
RS: So where did you attend school?
JD: Well New Brighton schools and then Abbot Academy and Wellesley College.
RS: Did you pursue any educational programs or any vocational trainings?
JD: Did I receive any... you mean after college?
AC
: Well at college? Or a specific program.
JD: I don't know what… well we had majors?
AC and RS: Yeah
JD: Ok. I majored in political science. If you can call it a science I'm not sure. I think you guys are more science.
AC: What year did you graduate from college?
JD: 1952.
RS
: What were your challenges in education?
JD: Well just to get everything done, just like anybody else's. To get enough sleep and get all those things. I was talking to my book club today that I think I am very glad I grew up before there were screens, any kind. I go back to Wellesley occasionally for reunions and various things and I did notice walking around campus, kids are looking at their screens and we used to talk to each other. [laughs] My parents—I mean I was on my own we wrote letters and we would telephone but only in emergency. I remember calling when I got in Wellesley. I thought that was worth a call. It was expensive and my dorm had two phones in the cellar, outgoing payphones and I think there were two incoming that people could call you on and then you come down. So I mean you are much more on your own then than you are now. Nobody was looking over your shoulder, I just think that's got to be different.
AC
: Upon finishing your formal education what did you see as your options?
JD: What was the beginning of it?
AC: Upon finishing your formal education…
JD: Oh! marriage [laughs]
AC: Did you see any other options besides marriage?
Worcester Women's Oral History Project
30 Elm Street – Worcester, MA 01609 – [email protected] www.wwohp.org
JD: [laughs] I had to laugh because you know people used to say, you were there for your MRS [degree]. I remember going to the placement office and this is all I remember about what could I do with a major in political science you know? I didn't want to go home to New Brighton. Living in Boston some people did room together and my best friend was going back to New York. I had this on the horizon and they said, "Well how about a Filene's training program? Filene's department store? But you will have to learn to step on people." I remember that and [whispers] "Wow, I don't want that!" [laughs]. So I married Harry and learned to step on him [laughs].
RS: So what support networks and mentoring have been important to you?
JD: Oh family, friends. Friends and family.
AC: What was your first job?
JD: Oh, in my life? As a 16-year-old it was supervising playground kids with my best friends. We got paid if it rained so we kept praying for rain even if it rained. So I was sixteen and then after that camp counselor and then no paid job at the time the kids were little and then the Ben Franklin Bookstore. I think that was my first and last paid job.
RS: So what has all of this work meant to you?
JD: What …the book store?
RS: Just all the jobs.
JD: Being around books since then—okay this was accidental, my volunteer work which I have done for 30 years at the [American] Antiquarian Society actually has to do with the Ben Franklin Bookstore. When I worked there, I worked with Dorothy Cook who was a long-time bookstore clerk. She had worked at the famous Ephraim's Book Store on Franklin Street and she recommended a book called Children of Pride. I used to read but Dorothy had great taste. And it was edited by Robert Myers and it's a big fat book, surprised me it came out in paperback too. I can't give you the date but it was real letters of a family, the [Rev. Dr. Charles] Colcock Jones family in Georgia. It was letters written at the time of the Civil War, after the Civil War, and I was absolutely blown away by them. They were so wonderful. So I just put aside those letters wonderful letters, wonderful. And then my in-laws both died in 1974 and in their attic—they lived on Elm Street—and in their attic was wild stuff because they hadn't moved very far. And Harry had three siblings but I think we had taken a look at some of those letters. My father in law came down, he worried about all this stuff that we would have to deal with and he went up in the attic and started looking at things. And one day he came down, we were having cocktails and he said, "I threw away these letters today, they were wrapped up in it, it said cursed be the eye that sees, cursed be the ear that hears," and there were letters I figured out later, one or two remaining
letters that his grandfather had written when he had come to Worcester in the late 1840s as a young lawyer. And his first wife died and he married again but there are people who don't throw things away. So, I suspect he didn't want his second wife—he probably just tied it up with a curse on it and might have bothered a lot about the curse and threw it away. Very annoyed with him but anyway there are awful lot left. So, we opted for them and were very glad to have them. I covered a ping pong table in the cellar with these letters and started reading them and making notes. And then I had seen that the New England Historical Genealogical Society had a twoweek summer camp, where you lived at Harvard [University] and so I signed up for that. I enjoyed that and then Marcus McCorison, who was the head of the [American] Antiquarian Society at that time and was a friend of my father-in-law's, said of course they would like to have all of that at the Antiquarian Society. That was fun and we took them over and he assumed I was going with him. I guess he knew I had been working on them so I went. It took me five years to do that collection. I was learning too and it was 50 manuscript boxes. At the end of it I stayed, so that was my unpaid work. I'm glad to have done it that way to have been home with the kids. I saved money by being at home and later when they were off and gone I could do my volunteer stuff and have fun.
AC: So, what were your primary responsibilities in terms of the house work and the child care?
JD: Well, everything. We did have a wonderful thing though. I will say, when the kids were little there was something, a prototype called the Becker Girl. You know Becker? Well it's Becker College now, but anyways the Becker Girl, we never had a Becker Girl but we had Worcester State [College], and gosh we had Anna Maria [College]. They were girls—we have a full attic with a bath and I love it up there. [laughing] Anyway, we had a student who would come and live with us and we'd eat together. She didn't have housework, but she had babysitting and she'd have every other weekend off and whatever. It worked, it worked for us. It didn't work for people who tried to get too much out of the ladies. [laughing] But it worked beautifully for us. And we had five or six girls. And so that was a big help because they'd come home, well after school, three or four or whatever it was and give me a little break and then we'd have dinner together and then they would be upstairs by seven. And it was great. So, even though I didn't have family here to babysit because Henry's mother had multiple sclerosis, and so you know there was no way. I remember thinking, "I wish my mother was around." [Laugh] But that was a great help. And then we had babysitters too.
AC
: You said your husband was a lawyer.
JD: Yup.
AC
: Did you ever help him in the office or anything?
JD: No. No. I don't think I would have been. I think it would be too private. I don't think you'd be allowed to do that. I don't think. Because he never would talk. I mean you don't talk.
AC: Have your dynamics in the house changed. Are you like still responsible for like all the housework?
JD: I do. I do. Actually, our dynamics have changed a little bit because my husband doesn't drive anymore in the last six months. He used to do some. He retired twenty years ago and he has a little office up here. But he doesn't have outside clients. So, he's been involved in lots and lots of things. And it's been very nice because he would do some of the big shopping and do his own things and now, for instance, I go to the market and he'll meet me at the back door and carry things from the car. And then we put things away together. And I've done my own housework since the last forty years. I guess it was great when the kids were little. When the kids were little I think, oh my god, what a lot of work. [laugh] It was. And we had a dog.
RS: So, how have you balanced the different priorities, responsibilities, interests in your life?
JD: How does one ever? Well, some days better than others. [laughing] But I think most of the time we say, "Gee, how lucky we are." And we are at the point right now where how long can we stay here. We looked at the Willows. We don't really want to go anywhere. [Laughs] And there's other options of getting care. Well we've been through this with my mother. She was at the Willows but she was blind the last years and so she had help. A lot of help. And there is help available. Yeah, it is an adjustment for me. I'm just beginning to find out.
AC: What do you think the pros and cons are of the path you have chosen in life?
JD: The pros and cons of the path?
AC: That you have chosen in life.
JD: Oh, my paths. Pros and cons? Hmm. I don't think I can do pros and cons. But I was thinking, it's fun, at this age you can see the connections. Which you have to be here to see here. I became a marathoner. [laughs] And I'll tell you that is a very funny thing to see my trophies are with my plates. When I was at Harvard for my—see it went from Dorothy Cook and Children of Pride to Harvard. And my roommate was a runner and—talk about roommates at Harvard, you each had your own bedrooms and then we had a sitting room—but I think what she said, "I get up at six o'clock and I go to Brigham's and have some coffee and then I do a little run." She was getting ready to go hiking in the mountains somewhere, but we're talking forty years ago. Yup, forty years ago. And I wasn't used to sitting. I hadn't been in classes when I went for umpteen years, I mean or however many. Thirty years. So, I said, "Well I'll go." I had tennis shoes. So, I went with her and I thought, "This is. This is fun." [laughs] And, it was only two miles or something. I liked having coffee from Brigham's and doing that. So, when I came home I bought some running shoes, such as they were then. Little waffle trainers. They didn't have ladies' shoes like they do now. And, that was seventy-eight. No seventy-seven, seventy-seven. And I thought, "I really like this so I'm going to start next spring." So, I started in the spring of seventy-eight and I really loved it. And so, I joined Central Mass. Striders and I met a lot of
30 Elm Street – Worcester, MA 01609 – [email protected] www.wwohp.org
people and I ran eight marathons. I wanted to qualify for Boston. And you had to do it in under a certain time for fifty and over. So that made a huge difference in my life. Huge. Huge. And that came from Children of Pride to Harvard, to running, to the Antiquarian Society.
AC: Did you ever make it through the Boston Marathon?
JD: I did, yeah.
AC: How many times?
JD: Just once. I wanted to qualify. You didn't just qualify by raising money but at age 53 I had to run it in under three hours and forty minutes. I had to run an earlier marathon. And I ran it in three hours, 37 minutes, and 55 seconds. So, I just made it. [laughs] But in those days, once you got in, you got in. Now I see they take the best qualifiers and it's hard to get, if you weren't the thirty thousand, so anyway that was a goal. I was never goal oriented in my life before that. And in order to do that, you have to have a plan and you have to do it rain or shine.
RS: So how do you feel about the choices you've made in life? Do you have any regrets?
JD: No.
AC: Do you consider yourself to be active politically?
JD: YES. [laughs] Yes, I've been on marches. But right now, I just send money.
AC: Alright, I know you've touched on this a little bit, but have you been involved in like any volunteer work or community work.
JD: Oh yeah, yeah. Sure.
AC: And what led you to these particular, like groups that you volunteered at?
JD: See right now, I don't do anything except AAS. Oh, when I first came, people look at the new brides and say, "Come work for me". And, oh gosh, cerebral palsy, the hospital, and what's the name of the shop? The Salisbury Shop which is where the Salisbury Mansion is now. Oh gosh, all kinds of things. All kinds of things. Mostly because people asked you and then you asked them to do something and it was I'll do this, you do that.
RS
: So what role has religion played in your life?
JD: Well, not a huge one. Right? My husband's family were pretty active Unitarians and my family were Presbyterians but not really. So, here we really did go to the Unitarian Church quite a lot and we used to walk down the last few years and then we couldn't do the walk anymore so
Worcester Women's Oral History Project
30 Elm Street – Worcester, MA 01609 – [email protected]
we sort of just—I mean we are still supporters. It's an interesting subject that I just read Jefferson's Bible and Tolstoy's Bible and I realized how little I knew about Judaism. And my Jewish neighbors next door, he was over here and he saw my Jefferson's. It's a little pamphlet. So, he borrowed it and then I said to him, "I don't know much about Judaism." He said, "Come here." And he sent me home with two big books. He's got ten more on Tonalitic studies. [laugh] So, I've got those in the dining room. He said, "It's very complicated. And things aren't settled. And people are asking questions
RS: So how have health issues impacted your life and those of your family.
JD: Very little. Very little. Very lucky.
AC: What are your experiences in accessing quality affordable health care?
JD: We have Medicare so. We were lucky when I think about what—we just found a bill for Janie's birth and it was like twenty-five dollars in 1950 something. We had insurance. But the leap in costs are—we've been sort of been ahead of it because of Medicare. I had a basal cell carcinoma, I've had three of them actually, but anyway, this time he said, "Well, there's a tiny little one that I didn't get so you could get some cream and put on that cream." I picked it up. A hundred and seventy dollars. And I thought, "That's outrageous!" So, there is something. I think probably someday we'll come to single payer. It would make sense to me.
RS: Whose health are you responsible for besides your own?
JD: Well, I don't think anybody's. I mean my husband's. I mean we're in it together, everything together. But I'm not responsible for it. You're going to have to come down and meet him. [Laughs]
AC: So, how do you get through tough times in your life and what kinds of thoughts keep you going?
JD: [Laughing] Well I say we're very lucky. But I will say I got lost the other day driving somewhere and I said "Mother!" [Laughs] "We can do this mother." [Laughs] I did. [Laughs] So there's your answer. [Laughs]
RS: How do you define success in your life?
JD: I don't think I have ever tried to define it. Alright the big question. I don't define that. I don't. But like qualifying for Boston, that's easy. Winning a race, that's easy. Having something, your cooking turn out better than you thought. [Laughs] So little successes are measurable. Big ones, too big.
AC: Based on your life experiences what advice would you give women of today and future generations?
JD: Oh wow, that's easy. [Laughs] That's impossible. That would be very hard. I don't know. Follow your better instincts and don't get too discouraged. I know I'm a little discouraged about the world but I'm hoping.
RS: So now that we are working to tell a fuller story of the history of women that has been recorded in the past. Is there anything else you would like us to include in our transcript? Anything you would like to share?
JD: Well, I was going to say. There is an awful lot of changes. I spend a lot of my time in the nineteenth century world at the Antiquarian Society. And it's only recently that women's role has been appreciated. Remember it was just the men that they really cared about. And then about fifty years ago maybe they decided that women have a lot to do with it too. And, so, I lost my train. What is, what is... [laughing]
AC: So, now that we are working to tell fuller stories about the history of women that has been reported in the past, what should we be sure to include?
JD: Well, I think things are being included at a faster clip. I remember the first woman—was it Pauline Frederick—the first woman news reporter on the radio. It was a shock because women weren't thought authoritarian enough to give the news. Listen to the news now, NPR. I am an NPR addict. My golly, of all the things that women couldn't do, just in the space of my lifetime, it's amazing. I mean they could teach, in the nineteenth century they could teach or have a boarding house. Very, very little, limited, limited options. So, keep going and tell the story. [Laughing]
RS: So, how old were you when you were allowed to date and where did you go on dates?
JD: Oh, sure. High school. Oh, I think I went to the movies with Gerald Golden when I was in fourth or fifth grade so something like that. Well, [laughs] it was only four, four blocks up, and only costed ten cents. Can you believe it? Ten cents and the war came along and they wanted to put a tax on it so they dropped it to nine cents and put the penny tax on it. It was still ten cents for a double feature, Saturday afternoon.
AC: What was considered fashionable when you were a young woman?
JD: Well, I think not being fashionable. I am in Worcester you know. [Laughs] My sister lives in Houston [Texas], that's a totally different world. Everything really is dyed blonde and gold, you know.
RS: How were girls treated when you were in school?
Worcester Women's Oral History Project
30 Elm Street – Worcester, MA 01609 – [email protected] www.wwohp.org
JD
: Well, since I went seven years to a girls' school, very well. [Laughs And in high school it was all the same. I mean elementary up, same as boys.
AC: What did your parents' education consist of?
JD
: My mother graduated from Wellesley [College]. She majored in French because she went abroad her junior year to France. And my father went to Cornell [University]. And both of my
grandmothers went to college, which is surprising.
AC: Do you know what they studied?
JD
: Well I'm sure it was teaching. One went to Indiana State [College] which is in Pennsylvania.
It was a teacher's college and she taught. And the other one went to Geneva College in Beaver
Falls [Pennsylvania] and I don't know if she ever taught. I really don't know.
AC: What memories do you have of significant historical events that took place while you were growing up?
JD
: Well, World War II, for starts. [Laughs] Pearl Harbor. I mean on the radio, everything that happens since 1941.
AC
: Alright, well we would like to thank you for participating in our project.
JD
: You are very welcome indeed.
Worcester Women's Oral History Project
30 Elm Street – Worcester, MA 01609 – [email protected]
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The Health Insurance Information, Counseling, and Assistance Program (HIICAP) provides free, unbiased Medicare counseling on Medicare Parts A, B, C and D, Medicare Advantage, Supplemental Insurance, and other health insurance related topics. HIICAP is administered by the fifty-nine (59) local Area Agencies on Aging (AAAs) in New York State, including two (2) tribal reservations and six (6) Managed Care Consumer Assistance Programs (MCCAPs).
The Medicare Improvements for Patients and Providers Act (MIPPA) program assists lower-income Medicare beneficiaries with finding and applying for benefit programs that will help to lower the costs of their Medicare premiums and deductibles.
Both HIICAP and MIPPA programs are funded in part by the U.S. Administration for Community Living (ACL).
The quarterly data summary below shows the total number of individuals who received information and assistance from both programs between July 1, 2023 - September 30, 2023. It also includes demographic information and the types of information and assistance provided.
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Pat J. Gehrke
Program in Speech Communication & Rhetoric Department of English Language & Literature The University of South Carolina Columbia, SC 29208
ACADEMIC APPOINTMENTS
The University of South Carolina (2003 – present)
Professor, 2018-present.
Associate Professor, 2009-2018.
Assistant Professor, 2003-2009.
The Pennsylvania State University (2001 – 2003)
Lecturer, 2001-2003.
ADMINISTRATIVE APPOINTMENTS
The University of South Carolina (2003 – present)
Program Director, Speech Communication and Rhetoric, 2015-2016.
Graduate Studies Director, Speech Communication and Rhetoric, 2011-2015.
Sub-award Director and Co-P.I., Nanotechnology Interdisciplinary Research Team, 2007-2011.
Undergraduate & First-Year Course Director, Speech Communication and Rhetoric, 2003-2006.
The Pennsylvania State University (2001 – 2003)
Public Advocacy Program Director, 2001-2003.
Center for Public Speaking and Civic Engagement Start-up Director, 2001-2002.
EDUCATION
Ph.D., 2003, The Pennsylvania State University, Communication Arts & Sciences.
M.A., 1997, California State University at Chico, Communication Arts & Sciences.
B.A., 1995, California State University at Chico, Communication Arts & Sciences.
BOOKS
Pat J. Gehrke. Nano-Publics: Communicating Nanotechnology Applications, Risks, & Regulations. New York: Palgrave, 2018.
Adam S. Lerner & Pat J. Gehrke. Organic Public Engagement: How Ecological Thinking Transforms Public Engagement with Science. New York: Palgrave, 2018.
Pat J. Gehrke. The Ethics and Politics of Speech: Communication and Rhetoric in the 20th Century.
Carbondale, IL: Southern Illinois University Press, 2009. Recipient of the 2011 National Communication Association Philosophy of Communication Division Book Award.
[email protected] www.PatGehrke.com
803-351-8852
EDITED VOLUMES
Pat J. Gehrke, ed. Teaching First-Year Communication Courses: Paradigms and Innovations. New York: Routledge, 2017.
Pat J. Gehrke, ed. Micro-Histories of Communication Studies: Mapping the Future of Communication through Local Narratives. New York: Routledge, 2016.
Pat J. Gehrke & William M. Keith, eds. The Unfinished Conversation: 100 Years of Communication Studies. New York: Routledge, 2014. The official centennial volume of the National Communication Association.
TEXTBOOKS
Pat J. Gehrke. Online Public Communication. Lexington, SC: Basis Publishing, 2018. https://onlinepubliccommunication.com (Multimedia online textbook for online first-year speech courses. Instructor's access at https://onlinepubliccommunication.com/instructors)
G. L. Ercolini, Pat J. Gehrke, Caroline Puckett, & Jason Hancock. Rhetoric in Action: A Workbook for Speech Communication. The University of South Carolina Department of English, 2004, 2005, 2006. (340 page book of exercises, speeches, and original readings for the first-year speech course.)
JOURNAL ARTICLES AND ESSAYS
Pat J. Gehrke. "The Fallacy of Reasoned Discourse." Ethica 28 (March 16, 2017): 13-15.
Pat J. Gehrke. "A Manifesto for Teaching Public Speaking." Review of Communication 16 (2016): 246-264. Reprinted in Pat J. Gehrke, ed. Teaching First-Year Communication Courses: Paradigms and Innovations. New York: Routledge, forthcoming.
Weston Eaton, Wynne Wright, Kyle Whyte, Stephen P. Gasteyer, & Pat J. Gehrke. "Engagement and Uncertainty: Emerging Technologies Challenge the Work of Engagement." Journal of Higher Education Outreach and Engagement 18 (2014): 151-177.
Pat J. Gehrke. "Ecological Validity and the Study of Publics: The Case for Organic Public Engagement." Public Understanding of Science 23 (2014): 77-91.
Pat J. Gehrke. "On the Many Senses of Parresia and Rhetoric." Rhetoric Society Quarterly 43 (2013): 355-361.
Pat J. Gehrke. "Being for the Other-to-the-Other: Justice in Levinasian Communication Ethics." Review of Communication 10 (2010): 5-19.
Pat J. Gehrke. "Paladins, Mercenaries, and Practicable Pedagogy." Communication and Critical / Cultural Studies 6 (2009): 416-420.
Pat J. Gehrke. "Historical Study as Ethical and Political Action." The Quarterly Journal of Speech 93 (2007): 355-357.
Pat J. Gehrke. "The Southern Association of Teachers of Speech v. Senator Theodore Bilbo: Restraint and Indirection as Rhetorical Strategies." Southern Communication Journal 72 (2007): 95-104.
Pat J. Gehrke. "The Ethical Importance of Being Human: God and Humanism in Levinas's Philosophy." Philosophy Today 50 (2006): 428-436.
Pat J. Gehrke. "Turning Kant against the Priority of Autonomy: Communication Ethics and the Duty to Community." Philosophy and Rhetoric 35 (2002): 1-21.
Pat J. Gehrke. "Deviant Subjects in Foucault and A Clockwork Orange: Congruent Critiques of Criminological Constructions of Subjectivity." Critical Studies in Media Communication 18 (2001): 270-284. Reprinted with revisions in Geoffrey Cocks, James Diedrick, & Glenn Perusek, eds. Depth of Field: Stanley Kubrick, Film, and the Uses of History. Madison, WI: University of Wisconsin Press, 2006. 146-164.
Pat J. Gehrke & G. L. Ercolini. "Debate Institutes as Training in Research, Reading, and Writing." The Forensic Educator 13 (1998/1999): 16-20.
Pat J. Gehrke. "Teaching Argumentation Existentially: Argumentation Pedagogy and Theories of Rhetoric as Epistemic." Argumentation and Advocacy 35 (1998): 76-86.
Pat J. Gehrke. "Critique Arguments as Policy Analysis: Policy Debate Beyond the Rationalist Perspective." Contemporary Argumentation and Debate 19 (1998): 18-39. Reprinted in Kenneth Broda-Bahm, ed. Perspectives in Controversy: Selected Essays from Contemporary Argumentation & Debate. New York: International Debate Education Association, 2002.
Pat J. Gehrke. "Evidence in the Global Village: The Promise and Challenge of Computer-Assisted Research in Intercollegiate Debate." Speaker and Gavel 35 (1998): 46-61.
Pat J. Gehrke. "Technological Equity, not Information Equality: A Response to Elliot on On-Line Resources." Southern Journal of Forensics 1 (1996): 216-221.
BOOK CHAPTERS
Pat J. Gehrke. "What Rhetoric Can Do: Criticism as Critique." In Amos Kiewe & Davis W. Houck, eds. The Effects of Rhetoric and the Rhetoric of Effects: Past, Present, Future. Columbia, SC: University of South Carolina Press, 2015. 82-100.
Pat J. Gehrke & William M. Keith. "A Brief History of the National Communication Association." In Pat J. Gehrke & William M. Keith, eds. The Unfinished Conversation: 100 Years of Communication Studies. New York: Routledge, 2014. 1-25.
Pat J. Gehrke. "Before the One and the Other: Ethico-Political Communication and Community." In Ronald C. Arnett & Pat Arneson, eds. Philosophy of Communication Ethics: Alterity and the Other. Madison, NJ: Fairleigh Dickinson University Press, 2014. 55-73.
G. L. Ercolini & Pat J. Gehrke. "Writing Future Rhetoric." In Michelle Ballif, ed. Theorizing Histories of Rhetoric. Carbondale, IL: Southern Illinois University Press, 2013. 154-171.
Pat J. Gehrke. "The Crisis Fallacy: Egoism, Epistemology, and Ethics in Crisis Communication and Preparation." In Janie Harden Fritz & S. Alyssa Groom, eds. Communication Ethics and Crisis: Negotiating Differences in Public and Private Spheres. Madison, NJ: Farleigh Dickinson University Press, 2012. 133-159.
Pat J. Gehrke. "Community at the End of the World." In Kathleen Glenister Roberts & Ronald C. Arnett, eds. Communication Ethics: Between Cosmopolitanism and Provinciality. New York: Peter Lang, 2008. 121-138. (Series in Critical Intercultural Communication, Ed. Thomas Nakayama)
Pat J. Gehrke & G. L. Ercolini, "Subjected Wills: The Antihumanism of Kubrick's Later Films." In Geoffrey Cocks, James Diedrick, & Glenn Perusek, eds. Depth of Field: Stanley Kubrick, Film, and
the Uses of History. Madison, WI: University of Wisconsin Press, 2006. 101-121.
Pat J. Gehrke. "Critiquing the Critique: Reconnecting Policy Debate to Applied Philosophy and Linguistics." In W. H. Bennett, ed. The Kritik. Taos, NM: CDE, 1996. 14-22.
BOOK REVIEWS
Pat J. Gehrke. "Modern Occult Rhetoric: Mass Media and the Drama of Secrecy in the Twentieth Century, by Joshua Gunn." Southern Communication Journal 72 (2007): 379-381.
Pat J. Gehrke. "Being Made Strange: Rhetoric Beyond Representation, by Bradford Vivian." Philosophy and Rhetoric 39 (2006): 340-343.
Pat J. Gehrke. "Twentieth-Century Rhetorics and Rhetoricians: Critical Studies and Sources, Editors: Michael G. Moran and Michelle Ballif." American Communication Journal 4.3 (2001): acjournal.org.
OTHER PUBLICATIONS
Pat J. Gehrke. "Ecological Validity." In Bruce Frey, ed. SAGE Encyclopedia of Educational Research, Measurement, and Evaluation. Thousand Oak, CA: SAGE, 2018.
Pat J. Gehrke. "Jurgen Habermas." In Ronald C. Arnett, Annette M. Holba, and Susan Mancino, eds., An Encyclopedia of Communication Ethics. New York: Peter Lang, 2018.
Pat J. Gehrke. "Introduction." In Pat J. Gehrke, ed. Micro-Histories of Communication Studies: Mapping the Future of Communication through Local Narratives. New York: Routledge, 2016.
Pat J. Gehrke. "Introduction to Special Issue on Teaching First-year Communication Courses." Review of Communication 16 (2016): 109-113. Reprinted in Pat J. Gehrke, ed. Teaching First-Year Communication Courses: Paradigms and Innovations. New York: Routledge, forthcoming.
Pat J. Gehrke. Review of Political Tone: How Leaders Talk and Why, by Roderick P. Hart, Jay P. Childers, and Colene J. Lind. Chicago, 2013. Choice Reviews Online, December 2013, 51:51-1897.
Pat J. Gehrke. Civil Society and Nanotechnology: Communicating Applications, Risks, and Regulations of Nanomaterials with Public Groups (2013). Public report and white paper.
Pat J. Gehrke. "Editorial." Review of Communication 13 (2013): 1-2.
Pat J. Gehrke. "Identity in Democracy." In Ronald L. Jackson, ed. Encyclopedia of Identity. Thousand Oaks, CA: SAGE, 2010. 354-356.
Pat J. Gehrke. "Between the Ear and the Eye: A Synaesthetic Introduction to Listening Ethics." The International Journal of Listening 23 (2009): 1-6. (Editor's introduction to special issue.)
Pat J. Gehrke. "Searching Cyberspace: A Guide to Electronic Resources." In T. C. Winebrenner, ed. Intercollegiate Forensics 2nd ed. Dubuque, Iowa: Kendall/Hunt, 1997. 47-75. (Textbook chapter.) Adapted with G. L. Ercolini for courses at University of Vermont, Penn State University, Yale University, and University of South Carolina.
FUNDED EXTERNAL GRANTS & FELLOWSHIPS
Enrichment of the Discipline Grant, National Communication Association. $4,743 (2011-2014). PI. Travel for PI and one co-PI to the communication archives at the University of Utah.
National Science Foundation Grant: Nanotechnology Interdisciplinary Research Team in Intuitive Toxicology, #06-595. $1,399,000 over 4 years (2007-2011). Co-PI / PI & Director of USC sub-award of $468,645 for developing organic civic engagement events.
National Science Foundation Grant: Undergraduate Nanoscience and Technology Advocacy Studies Cognate Development, #05-543. $199,500 over 2 years (2005-2007). Investigator. Developed and taught pilot course in rhetoric of science and technology.
Duquesne University, Graduate Student Ethics Fellowship (2000). Conference funding.
State of California Department of Health Services, Tobacco Use Among Adolescents and AntiSmoking Campaigns (1997). Sub-contracted for quantitative data analysis. $1,500.
FUNDED INTERNAL GRANTS & FELLOWSHIPS
Course Development Grant: A Critical Approach to Business and Professional Communication, University of South Carolina Honors College (2014). $8,532.
Service Learning Grant: Connecting Service Learning to Civic Engagement through Politics, Centers for Teaching Excellence, The University of South Carolina (2008). $3,500.
Course Development Grant: Fundamentals of Inquiry, University 101, The University of South Carolina (2006). $1,500.
Archival Research Grant, College of Liberal Arts, The University of South Carolina (2004). $1,650.
Dissertation Support Grant, Research and Graduate Studies Office, The Pennsylvania State University (2000). One semester of course release.
Undergraduate Technology Enrichment Grant, College of Liberal Arts, Pennsylvania State University (1999). $5,000.
AWARDS & HONORS
National Communication Association Presidential Citation for Service, 2016.
National Communication Association Presidential Citation for Service, 2015.
National Communication Ethics Conference, James A. Jaksa Scholar in Residence, 2014.
National Communication Association Philosophy of Communication Division Book Award, 2011.
National Communication Association Communication Ethics Division, Top Paper, 2004.
Bates West Best Professor, University of South Carolina, 2003.
National Communication Association Communication Ethics Division, Top Paper, 1998
COURSES TAUGHT
Graduate Seminars
Rhetoric, History, and Power
Classical Rhetorical Theory
Contemporary Rhetorical Theory
Communication Ethics and Continental Thought
Teaching Composition and Rhetoric
Undergraduate Courses
Introduction to Rhetoric (Honors)
History & Theory of Rhetoric
Rhetoric and the Classical Roots of Modern Life
Public Communication & Civic Engagement
Writing Violence, Reading Resistance
Legal Rhetoric
Business & Professional Communication (Honors)
Online Public Communication
RECENT TEACHING EVALUATIONS
Graduate student evaluations (scale of 1-5): Classical Rhetorical Theory: 4.89; Contemporary Rhetorical Theory: 4.83; Educating Dissent: 4.78; Rhetoric, History, Power: 5.00; Rhetoric and Democracy: 5.00; Rhetorics of Democracy: 5.00; Communication Ethics and Continental Thought: 4.75.
Undergraduate student evaluations (scale of 1-5): Argumentation & Debate: 4.33; Political Rhetoric: 4.38, 4.86; History & Theory of Rhetoric: 4.65; Honors Rhetoric: 4.50, 4.67, 4.86, 4.90; Communication Ethics: 4.33; Persuasion: 4.57, 4.76; Public Speaking: 4.14, 4.25; Business & Professional Comm.: 4.40.
UNIVERSITY SERVICE
University of South Carolina
Director, System-wide Assessment of Undergraduate Communication Competencies, 2014-2016.
Chair, University General Education Communication-Speech Specialty Committee, 2014-2016.
University of South Carolina Press Committee, 2014-2016.
University Courses & Curriculum Committee, 2011-2014.
External Search Consultant, USC Salkehatchie position in Speech Communication, 2013-2014.
External Search Consultant, USC Extended University position in Speech, 2012-2013.
Pennsylvania State University
University Park Allocation Committee, Program Allocation Team, 1998-99.
Communication Pedagogy
Educating Dissent
Rhetorics of Democracy
Rhetoric and Democracy
Argumentation and Debate Communication Ethics Rhetoric of Science and Technology Political Rhetoric Public Speaking Persuasion Small Group Communication
DEPARTMENT SERVICE
University of South Carolina
Director, Online Communication Course Development, 2016-present.
Undergraduate Committee, Dept. of English, 2016-present.
Speech Communication Committee, Dept. of English, 2003-present.
Chair, Search Committee, Instructor in Speech Communication & Rhetoric, 2017.
Chair, Search Committee, Instructor in Speech Communication & Rhetoric, 2016.
Graduate Committee, Dept. of English, 2003-07, 2009-2015.
Rhetoric Committee, Dept. of English, 2008-2015.
Chair, Search Committee, Instructor in Speech Communication & Rhetoric, 2015.
Search Committee, Speech Communication Program Administrative Assistant, 2015.
Search Committee, Computer Support Manager, Dept. of English, 2014.
Chair, Search Committee, Assistant Professor of Critical-Cultural Rhetoric, 2012-2013.
Chair, Web & Publicity Committee, Dept. of English, 2012-2013.
Search Committee, Associate Professor of Political Rhetoric and Advocacy, 2012-2013.
Search Committee, Computer Support Manager, Dept. of English, 2012.
Web & Publicity Committee, Dept. of English, 2011-2012.
Job Placement Committee, Dept. of English, 2010.
Composition and Rhetoric Search Committee, 2009-2010.
First-Year English Committee, 2009-2010.
Search Committee, Assistant Professor of Speech Communication, 2007-2008.
Search Committee, Speech Communication Program Administrative Assistant, 2007.
Search Committee, Full Professor of Speech Communication, 2006-07.
Visiting Speakers Committee, Dept. of English, Univ. of South Carolina, 2004-05.
Search Committee, Speech Communication Program Administrative Assistant, 2004.
Search Committee, Assistant Professor of Speech Communication, 2003-04.
Pennsylvania State University
Web-Workbook Improvement Committee, Dept. of Speech Communication, 2001.
EDITORIAL SERVICE
Editorial Board, Duquesne University Press series in Philosophy / Communication, 2013-present.
Editorial Board, Review of Communication, 2009-2012; 2017-present.
Editor, Review of Communication, 2013-2016.
Editorial Board, Rhetoric Society Quarterly, 2010-2015.
Editorial Board, Journal of Contemporary Rhetoric, 2011-2015.
Editorial Board, Western Journal of Communication, 2012.
Guest Editor, International Journal of Listening, special issue on "Listening, Ethics, and Dialogue," published 2009 (vol. 23 no. 1).
Editorial Board, Atlantic Journal of Communication, 2003-2004.
Editorial Board, New Jersey Journal of Communication, 2001-2003.
Reviewer services also provided for numerous journals such as Philosophy and Rhetoric, Quarterly Journal of Speech, Journal of Communication, Public Understanding of Science, and Science Communication; presses such as Southern Illinois University, University of South Carolina, Penn State University, and Oxford University; and a variety conferences and societies.
PROFESSIONAL SOCIETIES SERVICE
National Steering Committee, American Society for the History of Rhetoric, 2012-2016.
Legislative Assembly, National Communication Association, 2008-2009, 2013-2016.
Board of Directors, Rhetoric Society of America, 2014-2015.
Constitution Committee, Southern States Communication Association, 2012-2015.
Chair, Committee on Scholarship & Publication, Communication Ethics Division, National
Communication Association, 2005-2015.
Advisory Committee, National Communication Ethics Conference, 2005-2014.
Centennial Series Planning Committee, National Communication Association, 2013-2014.
NCA Convention Program Planner, American Society for the History of Rhetoric, 2013-2014.
Vice Chair Elect, Vice Chair & Convention Program Planner, Chair, American Society for the History of Rhetoric, Southern States Division, 2011-2014.
Website Development & Management, Communication Ethics Division, National Communication Association, 2007-2012. (www.commethics.org)
Co-Founder & Founding Chair, Philosophy & Ethics of Communication Interest Group, Southern States Communication Association, 2009-2011.
Vice Chair Elect, Vice Chair & Program Planner, Chair, Immediate Past Chair, Communication Ethics Division, National Communication Association, 2006-2010.
Website Development, Southern Colloquium on Rhetoric, 2008-2009.
Research Committee, American Forensic Association, 2005-2008.
Research Committee, Cross Examination Debate Association, 1998-2000.
Chair, Technology Project, Cross Examination Debate Association, 1998-2000.
GRANT REVIEW SERVICE
National Science Foundation Merit Review of Grant Proposals, 2009, 2014.
INVITED LECTURES, KEYNOTES, & SYMPOSIA
"Communication Pedagogy for the Digital Era." Invited keynote address, Eastern Communication Association Connect Conference, Pittsburgh, PA, 2018.
"The Persistence of De-legitimated Orthodoxies." Invited keynote response paper, Public Address Conference, Georgia State University, 2014.
"Networked Histories: Entanglements of Communication and Composition." Co-authored with Byron Hawk. Invited lecture for the departments of English and Communication, University of Utah, Salt
Lake City, UT, 2013.
Rethinking the Relationship between Rhetoric and Democracy. Workshop co-leader with Jeremy Engels, Rhetoric Society of America Summer Institute, Lawrence, KS, 2013.
"Histories of Ontologies: Re-Contextualizing Parrhesia." Invited response to Gerard Hauser's keynote address, Public Address Conference, University of Memphis, 2012.
"What Can Rhetoric Do? Influence, Events, and Rhetorical Histories." Keynote for the Arnold-Ebbitt Interdisciplinary Rhetoricians' Camp Rhetoric, Penn State University, 2011.
"Rhetorical History as Applied Ethics: (Re-)Making Disciplines." Public Lecture in the University of
Denver's Communication Matters series, 2010.
"Tacking and Jibing through Disciplinary History, Or: How I Learned to Stop Worrying and Love Rhetoric." Public lecture for the University of South Carolina's Bookends series, 2010.
Graduate Symposium on Interdisciplinary Rhetorical Studies. Faculty Roundtable Participant, University of Minnesota, Minneapolis, MN, 2010.
"What Public? What Engagement? Ecological Validity, Organic Engagement, and Rhetorical Methods." Public lecture for Georgia State University, 2010.
"Civic Engagement and Health Care Reform." Web Seminar for the National Communication Association Research Board, 2009.
"Practicable Democracy and Emerging Technology Risk Perception Studies." 2008 National Science Foundation Primary Investigator's Meeting on the Societal and Ethical Implications of Nanotechnology in Arlington, VA.
"History, Communication, and the Possibility of Democracy." Keynote for the Carolinas Communication Association Conference, 2008.
"Teaching for Democracy and Other Un-American Activities." Columbia College's 2nd Annual Research Lecture in Communication Studies, 2008.
"Is There a Discipline to our History? The Ethics and Politics of 20th Century Speech Communication." University of Georgia's Speech Department Colloquium, 2004.
"Gender/Power/Kubrick." Albion College's Stanley Kubrick, Film, and the Uses of History symposium, 2000.
CONFERENCE PRESENTATIONS
"Jurgen Habermas: Discourse Ethics." Eastern Communication Association Convention, Pittsburgh, PA, 2018.
"Platform: Integrated Marketing, Media Production, and Digital Culture in the Public Speaking Course." 2017 Integrated Marketing Communication Conference in Wilmington, NC.
"Breaking Maslow's Hammer: Cross-Training Public Engagement Students in Rhetoric and Ethnography." 2017 Southern States Communication Association Convention in Greenville, SC.
"Rhetorical Innovation for the Digital Era: Meeting the Civic/Commercial Duties through Online Pedagogy." 2017 Southern States Communication Association Convention in Greenville, SC.
"Democracy and Nationalism in Early 20 th -Century American English and Speech." 2014 Rhetoric Society of America Conference in San Antonio, TX.
"Inventing the Interstice between English and Speech, 1908-1917." 2014 Rhetoric Society of America Conference in San Antonio, TX.
"The Communication Discipline and Early 20 th -Century Rhetoric." 2014 Southern States
Communication Association Convention in New Orleans, LA.
"Prologue and Ratio: Accounting for Rhetorical Futures." 2013 National Communication Association Convention in Washington, DC.
"The War on the Pharmakon: Drugs, Rhetoric, and the Addict's Pharmacopeia." 2013 Rhetorical Theory Conference, University of South Carolina, Columbia, SC.
"Before the One and the Other: Ethico-Political Communication and Community." 2013 International Philosophy of Communication Conference, Duquesne University, Pittsburgh, PA.
"Existential Crises and Democratic Rhetorics: The Convergence of Philosophy, Rhetoric, and Politics, 1967-1973." 2013 Southern States Communication Association Convention, Louisville, KY.
"Making Better Speech: The Public Work of Two Disciplines." 2013 Southern States Communication Association Convention, Louisville, KY.
"Networked Disciplines: Convergences of Communication and Composition." Co-authored with Byron Hawk. 2013 Networked Humanities: From Within and Without the University in Lexington, KY.
"Twenty-One to One: The Unity of Experience and Rhetorical Events." 2012 National Communication Association Convention in Orlando, FL.
"What Rhetoric Can Do? Criticism as Critique." 2012 National Communication Association Convention in Orlando, FL.
"Between Deme and Polis: The Space of an-Other Democracy." 2012 Communication Ethics Conference in Pittsburgh, PA.
"Free Speech and the Otherness of Truth: Courage and Dissent in Modern Democracies." 2012 Rhetoric Society of America Conference in Philadelphia, PA.
"Propaedeutic to a Rhetoric of Violence." 2012 Symbolic Violence Conference in College Station, TX.
"Rhetorics of Citizenship: Theoretical Civics and the End of Politics." 2011 National Communication Association Convention in New Orleans, LA.
"Redefining the Enlightened Citizen: Phronesis in Post-Kantian Democracy." 2011 National Communication Association Convention in New Orleans, LA.
"Minimal Intervention Engagement: A Report on the Results of Eleven Self-Structured Public Engagement Events on Nanotechnology." 2011 National Outreach Scholarship Conference in East Lansing, MI.
"A Tale of Two Rhetorics: The Invention of English and Speech from 1910 to 1918." 2011 Southern States Communication Association Convention in Little Rock, AR.
"Ethics, Ethos, and Authority in Online Discussions of Science." Co-authored with Joshua M. Call. 2010 National Communication Association Convention in San Francisco, CA.
"A Practicable-Democratic Approach to the Study of Argumentation through Organic Engagement." 2010 International Society for the Study of Argumentation Conference in Amsterdam, Netherlands.
"Situated Universals and Counterfactual Communities: Making Publics Disappear." 2010 National Communication Ethics Conference in Pittsburgh, PA.
"Cultural Capital, Habitus, and the Problem of Rhetoric in Deliberative and Discursive Democracy." 2010 Eastern States Communication Association Convention in Baltimore, MD.
"What Public? What Engagement? A Call for Organic Engagement Grounded in Ecological Validity." 2009 National Communication Association Convention in Chicago, IL.
"Cruelty: Violent Excess in Law and Rhetoric." 2009 South Carolina Rhetorical Theory Conference,
Columbia, SC.
"Rhetoric, Democracy, and the Other: Exceptionalism in Communication Ethics & Politics." 2009 Eastern Communication Association Convention in Philadelphia, PA.
"Rhetorical Pragmatism, First Causes, and Communication Ethics without Theory." 2008 National Communication Association Convention in San Diego, CA.
"The Status of Rationalism in the Care of the Self: Stoic Rhetoric and Foucauldian Ethics." 2008 National Communication Association Convention in San Diego, CA.
"Public Engagement Models and the Possibility of Practicable Democracy." 2008 North Carolina State University Workshop on Nanotechnology and Intuitive Toxicology in Raleigh, NC.
"Living Crisis: Judgment, Rhetoric, and the End of Technique." 2008 National Communication Ethics Conference in Pittsburgh, PA.
"Kantian Rationalism, Neo-Kantian Politics, and Civic Engagement Projects." 2008 Rhetoric Society of America Conference in Seattle, WA.
"Sunscreen and Swans: Myopia, Intuition, and the Role of Judgment in Media Coverage of Nanoparticle Ingredients." 2008 Southern States Communication Association Convention in Savannah, GA.
"Historical Method and Writing the Future: Communication Ethics and Political Action." 2007 National Communication Association Convention in Chicago, IL.
"Ethico-Political Argument: Exhortation and the Care of the Self." 2006 National Communication Association Convention in San Antonio, TX.
"Critical Histories of Communication as Strategies for Building Futures for Rhetorical Studies." 2006 National Communication Association Convention in San Antonio, TX.
"The Impotence of Reason and the Condemnation of Emotion in the History of Rhetoric." 2006 International Society for the Study of Argumentation 6th International Conference, Amsterdam, Netherlands.
"The Promises and Perils of Dialogic Civility." 2006 National Communication Ethics Conference, Pittsburgh, PA.
"Communication Ethics in a Non-Moral Sense." 2006 National Communication Ethics Conference, Pittsburgh, PA.
"Southern Strategies and Political Problematics in Early 20th Century Speech Studies: SSCA vs. Senator Bilbo." 2006 Southern States Communication Association Convention in Dallas, TX.
"Is there Discipline to our History(ies)? The Ethics and Politics of 20th Century Rhetorical Studies." Selected as one of the top three papers in communication ethics. 2004 National Communication Association Convention in Chicago, IL.
"The Ethical Importance of Being Human: God in Levinas's Philosophy." 2004 National Communication Association Convention in Chicago, IL.
"Breaking from Science: Existentialism, Ethics, and American Rhetorical Studies." 2004 Carolinas Communication Association Conference in Clemson, SC.
"Ethics in the Emergence of American Rhetorical Studies." 2004 National Communication Ethics Conference in Pittsburgh, PA.
"The Priority of Acknowledgment as Prerequisite to Experience: Neither Levinas nor Buber." 2003 National Communication Association Convention in Miami, FL.
"Ethics in Early Speech Communication." 2002 National Communication Association Convention in New Orleans, LA.
"Troubling Definitions: The (Ab)Use of Argument from Definition in Law, Debate, and Logic." 2002 International Society for the Study of Argumentation, Amsterdam, Netherlands.
"Limit, Alterity, and Ethics: Between Foucault and Levinas." 2001 National Communication Association Conference in Atlanta, GA.
"Toward a Deconstructive Tekne of Rhetoric: Jean-Luc Nancy's Politics of Communication and Community." 2001 International Communication Association Conference in Washington, DC.
"Being for the Other: Ethics, Justice, and Communication." 2000 National Communication Association Convention in Seattle, WA.
"The Potential Excesses of the Advocacy of Outward Activism: Critiquing the Outward Turn from the Inside/Outside." 2000 National Communication Association Convention in Seattle, WA.
"Polemics and Dialogue in Argumentation Theory and Pedagogy: Toward a Democratic Techne of Argument." 2000 International Debate Education Association Conference on Debate and Democratization in Budapest, Hungary.
"Turning Kant Against the Priority of Autonomy: Communication Ethics and the A Priori Community." 2000 National Communication Ethics Conference in Gull Lake, MI.
"Stoic Ethics and Rhetoric: The Risk of Rationalism's Excess." 2000 Eastern Communication Association Conference in Pittsburgh, PA.
"Michel Foucault's Critique of Humanism: Radical Subjectivity and Possibilities of Freedom." 2000 Eastern Communication Association Conference in Pittsburgh, PA.
"The Owl of Minerva: The Perils and Possibilities of Writing the Future." Co-authored with G. L. Ercolini. 2000 Southern States Communication Association Conference in New Orleans, LA.
"Foucault's Historical Methodology: Uses and Implications for Rhetoric." 1999 Southern States Communication Association/Central States Communication Association Joint Conference in St. Louis, MO.
"Discourse Ethics: Communication Ethics in Nietzsche and Foucault." Selected as one of the top four papers in communication ethics. 1998 National Communication Association Conference in New York, NY.
"Deviant Subjects in Foucault and A Clockwork Orange: Critiques of Social Scientific Constructions of the Self." 1998 National Communication Association Conference in New York, NY.
"Ships in the Night: Debating Postmodernism." 1998 National Communication Association Conference in New York, NY.
"Teaching Argumentation Existentially: Argumentation Pedagogy and Theories of Rhetoric as Epistemic." 1998 Nascent Methodologies Conference at University of Maryland, College Park.
"Michel and Alex: A Foucauldian critique of Kubrik's A Clockwork Orange." 1997 Western States Communication Association Conference in Monterey, CA.
"The Necessity of the Critique in Policy Debate: A Justification from the Policy Sciences Literature." 1997 Western States Communication Association Conference in Monterey, CA.
"Proof in the Global Village: Prospects, Challenges, and Standards for Electronic Evidence in Competitive Academic Debate." 1996 Speech Communication Association Conference in San Diego, CA.
"Critiquing the Critique: A Reframing of Axiological, Epistemological, and Linguistic Arguments in Academic Debate." 1995 Speech Communication Association Conference in San Antonio, TX.
OTHER CONFERENCE ACTIVITIES
Course Leader, "Teaching Public Speaking with Podcasts, Videos, and Webinars: Bringing the Basic Course to the 21 st Century." Eastern Communication Association Convention, Pittsburgh, PA, 2018.
Participant: 2017 Basic Course Director's Conference, Normal, IL.
Panelist: "Roundtable on Intellectual Freedom." 2015 University of South Carolina American Literature Colloquium Graduate English Conference, Columbia, SC.
Panelist and Interviewer: "Honoring the Work of Ronald C. Arnett." 2015 Southern States Communication Association Convention in Tampa, FL.
Scholars' Office Hours. 2014 National Communication Association Convention in Chicago, IL.
Performer: "The Presence(s) of Our Past(s)! Repetition-Yet-Again, 10, 11 … 100 Years Later." 2014 National Communication Association Convention in Chicago, IL.
Panelist: "Author Meets Critics Roundtable: 'Kant and the Promise of Rhetoric.'" 2014 National Communication Association Convention in Chicago, IL.
Chair: "Centennial Volume Authors Discuss the Future of the Discipline." 2014 National Communication Association Convention in Chicago, IL.
Chair: "Communication: Discipline or Interdiscipline?" 2014 National Communication Association Convention in Chicago, IL.
Panelist: "NCA 100: Past, Present, and Future." 2014 National Communication Association Convention in Chicago, IL.
Chair: "Microhistories of Communication Studies." 2014 National Communication Association Convention in Chicago, IL.
Meet the NCA Journal Editors. 2014 National Communication Association Convention, Chicago, IL.
Chair: "We Built That (Demos): Corporate and Communal Bodies before the Law." 2014 Rhetoric
Society of America Conference in San Antonio, TX.
Respondent: "Top Papers in Philosophy and Ethics of Communication." 2014 Southern States Communication Association Convention in New Orleans, LA.
Chair and Respondent: "Competitive Papers in the History of Rhetoric." 2014 Southern States Communication Association Convention in New Orleans, LA.
Chair: "100 Years Later: History and Disciplinary Foundations." 2013 National Communication Association Convention in Washington, DC.
Panelist: "Connections that Advance the Discipline: Voices of Democracy, Comic Strips, Rhetorical History, Senior Seminar, and Online Research Mentoring." 2013 National Communication Association Convention in Washington, DC.
Co-Chair: "100 Years Later: Thinking Through the Discipline at the Centennial." 2013 National Communication Association Convention in Washington, DC.
Meet the NCA Journal Editors. 2013 National Communication Association Convention in Washington, DC.
Scholars' Office Hours. 2013 National Communication Association Convention in Washington, DC.
Panelist: "Choosing Reasonableness in a New Era of Unreasonableness: 21st Century Consequences of 20th Century Rhetorical Projects." 2013 Southern States Communication Association Convention, Louisville, KY.
Chair: "Top Papers in Rhetoric and Public Address." 2013 Southern States Communication Association Convention, Louisville, KY.
Chair: "Between Communication and Composition: Lessons from Interdisciplinary Histories." 2013 Southern States Communication Association Convention, Louisville, KY.
Chair and Respondent: "Imitating Community: Pedagogies of Invention in the Basic Course." 2012 National Communication Association Convention in Orlando, FL.
Chair: "The Senses and Sensation in Rhetoric: The Ear, the Eye, and Beyond." 2012 National Communication Association Convention in Orlando, FL.
Panelist: "Trauma, Rhetoric, and Community: What Can Communication Scholars Learn from the Penn State Child Abuse Scandal?" 2012 National Communication Association Convention in Orlando, FL.
Respondent: "COMM(unity)? Rhetoric(s) Risking Hope, Forgiveness, and Love." 2012 National Communication Association Convention in Orlando, FL.
Panelist: "Meet the NCA Journal Editors." 2012 National Communication Association Convention in Orlando, FL.
Respondent: "Custom and Change: Innovating Ideas in the History of Communication." 2012 Southern States Communication Association Convention in San Antonio, TX.
Panelist: "Roundtable Discussion on Cosmopolitan Hermeneutics: Responses to Global Communication." 2012 Southern States Communication Association Convention in San Antonio, TX.
Chair and Respondent: "Hearing Alien Voices: The Animal, the Dead, and the Divine." 2011 National Communication Association Convention in New Orleans, LA.
Respondent: "Dialogic Others." 2011 National Communication Association Convention in New Orleans, LA.
Chair and Panelist: "Roundtable on Evil." 2011 Southern States Communication Association Convention in Little Rock, AR.
Respondent: "The Ethics and Politics of Gehrke's Speech: Interrogating the History, Challenging the Theory, Understanding the Contribution." 2010 National Communication Association Convention in San Francisco, CA.
Panelist: "Recent Books in the History of Rhetoric by Christopher Johnstone, David Timmerman and Edward Schiappa, and Lois Agnew." 2010 National Communication Association Convention in San Francisco, CA.
Chair and Panelist: "The Constitution of Public Argument: A Clinic on Rhetoric, Engagement, and Health Care Policy." 2010 Rhetoric Society of America Convention in Minneapolis, MN.
Respondent: "The Modern Rhetoric Project." 2010 Rhetoric Society of America Convention in Minneapolis, MN.
Respondent: "What Is Language Good for?" 2010 National Communication Ethics Conference in Pittsburgh, PA.
Chair and Panelist: "Southern Contributions to the Ethico-Philosophical Turn: Ethics and Philosophy of Communication Interest Group Founding Session." 2010 Southern States Communication Association Convention in Memphis, TN.
Participant: Capstone Workshop on Risk Management Methods and Ethical, Legal, and Societal Implications of Nanotechnology. 2010 National Nanotechnology Initiative, Arlington, VA.
Panelist: "Our Foundation and Our Future: Communication Ethics Division Contributions and Challenges in This Time of Change." 2009 National Communication Association Convention in Chicago, IL.
Respondent: "Conversations about Levinas: Communication Ethics in Justice, the Environment, and Life Studies." 2009 National Communication Association Convention in Chicago, IL.
Presenter & Participant: Pre-conference seminar on rhetoric's effects. 2009 National Communication Association Convention in Chicago, IL.
Participant: Pre-conference session on public engagement and the NCA-Forum. 2009 National Communication Association Convention in Chicago, IL.
Chair: "Top Papers in Communication Ethics." 2009 National Communication Association Convention in Chicago, IL.
Participant: Seminar on Discourse Analysis. 2009 Rhetoric Society of America Summer Institute in State College, PA.
Panelist: "The Week the Market Crashed? Fell? Froze? A Workshop on Rhetoric, Economics, and Public Panics." 2009 Southern Communication Association Convention in Norfolk, VA.
Respondent: "Thinking Otherwise: Negotiating Differences in Public and Private Spheres." 2008 National Communication Association Convention in San Diego, CA.
Panelist: "Roundtable Discussion of Pragmatism, Democracy and the Necessity of Rhetoric." 2008 National Communication Association Convention in San Diego, CA.
Panelist: "Histories of Rhetoric and Communication in the 20th Century: Responses to Keith's Democracy as Discussion." 2007 National Communication Association Convention in Chicago, IL.
Pre-conference presenter: "Communication Ethics, Religious Faith and Culture." 2007 National
Communication Association Convention in Chicago, IL.
Participant: "Responses to Michael Hyde's The Life-Giving Gift of Acknowledgment." 2006 National Communication Association Convention in San Antonio, TX.
Pre-conference participant: "The History of the Field and Assessing Our Strengths." 2005 National Communication Association Convention in Boston, MA.
Short-course presenter: "Exploring the Health of the MA-Only Program." 2005 National Communication Association Convention in Boston, MA.
Panelist: "Uncharted Waters; The Long, Crooked Voyage from a Working Class Life to an Academic Career." 2005 National Communication Association Convention in Boston, MA.
Panelist: "The Current Health of the Longitudinal Case Study in Rhetorical Criticism." 2005 National Communication Association Convention in Boston, MA.
Panelist: "The Health of Theory in the Discipline." 2005 National Communication Association Convention in Boston, MA.
Respondent: "Utilitarian Ethics in Teaching, Research and Professional Practice." 2005 National Communication Association Convention in Boston, MA.
Panelist: "The Voice of Ethics in Communicative Action." 2004 National Communication Ethics Conference in Pittsburgh, PA.
Pre-conference participant: "The History of the Discipline." 2004 National Communication Association Convention in Chicago, IL.
Respondent: "Theory and Philosophy: Papers in Rhetorical and Communication Theory." 2003 National Communication Association in Miami, FL.
Panelist: "Where's the Hope for Ethics in Times of Crisis?" 2003 National Communication Association in Miami, FL.
Pre-conference participant: "Communication Ethics and Emmanuel Levinas." National Communication Association, 1999, 2000, 2001, 2002, and 2003.
Respondent: "Kritiking: The State of the Art." 1999 National Communication Association Conference in Chicago, IL.
Panel debater: "Issues in Health Care Reform." 1999 Southern States Communication
Association/Central States Communication Association Joint Conference in St. Louis, MO. Panelist: "Kritiking and Permutations." 1998 National Communication Association Conference in New York, NY.
Panel debater: "Critiques are appropriate in competitive academic debating: A defense of the position." 1996 Speech Communication Association Conference in San Diego, CA.
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DIABETES IS PRIMARY
TIMELY NEWS FOR THE MULTIDISCIPLINARY CARE TEAM
from the American Diabetes Association
FROM THE JOURNALS
By Max Bingham, PhD
Malnutrition Worsens Mortality Risk in Older Adults With Diabetes
Malnutrition in older adults can be a problem, but when it's combined with diabetes, it can dramatically increase mortality risk and health care costs, according to Ahmed et al. (BMJ Open Diabetes Research and Care, doi.org/ gc2jqw). As a result, the authors suggest that identifying and treating patients with malnutrition should be a priority in diabetes care for older adults.
The conclusion comes from a retrospective observational study of >15 million diabetes patients that looked at the impact of malnutrition in diabetes with or without a range of significant comorbidities.
The authors identified just over 800,000 diabetes patients who had an additional diagnosis of malnutrition and found that the patients had a 69% higher risk of death compared to diabetes patients without malnutrition. Patients who had diabetes, malnutrition, and another significant comorbidity also had significantly higher risks of death compared to those without malnutrition, ranging from a 47% higher risk with acute myocardial infarction to a 63% higher risk with ischemic heart disease. Higher risks of death were also associated with chronic kidney disease, heart failure, stroke/transient ischemic attack, or chronic obstructive pulmonary disease. Median survival time from diabetes diagnosis to time of death was reportedly just under 2.5 years when malnutrition was present compared to just over 5 years in patients without malnutrition.
On the secondary outcome of health care costs, the authors found an average annual cost of just over $36,000 for patients with diabetes and malnutrition compared to just over $20,000 for those with diabetes but no malnutrition.
Max Bingham, PhD, is a science writer and editor in Rotterdam, Netherlands. He can be reached on Twitter at @maxbingham.
https://doi.org/10.2337/ds18-0012
©2018 by the American Diabetes Association, Inc.
1 2 4
Bottom line? They conclude that concerted efforts are needed to identify and treat malnutrition in patients with diabetes.
Study Confirms Success of a Consultation Model for Diabetes Care
A study by Rutten and van Vugt et al. (Diabetes Care, doi. org/ck5w) on the implementation of the Dutch Diabetes Federation's consultation model of diabetes care suggests that the approach can be used to successfully facilitate person-centered diabetes care and improve patients' involvement in and satisfaction with their care.
According to the authors, the consultation model comprises a series of steps, including documenting disease- and patient-related factors, setting personalized goals, choosing treatments, and reaching agreement between patient and provider on required care. The study included 74 physicians and 31 nurses who performed 1,366 consultations with diabetes patients.
The authors found the model to be appropriate for health care providers (HCPs) in about three-fourths of cases. Consultation time was roughly 25 minutes, and about two-thirds of patients spoke for more than half of the consultation time, most of which was devoted to person-related factors and ultimately resulted in the establishment of treatment goals. Just over 94% of patients made shared decisions with their HCP, and a significant minority felt more involved than before the model was introduced.
"The new approach leads to more patient involvement and a more relevant perception of shared decision making and is appreciated by a substantial number of patients," the authors concluded, adding that diabetes care providers may need some training to better provide "care that is respectful of and responsive to individual patient preferences, needs, and values and ensures that patients' values guide all clinical decisions."
SPECTRUM.DIABETESJOURNALS.ORG
MARKETPLACE
Use of Continuous Glucose Monitoring System Reduces Hypoglycemia Events
Dexcom's G5 Mobile continuous glucose monitoring (CGM) system can reduce the number of hypoglycemia events in individuals with type 1 diabetes, according to Heinemann et al. (The Lancet, doi.org/ck5z). In the 6-month trial, the mean number of hypoglycemia events decreased from 10.8 in the first 28 days to 3.5 in the last 28 days of the study—a reduction of 72%. In comparison, there was a negligible reduction in hypoglycemia in the control group (14.4 vs. 13.7 events).
"We found that the Dexcom CGM system reduces hypoglycemic events through the availability of low glucose alarms and use of trend information, which enables individuals to proactively respond to falling or near-low glucose values," author Lutz Heinemann said, adding, "This is especially helpful to patients with impaired hypoglycemia awareness or other patients at night, when they are most vulnerable to potentially dangerous hypoglycemic events."
Meanwhile, Dexcom's G5 device has gone head-to-head in a trial with Abbott's Freestyle Libre flash glucose monitor for hypoglycemia events. According to Reddy et al. (Diabetic Medicine, doi.org/ck52), participants using Dexcom's device had hypoglycemia 4.5% of the time at baseline and reduced that to 2.4% after 8 weeks. In comparison, the group using Abbott's device experienced hypoglycemia for 6.7% of time at baseline and 6.8% after 8 weeks. (Note: both studies were funded by Dexcom but were investigator-initiated.)
Consumer Wearables Offer Benefits for People With Diabetes
It was bound to happen: the Apple Watch can apparently detect diabetes with an accuracy of 85%. The secret? According to Ballinger et al. (http://bit.ly/2Fgpxyd), the key is a neural network approach to find patterns in data from the heart rate monitor in the device. Previous studies have revealed that heart rate variability and patterns are altered in diabetes. The challenge was to uncover the patterns associated with the disease, which the authors have apparently managed to do in patients with known diabetes. Prospective studies will be
VOLUME 31, NUMBER 2, SPRING 2018
TREATMENTS + THERAPIES
De-Intensification of Glucose-Lowering Drugs May Be Advisable in Some Elderly Patients
Type 2 diabetes may be over-treated in some elderly patients, potentially leading to the development of harmful complications, according to Hart et al. (Diabetes, Obesity and Metabolism, doi.org/ck55).
Using patient records from a cohort of >1,000 older patients with type 2 diabetes in primary care, they found that just under 40% of adults aged ≥70 years of age with an A1C target >7% were likely over treated according to local guidelines. Many had microvascular and macrovascular complications and comorbidities, used multiple medications, or were considered frail.
The vascular benefits of tight glycemic control have not been proven in older adults, and indeed any benefit may be outweighed by the risk of hypoglyce mia, the authors say. As a result, they advise diabetes care professionals to abandon a "one-size-fits-all" approach and consider de-intensifying glucoselowering treatments when appropriate.
Culturally Appropriate Diabetes Education Improves Outcomes
A culturally tailored diabetes education program has shown promise at delivering improved outcomes in Bangladeshi immigrants with type 2 diabetes living in New York City. According to Islam et al. (Clinical Diabetes, doi.org/ck57), key components of the approach are community health workers and culturally appropriate educational programs delivered in the Bengali language.
Using a randomized, controlled trial design, the authors assigned 176 individuals to the intervention, which was an intensive 6-month diabetes education and coaching program. The control group only received one group session on core aspects of type 2 diabetes and then usual care.
At 6 months, the intervention group experienced a nonsignificant A1C reduction of 0.2% (from 7.8 to 7.6%, P = 0.063), whereas A1C in the control group held steady at 8.0%. Members of the intervention group also were much more likely to hit their A1C target than those in the control group (55.2 vs. 42.5%, P = 0.035).
Although the overall effects of the intervention were modest, the authors highlighted that community health workers can effectively deliver culturally adapted diabetes education to targeted populations.
125
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CODING, REGULATIONS, + REIMBURSEMENTS
HIGH-DEDUCTIBLE HEALTH PLANS' EFFECTS ON UTILIZATION MAY DIFFER BASED ON MEMBER INCOME
Switching to a high-deductible health plan (HDHP) resulted in an overall reduction in direct health care utilization and costs associated with diabetes, according to Wharam et al. (Diabetes Care, doi.org/ck6b). However, for lower-income plan members, this switch resulted in significantly higher expenditures associated with high-severity emergency room visits and increased days of hospitalizations.
The study looked at the effects of HDHPs on various utilization measures, including emergency room visits, hospitalization rates, and total health care expenditures in a large group (n = 23,493) of plan members with diabetes who were 12–64 years of age between 2003 and 2012. Specifically, participants were enrolled for 1 year in a low-deductible health plan (LDHP; ≤$500 in out-of-pocket expenses), followed by 1 year in an HDHP (≥$1,000) after an employer-mandated switch. Outcomes were then compared to 192,842 diabetes patients who were only offered LDHPs by their employer over the same period.
After switching to an HDHP, emergency room visits, all hospitalizations, and nonemergency hospitalizations fell by 4.0, 5.6, and 11.1%, respectively. Total health care expenditures also decreased by 3.8%. In the overall cohort, adverse outcomes did not change after the switch. However, low-income plan members experienced a 23.5% increase in expenditures for emergency room visits and 27.4% more days in the hospital due to high-severity issues.
The authors say it is concerning that low-income plan members are likely delaying treatment (i.e., missing opportunities for prevention and treatment of less severe complications) in an attempt to avoid costs, only to present later with more severe complications in emergency departments and hospitals. While highlighting that clinicians should be aware that low-income HDHP members might have a substantially increased risk of diabetes complications, they conclude: "Policymakers and employers should consider approaches for protecting such vulnerable populations, including providing health care plans tailored to reducing barriers to care, facilitating medical savings, and educating members about HDHPs."
BETTER DOSING GUIDELINES NEEDED FOR PRESCRIPTION DRUGS USED IN CHILDREN WITH OBESITY
The labels of common prescription drugs often do not contain any information on dosing in obese pediatric patients, according to Vaughns et al. (Journal of Clinical Pharmacology, doi.org/ck6c). This lack of guidance, the authors say, means that common drugs might not be safe or work as intended in this population.
Their analysis looked for any statements relating to obesity in pediatric patients in reviews and materials within the listings of the U.S. Food and Drug Administration (FDA) Amendments Act of 2007 and the FDA Safety and Innovation Act of 2012.
continued on p. 127
→
SPECTRUM.DIABETESJOURNALS.ORG
MARKETPLACE
Consumer Wearables, continued from p. 125
needed to prove that the method can also uncover cases of undiagnosed diabetes.
Meanwhile, Oosterom et al. (Diabetes Care, doi.org/ck54) report that wearable devices such as Fitbits are likely to be more accurate than subjective assessments such as questionnaires at tracking the physical activity of individuals with type 2 diabetes. Consequently, the authors propose that objective measures of physical activity should be incorporated into standard care for type 2 diabetes, particularly as the approach might serve to increase patients' awareness of physical inactivity.
CONFERENCE SPOTLIGHT
VERY-LOW-CALORIE DIETS MAY INCREASE SHORT-TERM HEART RISKS
"Crash" diets involving very low caloric intake can have dramatic effects on obesity and diabetes symptoms, sometimes rivaling those of drug interventions. However, data presented in February at the CMR 2018 meeting in Barcelona, Spain (bit.ly/2Fkig0B), suggest that, at least in the short term, there may be worrying side effects: a transient deterioration in heart function and a significant buildup of heart fat at 1 week. As a result, researcher Jennifer Rayner suggests that patients considering such a diet should consult a doctor before starting it, particularly if they have a known cardiac problem.
"These diets have a very low calorie content of 600–800 kcal/day and can be effective for losing weight, reducing blood pressure, and reversing diabetes," Rayner said. "But the effects on the heart have not been studied until now."
Her study involved 21 obese individuals and used magnetic resonance imaging (MRI) to evaluate the impact of verylow-calorie diets on heart function and fat distribution at various locations in
VOLUME 31, NUMBER 2, SPRING 2018
Better Dosing Guidelines, continued from p. 126
Specifically, the authors looked for drugs that included dosing guidelines for obese pediatric patients. They identified 89 drug labels listed under the two acts that contained obesity-related keywords. None contained any dosing information related to obesity, although the effects of BMI on drug pharmacokinetics were mentioned in four labels.
"We are making progress in expanding the number of medicines with pediatric labeling, but we need to do more concerning providing dosing guidelines for children with obesity," author Janelle Vaughns said. "Moving forward, regulators, clinicians, and the pharmaceutical industry should consider enrolling more obese patients in pediatric clinical trials to facilitate the safe and effective use of the next generation of medicines by obese children and adolescents."
the body. MRI scans were performed at baseline before the diet started and again at 1 and 8 weeks. After 1 week, total body, visceral, and liver fat had dropped by 6, 11, and 42%, respectively. However, heart fat had increased by 44%, and heart function had deteriorated. At 8 weeks, heart fat content and function had improved beyond values at baseline, alongside all the other measures.
Rayner suggests that the sudden drop in calories likely causes fat to be released into blood. This fat is taken up by the heart muscle as energy, but the heart becomes swamped, at least in the initial acute period, worsening heart function. Accordingly, she calls for further research into the impact of this effect, particularly in people with existing heart problems.
127
ADA NEWS
PRIMARY CARE PRE-CONFERENCE SCHEDULED FOR 2018 SCIENTIFIC SESSIONS
The American Diabetes Association (ADA) Diabetes Is Primary continuing education program will take place on Friday, June 22, 2018, in advance of the
78th Scientific Sessions in Orlando, Fla. This educational initiative, aimed at the primary care community, will offer information needed to improve patient outcomes and enhance patient engagement.
The program will include a panel discussion on new ADA guidelines related to cardiovascular risk, an update on the latest ADA Standards of Medical Care in Diabetes, and presentations on psychosocial care, prediabetes, diabetic kidney disease, and obesity management. Presentations will be delivered in an interactive format, and attendees will be able to follow along on tablets, weigh in on case studies, and access additional resources online.
The $100 registration fee includes admission, up to 6 continuing education credits, course materials, and lunch. Scientific Sessions attendees can sign up for the Diabetes Is Primary preconference through the online Scientific Sessions registration process. Clinicians not attending the Scientific Sessions can register at professional.diabetes.org/primary.
DPP CHARTING AID AVAILABLE
The American Diabetes Association (ADA) Education Recognition Program (ERP) has expanded its Chronicle Diabetes electronic charting system to include Diabetes Prevention Program (DPP) charting and report generation that aligns with the Centers for Disease Control and Prevention (CDC) DPP recognition requirements. The charting platform is an easy-to-navigate way to input data and generate CDC-required reports.
ADA is committed to ensuring that the DPP charting platform continues to align with the revised 2018 CDC DPP Standards and the Centers for Medicare & Medicaid Services DPP reimbursement guidelines. The platform is available for a minimal fee to DPP providers regardless of whether they are also ADA-recognized diabetes self-management education and support programs.
To learn more about the platform and its capabilities, please submit a DPP Platform Interest Form (available from bit.ly/2Clr3O8), and an ERP staff member will contact you.
To learn more about ADA's continuing education opportunities, including Diabetes Is Primary events in your community, please visit professional.diabetes.org/ce.
1 2 8
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Fiddlehead Pendant Roll & Hill
[email protected]
Product Type Chandelier
Jason Miller's Fiddlehead derives its name from sprouting ferns. One end of Fiddlehead's long, furling arm gently balances a handblown glass globe; the other uses the wall or ceiling as a counterbalance.
Dimensions
L27cm x W25cm x H41cm
L10,5" x W10" x H16"
Weight
Voltage (V)
2,3 kg
120 or 240 V
Cream Globe
LED Bulb Illumination
Socket: E26
Wattage: 6 Watts
Bulb: 6 Watt A19 frosted
Lumens: 250 Lumens
Dimming: Triac or ELV
Color Temperature: 2700 Kelvin
Smoke Globe
Bulb: 3 Watt G25 Clear
Socket: E26
Wattage: 3 Watts
Color Temperature: 2700 Kelvin
Lumens: 210 Lumens
Dimming: Triac or ELV
Socket: E26
Clear Globe
Bulb: 3 Watt G25
Lumens: 600 Lumens
ClearWattage: 3 Watts
Color Temperature: 2700 Kelvin
Certifications
Dimming: Triac or ELV
UL, cUL (120V)
CE, CB(240V)
UPON ORDERING THIS DESIGN
Specify any details needed to place order.
These should be selection items on the website.
mattermatters.com
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CP - 50, Medium Duty
CARBON PILE
Self contained carbon pile in portable cabinet.
18 carbon plates, each 1/4" x 4" x 4".
For intermittent use up to 150 amps. The same carbon pile as in our "Quality Control" model test benches.
May be used on your test bench or on the vehicle.
Capable of load testing batteries.
DVM
DIGITAL VOLT-OHM-AMMETER
- Hand held Digital Volt-Ohm-Ammeter High quality with 1" LCD display, 9 function, drop resistant. 9 volt battery powered.
- DC volts: 200mv, 2v, 20v, 200v, 1000v
OHMS: 200, 2K, 20K, 200K, 2M, 20M, 200M
DC amps: 20ma, 200ma, 2ma, 20ma, 200ma, 2a, 10a
- The DVM comes with JIMCO's instructions for voltage measurements, voltage drop tests for both alternators and starters, key off static current draw and alternator AC ripple volts. With the optional ICP "clamp on" ammeter probe alternator output current and starter current draw can be measured.
ICP
"CLAMP ON" AMMETER PROBE
- 0-200 and 0-2000 amp (AC or DC) "clamp on" inductive ammeter probe.
- Output equals 1mv per amp of current flow. 9 volt battery powered, zero adjustment, 2% (200 amp) and 3% (2000 amp) accuracy.
- With the optional 10X multiplier the ICP can be used to accurately measure currents as low as 250 milliamps.
- Use with DVM or other brand digital meters.
BUY the DVM and ICP together and SAVE!
1-OHM RESISTOR LEAD ASSEMBLY
- When used with your milli-voltmeter accurately measures vehicle parasitic current draw.
- Protects your meter from damage if current draw is excessive.
- Instructions included
part no. 1-OHM
40-OHM RESISTOR LEAD ASSEMBLY
- Provides a safe 30 milliamp load to verify that alternator "sense" and "IG" wires are good.
- Instructions included
part no. 40-OHM
"TIMES 10" MULTIPLIER ASSEMBLY
- Use with your "clamp on" ammeter probe to measure low current.
- Divide meter reading by 10 for actual reading. Example: 9.8 = .98 amps.
- Fused for over current protection.
- Instructions on tag
part no. 10X
Associated Equipment Model 6042
"On-The-Car" Tester
Easy to read LED volt and ammeter
Test 12, 12/24 and 24 volt systems
500 amp carbon pile
Includes cart with 2 trays
Reverse hook-up protected
Load test 1000 CCA batteries
"Flexi-spring" heavy duty clamps
Inductive "clamp-on" ammeter pick up
Video manual
Starter circuit testing is easy with the "Tech-Chek" 8540. Simply make 5 clip connections.
- Monitors battery voltage before and during cranking.
- Measure (B+) voltage drop.
- Ground side voltage drop.
- Solenoid/ignition switch voltage drop.
- All at the same time! One 8540 does what used to take 4 hands.
The 8540 even knows if the system is 12 volt or 24 volt and adjusts accordingly! Green LEDs indicate correct pre-crank battery voltage and verify that you've made all the connections. Red LEDs come on if battery voltage drops too low during cranking and if there is excessive voltage drop in the (B+) circuit, ground circuit and solenoid/ignition circuit. If a red LED comes on it will stay on after cranking so you can see it.
The 8540 can reduce "no fault found" warranties and reduce wasted time during starter circuit testing!
JIMCO, Inc. • Phone: 800 - 821 - 7137 • FAX: 816 - 331 - 1971
M310
D.C. VOLTMETER
Self contained voltmeter, 0 - 20 V.D.C and 0 - 40 V.D.C. scales with momentary switch operated 0 - 2 V.D.C. position for voltage drop measurements. May be used on your test bench or on the vehicle. The same meter in JIMCO's "PREMIUM" test benches.
M320
AMMETER
Self contained ammeter, 0 - 200 AMP D.C. and 0 - 400 AMP D.C. scales with internal shunt. Scale selector switch and lead reversing switch. Ammeter leads must be connected in series with the circuit to be measured. May be used on your test bench or on the vehicle. The same meter in JIMCO's "PREMIUM" test benches.
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This July 4 th we are going to remember the quotes that helped spur on a revolution: "Stand your ground. Don't fire unless fired upon, but if they mean to have a war, let it begin here"
John Parker – Lexington, Mass. April 19, 1775
Pistols
10 rounds - holstered
Rifle 10 rounds – in hand
Shotgun 4+ rounds - staged on rock
Shooter starts standing behind rock with rifle in hand pointed at rifle target. Shooter says, "I heard a shot!" ATB, alternate for 10 rounds on the square rifle targets. Place safe rifle on table. Shooter may choose either pistols or shotgun next. Pistols: Alternate for 10 rounds on pistol targets. Shotgun: Engage shotgun popper. PMF.
Another famous quote for this July 4 th "I have not yet begun to fight!" John Paul Jones – 1779 Battle of Flamborough, after being called upon to surrender.
Pistols
10 rounds - holstered
Rifle 10 rounds – staged in window
Shotgun 6+ rounds – staged in window
Shooter starts to the left of the left side cactus, hands at Texas Surrender. Shooter says, "I have not yet begun to fight." ATB, with first pistol engage the Indian pistol targets with 5 rounds. Holster. Move to window. Shooter may choose either rifle or shotgun next. With rifle, engage the 2 bull butts with 5 rounds each. Place safe rifle back in window. With shotgun engage shotgun poppers. PMF. Place safe shotgun back in window. Move to the right side of the right side cactus and engage the Indian pistol targets with 5 rounds. Holster.
Who can forget the most famous Revolutionary quote: "Give me Liberty or give me Death!" Patrick Henry – March 23, 1775
Pistols
10 rounds - holstered
Rifle 9 rounds – staged in left window
Shotgun 4+ rounds – staged in right window
Shooter starts in left window, hands on hat. Shooter says, "Give me Liberty." ATB, with rifle engage the rifle targets from either the left or right with a triple tap sweep. Place safe rifle back on shelf. Move to between facades. With first pistol engage Indian pistol targets from either left or right with a Nevada sweep. Holster. With 2 nd pistol engage pistol targets with a Nevada sweep from the opposite direction. Holster. Move to right window and with shotgun engage poppers. PMF.
"Don't fire until you see the whites of their eyes, and then fire low!" General Israel Putnam at the Battle of Bunker Hill
Pistols
10 rounds - holstered
Rifle 10 rounds – port arms
Shotgun 4+ rounds – staged in window
Shooter starts at window, rifle at port arms. Shooter says, "Wait until When??!" ATB, engage the 5 rifle targets in a pendulum sweep from either end. Place safe rifle in window. Move to left side of lamp post and engage the pistol targets with a pendulum sweep starting on either end. Holster pistols. Move back to window and with shotgun engage shotgun poppers. PMF.
The Revolutionary quote I like best is:
"They that can give up essential liberty to obtain a little temporary safety, deserve neither liberty nor safety!"
Benjamin Franklin 1795
Pistols
10 rounds - holstered
Rifle 10 rounds – staged in right window
Shotgun 6+ rounds – staged on horse
Shooter starts standing next to horse, hands on ammo. Shooter says, "Gimme back my bullets." ATB, engage the six shotgun poppers. PMF. Restage shotgun safely. Move to right window and engage the 2 rifle targets in a Lawrence Welk sweep (1 on 1, 2 on 2, 3 on 3, 4 on 4) starting on either target. Place safe rifle back in window. Move to left window and engage the pistol targets in the same fashion as the rifle targets (Lawrence Welk sweep). Holster pistols.
Stages 1
Steel
Props
2 large rounds
1 rock table
2 squares
2 small cacti
2 blue uprights
2 red uprights
6 bases
4 poppers
Stage 2
Steel
Props
2 bull butts
1 Window/Wall
2 Indians
2 blue uprights
2 large cacti
2 red uprights
4 bases
6 poppers
Stages 3
Steel
3 large squares
3 Indians
3 blue uprights
3 red uprights
4 poppers
6 bases
Stages 4
Steel
Props
5 small rounds
1 lamp post
5 large squares
1 Window/Wall
5 red uprights
5 blue uprights
4 poppers
12 bases
Stages 5
Steel
2 large rounds
2 large squares
2 brown uprights
3 bases
6 poppers
Props
2 facades
1 horse
1 small cactus
Props
2 facades
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The protective and secure breast dressing developed with clinicians
• No more ‘patchwork’ dressings
• Low friction backing to prevent uncomfortable snagging on clothes
• Reduced dressing time and associated patient discomfort
• Central hole to prevent pressure on the nipple including incisions to accommodate larger nipples
• Designed for patient comfort
• Silfix soft silicone adhesive for atraumatic removal
An Innovative Breast Dressing
Advazorb Areola is the result of a collaboration with Nottingham University Hospitals and Nottingham Breast Institute to fulfil a very specific need – a protective and secure breast dressing.
Advazorb Areola combines Silfix® soft silicone with conformable, absorbent foam to deliver excellent patient comfort, effective exudate management, secure fixation and atraumatic removal.
The challenge of dressing the breast
Clinicians are often faced with trying to create their own breast dressing from a patchwork of square dressings that do not conform to the shape of the breast.
The ideal choice for:
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- Nipple reconstruction
- Breast augment through areola incision
- Gynaecomastia
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Three layers of performance
1. **Low friction backing**
Increases “wearability” and prevents uncomfortable snagging on clothes
2. **Silfix silicone adhesive**
For easy placement and replacement
Atraumatic removal
3. **Comfortable, absorbent foam**
With nipple hole to prevent nipple pressure.
Incisions ensure the hole suits larger nipple sizes.
Fit for purpose
Advazorb Areola is ergonomically designed to fit the contours of the breast making dressing application, easy, quick and comfortable for the patient.
Dimensions:
Total width 12.7cm
Foam diameter 5.0cm
Nipple hole 1.2cm plus incisions
Product Code:
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For further information or to request a demonstration on the innovative Advazorb Areola, contact Advancis Medical on +44 (0)1623 751 500 or email [email protected]
Find us online
www.advancis.co.uk
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After 30 March 2018, new referrals from GPs for consultant-led appointments at Northampton and Kettering General Hospitals need to be made digitally using the NHS eReferral Service (eRS) *.
Any referrals sent by post after that date will be returned.
*some exemptions apply
Benefits
| Patient choice | Patient experience |
|----------------|--------------------|
| Appointment date and time | Fewer inappropriate referrals |
| Hospital or specialist | Shorter referral to treatment times |
More efficient system
Cost and time savings for GPs practices and hospitals
Need extra help?
Most GP practices are already making their referrals using the eRS system. If you need support to go fully digital, there’s a range of educational tools and support information on the training section of the NHS e-Referral Service website:
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OFFICE
500 South Gillette Avenue Suite 1100 Gillette, Wyoming 82716 (307) 686-7477
(307) 687-6325 FAX (307) 680-1519
Emergency Management Agency
April 14, 2021
To:
Board of Commissioners
From:
David King
Re:
EMPG Grant Application
On behalf of the Campbell County Emergency Management Agency I am requesting your permission to submit an application to the Wyoming Office of Homeland Security for the 20212022 Emergency Management Performance Grant (EMPG). The grant award would be $35,000.
EMPG is anticipated in CCEMA's budget each year as a 50-50 reimbursement grant, requiring a local match equal to the federal portion. We have typically applied the grant as reimbursement against CCEMA's personnel expenses.
The Wyoming Office of Homeland Security has made a change in their grant application process this year, moving to an on-line application portal, and the applications must be submitted through that portal by 5:00 p.m. on April 16 th .
Once applications are received, the State decides what they will allocate to each county and prepares individual grant contracts which will be sent out for your consideration, approval and signature. The county has no obligation under the grant until after that contract is approved by both the county and the state.
The purpose of the EMPG grant is to assist state and local governments in enhancing and sustaining all-hazards emergency management capabilities. States have the opportunity to use EMPG funds to further strengthen their ability to support emergency management mission areas while simultaneously addressing issues of national concern as identified in the National Priorities of the National Preparedness Guidelines.
This is an annual grant from DHS/FEMA which covers a performance period of October 1 st , 2020 through September 30 th , 2023. This becomes somewhat confusing because we are currently operating under last year's EMPG grant which has a performance period of October 1 st , 2019 through September 30 th , 2022. The performance period always overlaps previously existing EMPG Grants and is awarded well after the grant period begins. DHS/FEMA and the State require us to utilize all of the funding from the previous grant before we begin to apply expenditures against the new one.
COORDINATOR David King [email protected]
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Certificate of Registration
This is to certify that:
ANALYTICA LTD
1172 SOFIA, 59 DRAGAN TCANKOV BLVD., ENTR. B, AP. 4
Has been assessed by International Certification Register – Bulgaria Ltd.,
in respect of their Food Safety Management System and found to comply with
ISO 22000:2005
Approval is hereby granted for registration providing the rules
and conditions relating to certification are observed at all times
Certification Scope:
PRODUCTION AND SALE OF FOOD INGREDIENTS
Certificate Issue Date: 27 December 2011
Expiration Date: 26 December 2014
Certificate No.: FS1227009/11
The Seal of ICR – Bulgaria Ltd. was here
to affixed in the presence of:
[Signature]
Managing Director
International Certification Register – Bulgaria Ltd., Registration office: 1 Opalchenska Str., office 9, Plovdiv 4000, Bulgaria; web site: www.icr-bg.com
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2023 Volume 11 Number 10, 39-45
Analyzing the impact of online payments on business performance in San Jose, Occidental Mindoro
Rey Hipolito, Jhun Michael A.
Divine Word College of San Jose, Philippines (
[email protected]
)
Limos-Galay, Jenny A.
Divine Word College of San Jose, Philippines (
[email protected]
)
Received: 18 June 2023
Revised: 20 July 2023
Accepted: 18 August 2023
Available Online: 25 August 2023
DOI: 10.5861/ijrsm.2023.1111
ISSN: 2243-7770
Online ISSN: 2243-7789
OPEN ACCESS
Abstract
This study aimed to analyze and evaluate the impact of online payment on business performance in San Jose, Occidental Mindoro (SJOM), by examining its present situation, the challenges, and the prospective advantages it might provide for nearby companies and clients. In recent years, online payments have grown in popularity. Local businesses and communities must embrace the introduction of new digital payment methods as the usage of the Internet for shopping continues to grow around the globe. In SJOM, there are now just a few options available for making payments online; nonetheless, the majority of transactions still utilize traditional techniques, including the use of cash. It was found that the main obstacles to its widespread adoption were a lack of understanding and familiarity with online payment methods, as well as a lack of affordable access to dependable Internet infrastructure. It provides a quick and secure replacement for cash transactions, enabling companies to grow their customer bases outside of conventional retail spaces. Consumers can now buy goods and services over the Internet without leaving the comfort of their own homes, thanks to the growth of online payment methods. The adoption of online payments is being hampered in SJOM, by several issues, including concerns about data security, a lack of confidence in online platforms, and the need for better internet connectivity. If one were to fulfill the objectives of ensuring secure transactions and increasing internet accessibility, cooperation between local businesses, governmental bodies, and companies offering telecommunications services would be necessary. Making payments online is nevertheless advised despite these difficulties because there are numerous important advantages to doing so. Local businesses can increase their client base, lower operational costs related to processing cash, and improve their overall level of efficiency by automating payment operations. Additionally, customers can benefit from the ease of cashless transactions, which boosts their purchasing power and encourages financial inclusion.
Keywords: online payment, business performance, cash transactions, business owners, Occidental Mindoro
Analyzing the impact of online payments on business performance in San Jose, Occidental Mindoro
1. Introduction
As a direct result of the continued expansion of the eCommerce sector, different kinds of advancement are produced within the sectors. According to Snap (2020), one of the most significant and beneficial modifications invented to Internet commerce was the invention of online payment. Payment systems have developed over time compensation to people's desire to transact in larger volumes, with better efficiency, and across national borders. At the same time, the industry of online payments has grown to deliver efficient solutions and harness the potential for internet-based trade (Wu et. al., 2003). In addition, the impact of COVID "expedited the digitization of the payments industry by two or three years (Verde, 2020). Mobile commerce sales surpassed $2.91 trillion in 2021, about 75 percent of all dollars spent on digital buying using a mobile device. These data should not be disregarded, nor should the change in consumer behavior that they indicate (Masihuddin et. al., 2017). The adoption of Internet payment methods has resulted in dramatic changes to how e-commerce is conducted in San Jose, Occidental Mindoro. As a result of the rapid advancement of technology and the growing popularity of e-commerce platforms, people's and organizations' approaches to the management of financial transactions have been completely transformed by the advent of online payment methods.
One of the most noticeable effects of online payment methods in San Jose, Occidental Mindoro, is their convenience. Payments were typically made with cash or checks for the vast majority of transactions, such as settling accounts or purchasing products. Internet payment systems, on the other hand, allow individuals and businesses to conduct financial transactions from the convenience of their homes or workplaces. Due to this convenience, they are no longer required to physically go somewhere to make a payment, which saves them considerable time (Yao et. al., 2018). Moreover, modest businesses and entrepreneurs in San Jose and Occidental Mindoro now have access to more prospects due to the widespread adoption of online payment systems. Now that they can accept payments online, even relatively small businesses have the opportunity to expand their consumer base beyond their immediate region. Due to this accessibility, increased sales and revenue are possible, which is advantageous for the local economy. Convenience is another significant advantage of online payment methods. In the past, it was common for individuals to fear being kidnapped or losing money. Due to the development of secure online payment methods and encryption technology, however, the risks associated with using actual currency have been significantly reduced. Businesses stand to benefit from the increased trust and confidence of their customers (Snap, 2020). Customers no longer need to worry about providing their financial information to complete a transaction.
Research Objectives - The research objectives for this study were to: analyze and determine the impact of online payments on San Jose Occidental Mindoro's business performance; analyze the benefits and drawbacks of online payments on the operation of businesses in San Jose, Occidental Mindoro, and find out how San Jose, Occidental Mindoro business owners are adjusting to the new technology of online payments.
Significance of the Study - The researcher has witnessed businesses that offer online payments for convenience, not only in San Jose, Occidental Mindoro but almost all over the world. The results of this study will be of great benefit to the following: First to the business owners, this research study will be significant to them in weighing the pros and cons of having online payments in their businesses. To the students, this study may serve as a guide and reference for students undertaking similar studies. To the professors, this research will aid them in their discussion regarding related lessons. It will be easier for them to tackle related topics in this research. To future researchers, this will be a great help to the researchers that are concerned with studies related to online payments and businesses. The study will provide them with baseline data that would lead to further researchable aspects that concern businesses with online payment. This will be a good guide and source of
relevant data for future research. This research study aims to investigate the impact of online payments on business in San Jose, Occidental Mindoro, and make a better conclusion and recommendation to every business owner about online payment transactions.
Scope and Delimitation of the Study - This research study focused on how online payments affect businesses' performance in San Jose, Occidental Mindoro. It also focused on how online payments in San Jose, Occidental Mindoro, determine their advantages and disadvantages. The research study will also focus on how San Jose, Occidental Mindoro business owners manage to adapt to the modern technology of online payments. Only the month of June-July 2023 were used for this research study's operation. The researcher has developed an interest in researching how online payments affect businesses, particularly those in San Jose, Occidental Mindoro. However, the researchers will only include businesses in San Jose, Occidental Mindoro, despite the fact that the study's goal is to elaborate on the impact of online payments on businesses. But not every barangay in San Jose, Occidental Mindoro, has establishments that accept online payments. As a result, the respondents to this research study only included companies that accept payments online.
2. Methodology
Research Design - This study used a qualitative-evaluative research design because this research study is all about analyzing the impact of online payments on businesses particularly on their business performance. After studying, researching, and knowing about the research topic, the researcher came up with the needed data to understand the challenges that business owners are facing. This research study also requires an evaluation process to recommend the needed action for improving the business performance of the different businesses.
Respondents of the Study and Sampling Technique - The respondents of this study focused on the business owners who have businesses located in San Jose, Occidental Mindoro, specifically on San Jose Town Plaza, Rizal Street, Liboro Street, and Aroma Beach because these are the commercialized places where most businesses are built. The researchers interviewed the different samples composed of 5 business owners of Restaurants in San Jose Town Plaza, 2 business managers of groceries on Rizal Street, 3 business owners of computer shops on Rizal Street, 5 business managers of shops on Liboro Street, and 5 business owners of food stalls on Aroma Beach who are using E-payment method on their business transactions. Therefore, there are twenty (20) respondents who participated in the interview. Purposive sampling was used by the researcher in determining his participants because its application is generally dependent on the characteristics of the population and the objective of the investigation. Subjective sampling is a type of non-probability sampling in which researchers use their discretion to pick survey participants from the general population.
Research Instrument - The majority of qualitative research involves conducting interviews, which involve asking one or more participants general, open-ended questions and recording their responses. To enable more accurate transcription, audiotapes are frequently used (Sutton & Austin, 2015). The researcher prepared specific questions related to the topic. The researcher got the consent of the respondents by personally informing them that the researcher will be conducting an interview and explaining thoroughly the purpose of the study. Before the administration of the interview, the respondents were informed that their privacy was treated ethically and confidentially. After the interview, the results were carefully consolidated and analyzed.
Data Collection and Data Analysis Technique - This research study used the primary data-gathering technique. Face-to-face interview surveys were used to gather data. The researcher, or interviewer, was the one who asked the respondents specific questions. Interviews are particularly useful for learning the context of a participant's experiences and gaining in-depth knowledge on a subject. Interviews can be used to follow up with specific respondents after they have completed questionnaires, for example, to further explore their responses (Sutton & Austin, 2015). The strategy employed aids in the collection of trustworthy data as well as in increasing the number of responses gathered and the validity of the responses. In order to analyze the results using interview questions, the researcher used thematic coding and analysis.
3. Results and Discussions
Impacts of online payments in selected businesses in San Jose, Occidental Mindoro - Diverse business enterprises, encompassing a range of perspectives. A common concern shared by all responders is their apprehension regarding their lack of proficiency in technology. The respondents exhibit diverse responses about their respective business circumstances. According to a statement made by one of the cafeteria owners situated in the San Jose Town Plaza, the present condition of their company is deemed to be lacking in positive prospects. She further remarked that individuals nowadays rarely visit physical stores, as they prefer the convenience of trendy internet deliveries. Based on insights provided by another cafeteria owner situated in the San Jose Town Plaza, it appears that a significant number of local entrepreneurs in the area are encountering challenges in maintaining their businesses. These difficulties primarily stem from the impact of inflation and the rapid advancements in business technology.
The responses given by owners of businesses previously situated in San Jose Town Plaza, Rizal Street, and Liboro Street that are now situated in Aroma Beach are a compilation of those owners' individual responses. According to them, even after changing their business model to the current trend, they are still having trouble turning a profit with their business. This goes to illustrate that the influence of online payments on businesses does not only have positive effects, but it also has negative impacts, and it relies on what the business owners and the businesses themselves choose to do about it (Masihuddin et. al., 2017). Moreover, Kundu & Datta (2015), e-payments have a huge impact on businesses not only in the Philippines but all around the world. The study findings were similar to the study in China stating that this significant technological advancement, which was started by emerging Internet companies, is assisting the traditional financial industry's payment business, which is represented by commercial banks, in expanding both in terms of depth and breadth. In the meantime, there is also a significant degree of substitution, competition, and crowding out occurring among these banks with regard to the traditional financial industry's fundamental payment and settlement activities, potential consumers, deposit and loan services, and traditional intermediary activity (Yao et. al., 2018).
Advantages of having online payments in San Jose, Occidental Mindoro - Based on the interview results, making payments online saved them a significant amount of time regardless of whether they were a business owner or a customer. They are freed from the burden of standing in line and waiting for their paper banknotes. Furthermore, if customers perceive purchasing from your business to be convenient and advantageous in terms of both cost and time savings, this quickly converts into a great customer experience. As a commercial entity, it is critical to place the highest premium on the quality of the client experience. There are numerous ways that can be used to attain this goal, with one especially effective one being the integration of online payment solutions into your institution's structure.
According to a business owner, there is a rising inclination among people in modern society to conduct financial transactions online rather than using physical currency or traditional credit cards. Another advantage is the easy and quick integration of Internet payment gateways into your business operations. Instead of devoting time to the development of a complex payment process that demands specialized equipment and additional staff, one can save time by utilizing online payment gateways. However, before hiring the services of a certain vendor, it is recommended that you undertake an analysis of the available possibilities in order to select the most appropriate decision that matches your criteria. Hassan et. al. (2020) asserts that in the process of a global transition towards a cashless economy, online payment systems assume a pivotal position in the operational framework of contemporary firms. In the near future, firms that primarily engage in face-to-face transactions may experience an increased reliance on Internet sales. Consider, for instance, the events that unfolded during the lockdowns of 2020 and 2021, wherein a significant multitude of businesses were mandated to temporarily cease operations at their brick-and-mortar establishments.
The enterprises that successfully implemented a sales strategy emphasizing digital channels were better equipped to mitigate their financial setbacks. Numerous companies have observed that the shifts toward online
payment systems have become enduring in nature, with the utilization of such systems now being regarded as indispensable (Kabir et. al., 2015). Thus, Wells (2020) agreed that the adoption of online payment systems offers numerous advantages to companies, irrespective of their scale or industry. The significance of online payment systems is undeniable, as the absence of such systems would greatly hinder the growth of a firm, making it highly improbable for it to thrive without the capability to accept online payments. In the contemporary business landscape, it is imperative for companies to provide clients the opportunity to make online payments in order to establish themselves as progressive and up-to-date. It is important to note that the utilization of many online payment gateways is a viable option. This feature enables clients to select the most suitable payment gateway for their requirements, facilitating convenient and cardless transactions.
Disadvantages of having online payments - According to Javatpoint (n.d.), although online payment is widely regarded as advantageous for various evident reasons, it is important to acknowledge that this approach also entails certain inherent drawbacks. In the contemporary digital landscape, it is evident that each practical operation is accompanied by a certain level of inherent risk. The majority of these disadvantages can be addressed through effective problem-solving techniques and the implementation of appropriate protections and management strategies. Based on the interview results given by the respondents, one of the most significant drawbacks of making payments online is the widespread lack of technology literacy among many people, particularly among persons of older generations. They don't make use of online payment options because they don't have sufficient understanding of how to go about using technology or smartphones. The majority of them, out of fear of the intricacies involved, prefer to stick with the more conventional methods of payment. As per a cafeteria owner in San Jose Town Plaza, "gustuhin ko man ng ganon ee hindi rin talaga pwede dahil narin sa edad ko at tsaka nakakalito mga ganyan."
According to testimonials from fellow business owners, an additional drawback of online payment systems is their vulnerability to technical problems or outages, similar to any other software that relies on technological breakthroughs. The issue at hand pertains to Internet payment methods. Although tech repair procedures are typically scheduled during nighttime hours and are pre-announced, customers may nonetheless experience frustration due to these occasional interruptions. Furthermore, comparable to the growing trend among consumers who are increasingly using online payment methods and exhibiting a preference for them over traditional payment modalities, hackers are also aligning themselves with this shift. The prevalence of identity theft, database hacking efforts, and phishing schemes is increasing. The implementation of a substantial number of payment-security software is among the several precautionary measures adopted by organizations, leading to the accumulation of considerable supplementary expenses. NTTDATA (2022) has reported that the utilization of online payment methods is linked to a considerable array of privacy and security apprehensions, as previously indicated. If sufficient security measures are not implemented, those engaging in fraudulent activities can swiftly obtain unauthorized access to confidential financial information and data. Due to the absence of verification mechanisms such as facial recognition or biometrics, perpetrators find it much effortless to elude apprehension and successfully perpetrate their illicit activities.
Understanding of business owners in coping with the emerging technology of having online payments as a mode of payment - In various sectors, organizations have implemented e-payments strategies to enhance their internal operational procedures and external interactions with their environment (Wu et. al., 2003). In addition, the impact of consumer perception on the adoption of digital payment is a topic of significant interest in research (M, 2022). It has been observed that consumer perception plays a crucial role in shaping the adoption of digital payment methods. The overall perception of consumers toward digital payment has been found to have a positive influence on their willingness to adopt such methods. This suggests that a favorable perception of digital payment among consumers is likely to lead to increased adoption rates.
Understanding the factors that shape consumer perception and how it affects the adoption of digital payment is therefore essential for businesses and policymakers aiming to promote the use of digital payment methods. According to Kabir et al. (2015), in the modern business environment, the use of an e-payment system is
becoming an increasingly bold means of making payments. This is a result of the fact that it is effective, convenient, and timely. It is a payment system that is continuously being welcomed and used in the financial system of both developed and developing countries with the aim of simplifying and easing payments in business transactions. This is being done with a view to simplifying and easing payments in business transactions.
4. Conclusions
Based on the findings of the researcher, the following conclusions were drawn; the impact of online payments on businesses is both positive and negative, depending on the business owners and the businesses themselves. E-payments have a significant impact on businesses worldwide, with a study in China showing that technology advancements are assisting traditional financial industry payment businesses. However, there is also a significant degree of substitution, competition, and crowding out among banks in terms of payment and settlement activities, potential consumers, deposit and loan services, and intermediary activities. Online payments offer a time-saving and convenient solution for both business proprietors and clients, hence increasing the likelihood of successful transaction completion.
The incorporation of online payment solutions into business operations is crucial in order to enhance the customer experience. The increasing global shift towards a cashless economy has rendered online payment systems essential since they facilitate firms in adjusting to the evolving economic environment. In order to position oneself as forward-thinking and contemporary, it is imperative for companies to provide their clientele with the option of conducting online payments. Utilizing numerous online payment gateways presents a feasible solution for facilitating simple and card-free purchases. Online payment methods possess inherent limitations, such as the absence of technological proficiency among older cohorts, susceptibility to technical malfunctions, and heightened exposure to identity theft, database breaches, and phishing attacks. In order to mitigate these drawbacks, it is imperative to employ efficacious problem-solving methodologies and implement suitable safeguards and management approaches. Moreover, the utilization of online payment methods is associated with apprehensions over privacy and security due to the absence of robust verification measures, hence facilitating illegal activities.
Recommendations - Based on the findings and conclusions of this study, the following recommendations were drawn; the researcher suggests that one of the best choices for a more sustainable and forward-thinking business would be to adapt to what the trend is, which implies adjusting the online payment system to businesses. It is important for business owners to make an effort to learn their target market and choose what form of online payment system best meets the needs of their customers. Owners of businesses should make an effort to participate in free webinars that discuss the latest business trend and the correct way to use them in their operations. It is for the purpose of improving their expertise and implantation in the event that they decide to apply it to their business. When it comes to the drawbacks of it, the researcher suggests to business owners that they choose or engage someone who is knowledgeable on how to safeguard their accounts or their money.
5. References
Hassan, M. A., Shukur, Z., & Hasan, M. K. (2020). An Efficient Secure Electronic Payment System for E-Commerce. Computers, 9(3), 66. https://doi.org/10.3390/computers9030066
Javatpoint. (n.d.) Advantages and Disadvantages of Online Payments - www.javatpoint.com.
https://www.javatpoint.com/advantages-and-disadvantages-of-online-payments
Kabir, M. A., Saidin, S. Z., & Ahmi, A. (2015). Adoption of e-payment systems: a review of the literature.
In International Conference on E-Commerce (pp. 112-120). Available online at www.icoec.my
Kundu, S., & Datta, S. K. (2015). Reliability of the online payment process and its impact on online purchase behavior. International Journal of Technology Marketing, 10(4), 396-412.
M, P. (2022). A Study on Consumer Perception Towards Digital Payment. East Asian Journal of Multidisciplinary Research, 1(6), 1033–1044. https://doi.org/10.55927/eajmr.v1i6.688
Masihuddin, M., Khan, B. U. I., Mattoo, M. M. U. I., & Olanrewaju, R. F. (2017). A survey on e-payment systems: elements, adoption, architecture, challenges, and security concepts. Indian Journal of Science and Technology, 10(20), 1-19.
NTTDATA (2022). Top 10 Advantages and Disadvantages of Online Payments - NTT Data Payment Services India.). NTT Data Payment Services India.
https://www.nttdatapay.com/advantages-and-disadvantages-of-online-payments/
Shani, A. B. (Rami), & Coghlan, D. (2021). Action research in business and management: A reflective review. Action Research, 19(3), 518–541. https://doi.org/10.1177/1476750319852147
Snap, S. (2020). Impact of Modern Online Payment in the eCommerce Industry. Seller Snap.
https://www.sellersnap.io/impact-online-payment-ecommerce-industry/
Sutton, J., & Austin, Z. (2015). Qualitative Research: Data Collection, Analysis, and Management. Can J Hosp Pharm.68(3):226-31. doi: 10.4212/cjhp.v68i3.1456. PMID: 26157184; PMCID: PMC4485510.
Verde, D. L. (2020). Top Online Payment Options How to Accept Payments Online https://virtusingegneria.it/2020/09/02/top-online-payment-options-how-to-accept-payments/
Wells, M. (2020). Government Payment Processing: 4 Benefits of Online Payment. GovOS. https://govos.com/four-benefits-of-online-payment-processing/
Wu, F., Mahajan, V., & Balasubramanian, S. (2003). An analysis of e-business adoption and its impact on business performance - Journal of the Academy of Marketing Science. SpringerLink. https://doi.org/10.1177/0092070303255379
Yao, M., Di, H., Zheng, X., & Xu, X. (2018). Impact of payment technology innovations on the traditional financial industry: A focus on China. Technological Forecasting and Social Change, 135, 199-207. https://doi.org/10.1016/j.techfore.2017.12.023
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City of Madison Madison, WI 53703 www.cityofmadison.com
City of Madison
Legislation Details (With Text)
File #:
Version: 1
56768
Name:
Council Update: Performance and Activity Update from Destination Madison - Deb Archer, CEO
Status:
Type:
Presentation
Accepted
File created:
In control:
7/22/2019
Council Office
On agenda:
Final action:
8/6/2019
8/6/2019
Enactment date:
Enactment #:
Title:
Council Update: Performance and Activity Update from Destination Madison - Deb Archer, CEO
Sponsors:
Indexes:
Code sections:
Attachments: 1. 8/6/2019 Council Presentation by Destination Madison.pdf
Council Update: Performance and Activity Update from Destination Madison - Deb Archer, CEO
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June 8, 2017
Attorney General's Office
109 State Street
Montpelier, VT 05609-1001
Re: FREEDOM OF INFORMATION ACT REQUEST
Dear Sir/Madam:
Pursuant to the , please forward copies of the following documents:
1. Any complaints concerning excessive phone calls, communication tactics, and/or harassment received by your office in the period March 22, 2015 to March 22, 2017 concerning the Pennsylvania Higher Education Assistance Agency ("PHEAA").
2. Any complaints concerning excessive phone calls, communication tactics, and/or harassment received by your office in the period March 22, 2015 to March 22, 2017 concerning the American Education Services ("AES").
Thank you in advance for your cooperation. Please bill my law office for any copies. If you have any questions, please do not hesitate to contact me.
Very Truly Yours,
Jeffrey D. Mapes
Jeffrey D. Mapes PLC
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atomic ranch
MIDCENTURY MARVELS
two manly kitchens 58
diy ranch landscape 36
keeping it small 12
FALL 2015
$6.95 US/CAN
On sale until November 30, 2015
A humble 1970s cabin on the Wisconsin side of the St. Croix River dividing Minnesota from Wisconsin sits some 30 minutes from the Twin Cities. Owned by a family of four for several decades, the ranch house had two bedrooms and a bath in the daylight basement, another bedroom and bath upstairs, along with a small living room and a claustrophobic kitchen that measured less than six feet wide. Recreation and relaxing happened on the deck and in the gorgeous wooded property, but meals were eaten on the floor by the coffee table or outdoors on the screened porch. Luxe digs these were not.
“The house belongs to former clients and good friends of mine,” says designer David Heide. “We lived there ourselves one winter when we were remodeling our own house. Three or four years later, the heat at the cabin went out and the pipes froze when no one was there for months. Water leaked down into the basement; it was an absolute disaster. There was mold that had to be scraped off the ceilings, and pretty much everything had to be removed and replaced. I don’t think this [remodel] project would have happened had that not occurred.”
Because the owners anticipated spending more time at the cabin as retirement approached, this seemed like the juncture to create more gracious spaces for entertaining and overnight guests, as well as a dedicated dining area. Their own aesthetics and National
Eames molded shell chairs surround a custom pedestal table by David Heide Design Studio and fabricated by JP Woodworks Ink. The dishes are Russel Wright, and through the double door is the new screened porch.
Scenic Riverway guidelines ruled out a mega vacation mansion, so the talent at David Heide Design Studio was just the right fit for the makeover.
The company does a lot of work in the Arts and Crafts idiom because of the building stock in Minneapolis-St. Paul, but the 12-person firm has no signature look. “Good design transcends style; style is really the language in which design is spoken,” Heide says. “Understanding the building, understanding its principles and furthering them as appropriate is really a midcentury thing.
“There was an order to the house: [it was] a basic rectangle with a vaulted roof down the middle and expressed construction in the timberframe structure of the roof. It was kind of trying to reach out and let the outside in, with limited success. But you could see there were elements and thoughts about that. And the views are absolutely magnificent.”
The designer typifies the owners as super-hands-on, but very willing to listen. Their mantra was hire the expert, let them do their job, then question everything they do. And at this point in their careers, the homeowners had the time to be involved in most of the details and decisions that cropped up.
The husband was firm that the ceilings had to remain natural wood, and both spouses
The lofted living room sits where there once was a deck, while the porch is much the same, though a more sophisticated design. The same openings were used for the new windows, but muntins and separate clerestories were eliminated so the sight lines are now uninterrupted. A view of the enlarged patio is seen on page 2.
The sunroom is a great place to relax and enjoy the view.
The heavily treed lot can be enjoyed through the double-pane Marvin windows, and while insulation and hydronic in-floor heating help keep costs down, views trump utility bills at this home. In the added living room, the orange chairs are from Bernhardt Design, the wool carpet is a Surya and the fireplace surround is a blend of bluestone and Wisconsin Bedford limestone.
shared a sentimental connection to the physical place and the original building. “They were interested and open to changes, but in a way that was respectful to family memories and the original house,” Heide muses. “We left things that didn’t need to be fixed or changed as they were. The views, the location of the master bedroom and bath on the main floor, keeping bedrooms small and retaining the feeling of the old screened porch were all important.”
Despite the flood and mold issues, the home was in solid condition. A 320-square-foot addition that created a new living area and expanding the screened porch a touch was the final solution. One special request from the homeowners was to use a known local contractor, Tom Patnode, who impressively
Construction
In the kitchen, selections include honed granite counters, a backsplash of Royal Mosa glass tile and custom cabinetry. The fridge is a Liebherr, the hood a Zephyr, and the sconces over the sink are Eglo Riga, while the Aro stools are from Bernhardt Design. Down a short hall is the master bedroom and bath.
Opposite, top: In this construction view taken from the kitchen, the original peak over the dining space (once the living room) is visible, while the new roof vault line is above and continues off camera left into the living room addition.
Fantastic views of the river and woods are at every turn. Bluestone tile clads the floor, while the Paulownia-veneer wallpaper continues the gray theme of the kitchen.
The 2,0 screened porch is about four feet longer than the original one and has a prow and exposed-wood ceiling that matches design details on the house.
The studio was responsible for the interior design as well. “The owners wanted a more contemporary aesthetic and we struggled a little with ‘How do you do something ultra-modern and maintain a woodsy aesthetic? The wife wanted to make a bow to the vintage of the house without being a slave to it and creating false historicism,” explains Heide.
“There’s this layering of more organic materials with sleeker, modern materials. The floors are natural stone with some warmth to the color, and yet it has a smooth, matte finish—more organic than porcelain tile. The drystacked stone fireplace is another organic material, and the wall covering in the dining room is actually slices of wood,” he continues.
The new kitchen continues that thought with a redwood island base made from the old screened porch flooring but topped with honed granite. “One of the connectors for me is the matte gray backsplash that ties into the stone floors, the countertops, the gray wall covering and the colors in the fireplace wall. Gray is one of the clients’ favorite colors—not something we hear often.”
Floor plans and before and construction photos courtesy David Heide Design Studio, Resources page 78.
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BÖHLER
N690
FERRITIC AND MARTENSITIC STEELS, INCL. PRECIPITAION HARDENING STEELS
Available Product Variants
Product Description
Hardened cutting tools with excellent edge-holding property, such as knive blades, cutting surgical instruments, rotary knives for the meat processing industry, plate and knive-edge fulcrums, corrosion resistant roller bearings, valve needles and pistons for refrigerating machines.
Process Melting
Properties
Applications
Technical data
Long Products
Plates
VID
Toughness & Ductility: good
Wear Resistance: very high
Machinability: good
Dimensional stability: good
Polishability: good
Corrosion resistance: high
Comp. for Chemical plants (incl. LNG, FGD, Urea, LDPE, etc.)
Custom Hand Knives
Food processing Industry
General Components for Mechanical Engineering
Machine knife (for producers)
Mechanical Engineering / Machine Building General
Other Oil and Gas + CPI comps.
Packaging
Shearing / Machine Knives
Tubular Products, Flanges, Fittings
CPI (inc. LNG, Urea)
Pill punching dies
Medical Instruments & Implants
Material designation
1.4528 SEL
X105CrCoMo18-2 EN
FERRITIC AND MARTENSITIC STEELS, INCL. PRECIPITAION HARDENING STEELS
BÖHLER
N690
Chemical composition (wt. %)
C
Si
Mn
Cr
Mo
V
Co
1.08
0.4
0.4
17.3
1.1
0.1
1.5
Delivery condition
Annealed
Hardness
max. 265 HB
Heat treatment
Annealing
Temperature (°C |
*F)
800 | 1472 to
850 | 1562
Furnace
Hardening and Tempering
Temperature (°C |
*F)
1030 | 1886 to
1080 | 1976
Oil
FERRITIC AND MARTENSITIC STEELS, INCL. PRECIPITAION HARDENING STEELS
BÖHLER
N690
Physical Properties
Thermal Expansions
For more information see https://www.voestalpine.com/bohler-edelstahl/de/
The data contained in this brochure is merely for general information and therefore shall not be binding on the company. We may be bound only through a contract explicitly stipulating such data as binding. Measurement data are laboratory values and can deviate from practical analyses. The manufacture of our products does not involve the use of substances detrimental to health or to the ozone layer.
voestalpine BÖHLER Edelstahl GmbH & Co KG
Mariazeller Straße 25
8605 Kapfenberg, AT
T. +43/50304/20-0
N690 EN – 09.2022
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Spring 2019 Brochure
Programs for Everyone of All Ages
Phone 860-399-3095 • Fax 860-399-3092
www.westbrookrec.com • e-mail: [email protected]
General Information
Westbrook Recreation Department
Recreation Commission
Where do we Advertise? _________________________________________________
Harbor News
School Closing and Holidays _______________________________________________ There will be no programs/classes during the school vacations and observed holidays. No make-ups for inclement weather on youth programs
How do I register? ______________________________________________________
Westbrook Recreation is now online. Please go to westbrookrec.com to open your household account. Accepted forms of payment Cash, Check or Credit Card.
Questions, Comments and Concerns _________________________________________ Please feel free to contact the Recreation Department 860-399-3095 or [email protected]. The Recreation Department office is located in the Westbrook Town Hall.
Location: Westbrook Town Hall
866 Boston Post Road
Westbrook, CT 06498
Phone: 860-399-3095
Fax: 860-399-3092
Hours: Monday-Wednesday 9 - 4
Thursday 9 - 7
Friday 9 - 12
Website: westbrookrec.com
Steve Anderson, Chairman
Kevin Blair
Matt LaSota
Phil Cocchiola
Melissa Ehlert
Mike Esposito
Jodi Ouellette
Jan Ulanowicz
Darren Whitehouse
Rich Annino, Director
Spring Travel Soccer
Spring Soccer is for the competitive, skilled child who wishes to compete in the SECJSA league. Practices will begin in April and the season will start the first week in May. Practices during the school week will be in the afternoons during the week, with games at various times during the weekends.
Spring Recreational Soccer
Location: Wren Park
We had so many requests for the Spring Recreational Soccer program that we had to make it happen again. Children will work on developing their soccer skills while enjoying our fun, exciting and educational program. This is our Fall Soccer program in structure and design, but in warmer weather. Please call 399-3095, if you wish to volunteer.
Time:
Practice times and days will vary with availability of fields
Games will be on Saturdays and Sundays with dif- ferent times and locations depending on the league schedule
Fee:
$95/ one child, $170/two children, $245 for three
Spring travel soccer registrations will be closed on March 1 to all preveious players. An additional $75. late fee will be added to previous players, not new registrants. No registrations will be accepted after April 1st.
Location: Wren Park
Westbrook Recreation
Westbrook Recreation
Page 2
The Benefits are Endless…
The Benefits are Endless…
Time: 9:00 - 10:00 AM. Saturday Mornings
Dates: April 27 - June 8
Ages: For boys and girls 5 - 11 years old
Fee:
$35 one child / $60 two children / $80 for three
No class May 25
Little Folks Camp/Fun Days Camp
Is your child between the ages of three to five years old and ready to make friends and socialize? Introduce her/him to some fun and enroll in this special camp program which is a great way to get ready for kindergarten while interacting with other children. Our instructors have had many years of experience working with preschool age children. Camp will follow the school calendar year with all the holidays and special days off.
General Information for Little Folks
Location: Teresa Mulvey Municipal Building
Days: Monday, Wednesday and Friday mornings
Times: 9:00 - 12:00 Noon
Instructors: Cheryl Dimenstein and Rita Trojanowski
Camp activities include music, arts and crafts, stories implementing intergenerational activities, developing fine and large motor skills during outside time as well as cooperative play.
General Information for Fun Days
Location: Westbrook Library
Two days of Arts & Crafts, Story Time, Games and Cooking with your children. Our energetic staff will play, teach and entertain your child in a safe wholesome environment.
Days: Tuesday and Thursday
Times: 9:00 - 12:00 Noon
Instructors: Rita Trojanowski and Cheryl Dimenstein
Customize Your Week
Fee:
Prices range from $60 - $235 per 6 week session de-
When registering for this program you can pick any combination of days from 1 -5 days per week. Just pick the number of days that work for you and then check off the days of the week you would like your child to attend. The more days you pick the greater the discount will be!
pending on how many days per week you want your
Location:
child to attend. Non-Residents add $10 per session.
Dates:
Teresa Mulvey Building OR the Westbrook Library
Please call the Recreation office with any questions. 860-399-3095.
Session One April 8 - May 24
No class April 15-19, May 27.
Spring Break Soccer Camp Challenger Sports
Location: Wren Park
Date:
April 15 - 19
Time: 9:00 - 12:00 noon, Mon. thru Fri. mornings
Fee:
$99. residents / $109. nonresidents
Instructor: Challenger Sports, British Coaching Staff
Wondering what to do with the children during the April Vacation break? We have just what you're looking for at a very reasonable price. All children will be grouped according to age and ability for this innovative curriculum. All boys and girls, ages 6 to 14 years old are welcome to register for our week long soccer camp. The camp will be from 9:00 - 12:00 noon, at Wren Park and will include a free soccer shirt.
T-Ball for Tots
Basic Baseball made fun for beginners. We will make your children's first experience exciting and educational. It's a noncompetitive program that stresses skill development.
Location: Daisy Ingraham School
Time: 9:00-10:00 A M. / 3 & 4 year olds
10:00- 11:00 AM. / 5 & 6 year olds
Dates: April 20 - June 1, Saturdays
Fee:
$35. residents / $ 40. nonresidents
No class May 25.
When I'm In Charge Red Cross Safety Course
This unique course is for all boys and girls, 8 and older who are ever home alone. The course will cover all the safety concerns parents have when their children are by themselves. They will cover areas such as arriving home, responsibilities, phone and internet safety and many others. This course is limited in size, so please register soon.
Please call Rich at 399-3095, for more Info.
Location: Teresa Mulvey Building
Date:
April 8
Ages: 8 years old and up
Time: 5:45 - 7:30 PM, Monday Night
Fee:
$40. resident $45. nonresident
Instructor: Terri Benoit
Baby-sitting Course
Please call Rich at 399-3095 for more info.
Location: Teresa Mulvey Municipal Building
Dates: May 6, 13, 20
Ages: 11 years old and up
Times: 5:45 - 7:45 PM.
Fee:
$55. residents / $65. nonresidents
Instructor: Terri Benoit
February Vacation Baseball Clinic
Location: Westbrook High Gym
Spring Training for Westbrook boys and girls! Our Baseball clinic will help your child to prepare for the upcoming season. Baseball fundamentals will be taught through fun drills, various techniques and games. We will provide an atmosphere of fun, good sportsmanship and a love of the game.
Ages: Boys & Girls 4th - 8th grades
Date:
February 19-22
Time: 9:00 AM - 12 noon
Fee:
$65. residents / $75. nonresidents
Instructor: Derek Hanssen
Page 3
Westbrook Recreation 2019 Summer Camps Schedule
Teen Summer Camp
bored being home alone all summer long? We have a summer camp
ADVANCED SOCCER CLINIC
August - 12 - 16
$120. residents / $135. nonresidents (half day) Grades 7 - 12
SLAMMA JAMMA BASKETBALL CAMP
July 8 - 12 & July 22 - 26
Half Day $125. / Full Day $150. (one week)
Half Day (both weeks) $200. / Full Day (both weeks) $270.
Boys & Girls ages 8 – 14 years old
CHALLENGER SOCCER CAMP
July 29 – August 2 Mini $69. / Half Day $122. / Full Day $156. Boys & Girls ages 5 – 14 years old
BASEBALL CLINIC
August 5 – August 9
Boys & Girls ages 8 – 14 years old
TENNIS JUNIOR CLINICS
June 17 - August 19 / One Week Blocks $75. per week, per child for five days Boys & Girls ages 5 – 7, 7-10 / 4:00-5:00 PM Boys & Girls ages 11-13, 14-16 / 5:00-6:00 PM
YOUTH FIELD HOCKEY CLINIC
August 19 - 21 $65. residents / $75. nonresidents Grades 4 th – 7 th
TEEN FIELD HOCKEY CLINIC
August 19 - 21 $65. residents / $75. nonresidents ( 1 /2 day) Full Day $95. residents / $105. nonresidents Grades 8 th – 12 th
BROADWAY BOUND THEATRE CAMP
July 22 - August 2 $375 per person (two weeks)
Directed by Joni Gage
BROADWAY BEGINNERS - CHILDREN'S SUMMER THEATRE
July 8 - July 19
$175. residents / $190. monresidents
Directed by Nicole Palmer
Do you have a child between the ages of 11–15 years old? Are they geared specifically for teens. They will be doing tennis,
Location: Westbrook Middle School
Ages:
Children ages 11 - 15 years old
Times: 9:00 - 5:00 PM, Monday thru Friday
Fee:
$150. residents / $160. nonresidents
Week 3, residents $120./nonresidents $128.
Week at the beach $165. residents / $175. nonresidents
PRICES AFTER JUNE 1ST.
Camp residents $170./nonresidents $180.
Week 3, residents $136./nonresidents $144.
Week 9, residents $185./nonresident $195.
Dates:
Week one: June 17 – June 21
Week two: June 24 – June 28 Week three: July 1 – July 5
Week four: July 8 – July 12
Week five: July 15 – July 19
Week six: July 22 – July 26
Week seven: July 29 – Aug. 2
Week eight: Aug. 5 – Aug. 9
Week nine: Aug. 12 - Aug. 16(Week at the Beach)
badminton, field trips, a beach day and much more. Your child will be able to stay at camp from 9:00 – 5:00 PM, Monday through Fridays, at Westbrook Middle School. Please register soon because space is very limited, at 35 children per week.
Please call Rich at 860-399-3095 with any questions. No camp the 4th of July.
Karate K-4
Location: Daisy Ingraham School
Washin Ryu Style Karate
Dates: Session 1: April 22 - May 22
Time: 3:30 - 4:30 PM, Monday and Wednesday
Fee:
$55. resident / $65. nonresidents
Instructor: Steve Ballachino
April Vacation Camp
Location: Daisy Ingraham Elementary School
Times: Before Camp 7:30 - 9:00 AM
Camp 9:00-4:00 PM
After Camp 4:00- 6:00 PM
Dates: April 15 - 19
Fee:
$135. residents / $145. nonresidents
Before Camp: $15. / After Camp: $20.
Wondering what to do with your child during Westbrook's April vacation week? Looking for safe, inexpensive and quality childcare for your children? We are now accepting registrations for this program that will make every working parent happy. Our Westbrook Recreation "Summer Day Camp" staff will be back to supervise your children at Daisy Elementary School. Arts & Crafts, sports and other activities will keep your child busy during the long day. It's Summer Camp activities that will be modified for spring months. Before care and after care will be available to anyone who needs it. Space is limited, so please call if you have any questions?
Page 4
Youth Programs & Camps
Little Folks Summer Camp 2019
Are you looking for a camp program for your 3,4 or 5 year old for this coming summer? A camp with a history of delivering safe, fun and affordable programming? Our Little Folks camp is just what you' re looking for. We provide 5 weeks of quality programming with our experienced director and staff. Your child will have Arts & Crafts, Story Time, Games, Music and Playground Time. This program is done Monday, Wednesday and Friday, from 9:00 - 12:00 noon and all registrations are for the full 5 weeks. Let our energetic staff entertain your child this summer. Please call Rich at 1-860-399-3095, with any questions.
Location: Wren Park
Spring Archery
Dates: April 2 – May 14
Ages: 8 years old and up
Time: 3:00 - 4:00 PM, Tuesday Afternoons
Fee:
$50. per person, per session
Instructor: Rich Annino
Class is limited to 12 people. No class April 16.
Location: Teresa Mulvey Municipal Building (Town Hall)
Time: 9:00-12:00 noon
Dates: Week 1 July 8 - July 12
Week 2 July 15 - July 19
Week 3 July 22 - July 26
Week 4 July 29 - Aug. 2
Week 5 Aug. 5 - Aug. 9
Monday, Wednsesday, Friday - 5 weeks only
Ages: 3, 4 or 5 and must be potty trained
Fee:
$175. residents / $200. nonresidents
Director: Rita Trojanowski
Space is limited to the first 15 children and done on a first come basis, so please register soon.
Annual Easter Egg Hunt
This old fashion race to pick-up candy, has been done in our town for many years. We guarantee that NO CHILD will ever leave without having some candy and a visit with the Easter Bunny. If you would like to possibly co-sponsor and help pay for candy and prizes, please call Richard Holton at 399-9665 for more information.
Location: Teresa Mulvey Municipal Building
Date: April 13
Time: 12:30 Saturday Afternoon
Fee: Free. Free. Free!!!!!!!!
If you wish to donate or volunteer, please call Rich or Doreen Holton 860-399-9665
Hang Out Week
Location: Westbrook Library Community Room
Ages: Children 5 - 14 years old
Times: 9:00 AM - 3:00 PM
Dates: August 19 - August 23
Fee:
$ 135. residents / $ 145. nonresidents
Before camp: $15. / After camp: $20
Parents have been asking for additional childcare for years. The week after camp is always stressful because there are very few programs or options for your children. This program is not part of our summer day camp. Some of our summer camp staff will entertain and supervise children at the Westbrook Library community center room. Children will have Hiking, Sports, Arts & Crafts and do other group activities. Due to limited staffing, they will not have a field trip or a day at the beach. This new program is limited to the first 35 children registered.
Project Graduation Pasta Dinner / Auction
Location:
St. Mark's Church
Date:
April 6
Time:
6:00 - 9:00
Cost:
$10. Adults, $6. Seniors, $6 Students,
Each year a new "Project Graduation" group of parents raise money to insure a safe graduation night for their child. All the money raise dwill cover the cost of tranportation, entry fees, snacks and prizes. The Pasta Dinner / Auction is one of the main fundraisers for them. Don't miss this opportunity to help!
Children under 5 are free.
Looking for inexpensive, safe and quality summer childcare for your children ages 5 to 10 years old? We provide 8 weeks of fun and excitement right at Daisy Ingraham Elementary School. Activities include Arts & Crafts, Drama, Nature, Swimming and Field Trips. Your child will visit interesting places, learn new games and make new friends. All fees are based on a full week schedule and are not eligible to pro-rating. Each week MUST be paid in full two weeks prior to the start of each session so your child may attend Day Camp.
Summer Day Camp 2019
Location: Daisy Ingraham School
Times: Before Camp / 7:30 - 9:00 AM.
Camp / 9:00 - 3:OO PM.
After Camp / 3:00 - 6:00 PM.
(Wednesday, Field Trip Day has a 4:00 PM. pick-up time)
Dates: Week one: June 17 – June 21
Week two: June 24 – June 28
Week three: July 1 – July 5
Week four: July 8 – July 12
Week five:
July 15 – July 19
Week six: July 22 – July 26
Week seven: July 29 – Aug. 2
Week eight: Aug. 5 – Aug. 9
Week nine: Aug. 12 – Aug. 16 (Week at the Beach)
Fees: Camp $135. residents / $145. nonresidents(per week)
Week 3: residents $108./nonresidents $116.
Week at the Beach: $150. residents / $160. nonresidents
Before Camp is $20. per week
After Camp is $25. per week
PRICES AFTER JUNE 1ST.
Camp residents $155./nonresidents $165.
Week 3, residents $124./nonresidents $132.
Week 9, residents $170./nonresident $180.
Each session of Summer Camp is limited to the first 75 children to enroll. We place all other children on a waiting list for possible openings. Each registration should include a minimum of one week payment of Camp to hold a spot for other weeks. Please call 1-860-399-3095 with any questions.
Camp Director: Rich Annino
No camp the 4th of July.
Page 5
Youth, Adult & Senior Programs
Our new Pilates class will guide you through the classical mat series in the oroginal order as designed by Joseph Piltes himself. Pilates class will help your spinal and neck alignment, tighten your abdominal and help you gain strength. You will build muscle tone and flexibility, as you progress at your own pace. Modification will be given to simplify or advance movements. Our instructor, Candace Barnes is a certified Pilates instructor with the U.S. Pilates Associotion who has experience working with all ages. Participants in this class should be comfortable getting onto a floor mat.
Classical Mat Pilates for All Levels
ESSENTRICS TM Aging Backwards Fitness Class
Location: Teresa Mulvey Center
Dates: February 21 - March 28
Time: 6:00 - 7:00 PM Thursdays
Fee:
$50. residents / $55. nonresidents
Location: Teresa Mulvey Center
We're bringing the wildly popular Aging Backwards fitness program back for 2019. This popular fitness program will unlock long-standing tightness, rebuild flexibility, loosen joints, and help you move with the great ease. Essentric is a dynamic stretch program using "accentric contractions" to simultaneously stretch and strengthen for a full body workout. Classes are comprised of deliberate, focused movements done in a specific sequence with wonderful music and cues to help you get in touch with your own mobility. Easy to learn gentle movements from tai chi, healing stretches from physiotherapy, and strengthening concepts of ballet give you a greater feeling of freedom after the first class. No equipment needed. Bring a towel and wear comfortable workout attire.
Instructor: Candace Barnes
Yoga – All Levels
Location: Teresa Mulvey Municipal Building
Dates: Session 1: Mon, April 1, 8, 15, 22, 29, May 6
Session 2: Mon. May 13, 20, June 3, 10, 17, 24
Time: 6:00-7:15 PM, Mondays
Fee:
$50. for residents / $55. non-residents
Instructor: Joanne DeVito
No class May 27
This class is designed for new beginners to intermediate students. Yoga is a magical fitness program that helps you balance emotions and brings you peace of mind. The attention will be to the physical body through stretching, flexibility, posture and awareness of energy flow. You will learn to open your mind and let go of the past and enjoy the present using the style of Hatha Yoga.
Zumba
Location: Teresa Mulvey Center
Our Zumba exercise class is a full body workout, full of FUN! Ditch the boring workouts and join us for this fun-filled party! This Latin based fitness regimen is sweeping the country and we've brought it here for you!
Dates: Session 1: April 9 - May 14
Session 2: May 21 - June 25
Time: 6:45-7:45 PM Tuesday Nights
Fee:
$60. residents / $65. nonresidents
Instructor: John Giannini
Chair Pilates
Location: Theresa Mulvey Center
Dates: Feb. 25 - April 1
Time: 9:30 - 10:30 AM, Mondays
Fee:
$50. residents/ $55. nonresidents
Pilates is for all bodies! If you are not comfortable getting down on the floor and back up again, join us for Chair Pilates! With the support of a chair we will use props such as dowels, tennis balls, resistance bands and much more to improve strength, flexibility, tone, posture, and body organization. Our instructor, Candace Barnes is a certified Pilates instructor with the U.S. Pilates Association who has experience working with all ages. Come sit with us!
Instructor: Candace Barnes
Page 6
Time: Wednesdays: 6:00 - 7:00 PM
Thursdays: 9:30 - 10:30 AM
Dates: Session One:
April 3 - May 8
April 4 - May 9
Session Two:
May 22 - June 26
May 23 - June 27
Fee:
Wednesdays: $50. residents / $55. nonresidents
Thursdays: $50. residents / $55. nonresidents Instructor: Diane Laurent, Certified Corrective Exercise Specialist and Essentrics Trainer.
We are offering Essentrics class twice a week on Tuesday and Thursday mornings. Registrants will receive a 25% discount by registering for both classes.
Time: Tuesday & Thursday: 9:30 - 10:30 AM
Dates: April 2 - May 9
May 21 - June 25
Fee:
Tues. & Thurs:$75. residents / $80. nonresidents
Boating Certification Course 1-day Combination Safe Boating &
A complete, updated safe boating certification course taught in one (8 hour) day. This class includes the newest requirement for towing skiers & tubes. Successful completion will allow the student to purchase a Connecticut Certificate of Personal Watercraft Operation, which enables them to operate recreational vessels up to 65 feet in length including Jet Skis. An easy to understand classroom format is designed for students age 12 and over. PRIOR TO TAKING THIS CLASS each student should create an account online at ct.outdoorcentral.net, and click the START button. Create an account if you don't already have one, and then print the page that includes your Conservation ID number and bring it to class. Once we have entered your score in the DEEP system you will use your account to purchase and print the certificate after the class. Students should bring a pen or pencil to class.
Personal Watercraft Safety Certification
Location: Teresa Mulvey Municipal Building
Dates: April 6th and May 18th
Time: 8:30 - 4:30 PM
Fee:
$75. covers cost of the course & book
Connecticut Marine Services. Must be 12 years of age or older. Minimum of 8 for classes to run.
Adult & Senior Programs
Have fun while exercising to the music as you increase your muscular strength, flexibility and range of motion. You will benefit from both upper and lower body workouts. Our upper body workout uses hand weights and resistance bands in addition to improving your core condition. Your lower body workout will focus on balance, flexibility and improving leg strength as well as good posture and stretching. You'll socialize and make new friends as you improve your overall fitness and health.
This class is for more mobile seniors and involves more movement. Standing, sitting and moving to choreographed steps will help improve your overall fitness. Stretching will also be incorporated throughout the class to enhance overall flexibility. Our class offers upper and lower body resistance training as well as cardiovascular endurance. Combine this with core conditioning and you'll gain additional strength, stability and balance. Get a total body workout while you socialize and have fun.
Senior Aerobic Fitness
Senior Chair Fitness
Location: Senior Center / Theresa Mulvey Town Hall
Dates: Session one: March 18 - April 26
Session two: April 29 - June 7
Classes will be held continuously throughout the
year. No Class April 19 & May 27
Days: Monday, Wednesday and Friday
Time: 8:15 AM. - 9:15 AM
Fee:
$110. per person (3 times per week)
$78. per person (2 times per week)
$39. per person (1 time per week)
Instructor: Caren Appleby
Location: Senior Center / Theresa Mulvey Town Hall
Dates: Session one: March 18 - April 26
Session two: April 29 - June7
Classes will be held continuously throughout
the year. No class April 19 & May 27
Days: Monday, Wednesday and Friday
Time: 9:15 AM. - 10:15 AM
Fee:
$110. per person (3 times per week) $78. per person (2 times per week)
$39. per person (1 times per week)
Instructor: Caren Appleby
2019 Bus Trips ! !
Food & Market Tour
Beaches, bicyling, fabulous food, dazzling arts, culture and so much more! Loaced just seven miles off Cape Cod, your Vineyard experience is just a short ferry ride away. Rolling heaths spotted with ponds and lakes give way to forests of oaks and pines, seaside cliffs and broad beaches.
Martha's Vineyard
Location: New York City
Date:
May 4
Time:
7:00 AM. Departure from Old Saybrook Commuter parking lot
5:00 PM. Departure from New York
Fee:
$89 (Food is not included)
Bronx Zoo
Location: Bronx Zoo, New York
Date:
May 11
Time:
7:00 AM Departure from Old Saybrook commuter parking lot
5:00 PM Departure from Bronx Zoo
Fee:
$99. per person (Adults)
$89. per person (Children 3-12 years old)
The Bronx Zoo is the flagship of the largest network of metropolitan zoos in the country. You will see award-winning, cutting-edge exhibits featuring over 4000 animals. There is no other zoo in the world which offers the diversity and superb viewing that you will find here. Plan a day long adventure filled with rides and attractions. This trip includes the "TEX" package of the Congo Gorilla Forest, Butterfly Zone, Children's Zoo and the Bengali Express Monorail. Your family will never forget a bus trip like this.
This tour has an early pre-dawn departure time in order to give us the maximum time to experience everything the tour has to offer. You will also have the option of doing the Island bus tour or going it on your own. This educational island bus tour will take you to Edgartown, Oaks Bluff, Vineyard Haven and other famous stops. This bus trip is truly an experience you will never forget!
New York City is home to a smorgasbord of cultures and incredible culinary traditions that have been tantalizing the palates of native New Yorkers and their guests for many years. What better way to experience NYC than by walking its streets and by "noshing" your way through readily available culinary treats. Weave your way through bakeries, delicatessens, pizzerias, meat markets and much more. Tour highlights include Katz's Deli, Eataly & Arthur Avenue, Be sure to bring a cooler, so you can purchase as much as like. This is an unforgettable culinary bus trip of sights, smells and delicious tastes.
Location: Martha's Vineyard
Date: July 13, 2019
Time: 5:00 AM. Departure from Old Saybrook
6:00 PM. Departure from Falmouth, Mass.
Fee:
$149. per person (Bus Trip, Ferry and Island Bus Tour)
$129. per person (Bus Trip and Ferry only)
Page 7
Westbrook Recreation Department 866 Boston Post Road Westbrook, CT 06498
***************ECRWSS****
LOCAL POSTAL CUSTOMER WESTBROOK, CT 06498
Westbrook Family Day
Seventeenth Anniversary
You are officially invited to our Seventeenth Westbrook Family Day! Bring the children, grandparents and all your friends for an afternoon of old fashion fun. There will be clowns, food, entertainment and lots of activities for the children. The Board of Recreation wants everyone to participate in this All-American, traditional, annual event. With the help of all the other organizations and groups in town, we hope to show how much pride we have in our community. Come and celebrate with all of us and enjoy an afternoon of fun that is absolutely FREE!!!!!
Date: June 8 th - Rain Date, June 9 th
Time: 12:00 noon - 2:00 PM, Saturday Afternoon
Location: Westbrook Town Green
Fee:
Absolutely Free!!!!!!!!!
If you wish to volunteer and share your time or talents, please call Rich at 860-399-3095.
Become involved in your community… The benefits are endless…
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Center for Women in the Arts and Humanities
640 Bartholomew Road-Rm 125A, Piscataway, NJ 08854
Rutgers, The State University of New Jersey cwah.rutgers.edu
; 848/932-3726;
[email protected]
Exhibition and Event Announcement April 2016
Women and Creativity House Student Exhibition April 20 - May 2, 2016
Mary H. Dana Women Artists Series Galleries / Douglass Library, Rutgers University Sarina Aquino, Mirna Beshay, Avantika Butani, Erin Conversano, Jane Frank, Courtney Garcia, Niji Hernandez, Imani Munford, Cristina Sanchez, Nancy Wang, Andrea Zerpa, Mariah Painter
Special Event: April 25, 2016
Douglass Global Village Student Showcase & Exhibition Reception 7:15 – 8:15pm / Trayes Hall, Douglass Student Center 8:30 – 9:30pm / Douglass Library
New Brunswick, NJ – The Mary H. Dana Women Artists Series, a program of the Center for Women in the Arts and Humanities (CWAH) in partnership with Rutgers University Libraries, and Douglass Residential College's Women and Creativity House are pleased to announce the 2016 Women and Creativity House Student Exhibition. This group exhibition features artworks of 12 students who are in the Women and Creativity House Living-Learning Community in the Global Village at Douglass Residential College, Rutgers University. The
Contact:
Rutgers, The State University of New Jersey
Center for Women in the Arts and Humanities
640 Bartholomew Road-Rm 125A, Piscataway, NJ 08854
cwah.rutgers.edu
; 848/932-3726;
[email protected] exhibition will be on view from April 20 – May 2, 2016, in the Mary H. Women Artist Series Galleries at the Mabel Smith Douglass Library.
The focus of the Women and Creativity House Living-Learning Community is to de-mystify the creative process and encourage the development of themes such as identity and visual communication of women in the arts. The Women and Creativity House hopes to encourage development through multiple vehicles of expression: including visual art, performance, and creative writing. In this community, the topics of gender, sexuality, identity, creativity, and perception are explored and discussed through texts, films, lectures, and critiques. This exhibition highlights self-portraits, drawings, sculptures, video performances, and written works produced by the student artists during the course of the academic year, and is organized and co-curated by Stacy Scibelli (House Coordinator) and Sarah Ferreira (Center for Women in the Arts and Humanities Intern).
On Monday, April 25 th , there will be a Douglass Global Village Student Showcase beginning at 7:15pm in Trayes Hall, Douglass Student Center (100 George Street, New Brunswick, NJ 08901). Subsequently, there will be an exhibition reception in honor of the Women and Creativity House students beginning at 8:30pm in Mabel Smith Douglass Library. The exhibition and event are free and open to the public. For additional information visit: cwah.rutgers.edu/special-projects/women-and-creativity-house/
The Mary H. Dana Women Artists Series Galleries are located in the Mabel Smith Douglass Library (8 Chapel Drive, New Brunswick, NJ 08901). Gallery hours are Monday through Friday 9am – 4:30pm. Contact CWAH about accessibility needs at [email protected].
This exhibition and event is sponsored by Douglass Residential College; New Jersey State Council on the Arts; and Center for Women in the Arts and Humanities, a unit of the Office of the Senior Vice President for Academic Affairs, Rutgers University. The Mary H. Dana Women Artists Series was founded in 1971 by renowned artist and Rutgers Graduate Joan Snyder, and is the oldest continuous running exhibition venue for contemporary women visual artists in the U.S.
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Issue date: 07-Nov-2019
Revision date: 25-Oct-2020
SAFETY DATA SHEET
1. Identification of the dangerous substance/preparation and the identity of the manufacturer, importer, agent or marketer
*** This Safety Data Sheet is only authorised for use by HP for HP Original products. Any unauthorised use of this Safety Data Sheet is strictly prohibited and may result in legal action being taken by HP. ***
Important information
CLT-R806K
Product name
Not available.
Other means of identification
Hewlett-Packard (Israel) Ltd.
Company identification
Dafna 9 Ra'anana 43662,
Israel
+972 9 7623222
Telephone
HP Inc. health effects line
1-800-457-4209
(Toll-free within the US)
1-760-710-0048
(Direct)
HP Inc. Customer Care
Line
1-800-474-6836
(Toll-free within the US)
1-208-323-2551
(Direct)
[email protected]
Email:
2. Identification of the components of the substance/preparation
Substance or Preparation
Preparation
3. Dangers of the dangerous substance/preparation
Physical hazards
Not classified as a physical hazard.
Health hazards
Not classified as a health hazard.
Environmental hazards
Not classified as an environmental hazard.
GHS classification
Not classified.
Physical hazards
Not classified.
Health hazards
Not classified.
Environmental hazards
GHS label elements
None.
Symbols
Signal word
None.
Hazard statement
None.
Precautionary statement
Prevention
None.
Response
None.
Storage
None.
Disposal
None.
Material name: CLT-R806K
14996
Other hazards
Supplemental information
Issue date: 07-Nov-2019
Revision date: 25-Oct-2020
Carbon black is classified by the IARC as a Group 2B carcinogen (the substance is possibly carcinogenic to humans). Carbon black in this preparation, due to its bound form, does not present this carcinogenic risk. Titanium dioxide is classified by IARC as a Group 2B carcinogen, meaning there is inadequate evidence in humans for the carcinogenicity of titanium dioxide, but there is sufficient evidence in experimental animals for the carcinogenicity of titanium dioxide. Titanium dioxide in this preparation, due to its bound form, does not present this carcinogenic risk. None of the other ingredients in this preparation are classified as carcinogens according to ACGIH, EU, IARC, MAK, NTP or OSHA.
None.
4. First aid instructions
First aid measures for different exposure routes
Move person to fresh air immediately. If irritation persists, consult a physician.
Inhalation
Wash affected areas thoroughly with mild soap and water. Get medical attention if irritation develops or persists.
Skin contact
Do not rub eyes. Immediately flush with large amounts of clean, warm water (low pressure) for at least 15 minutes or until particles are removed. If irritation persists, consult a physician.
Eye contact
Rinse mouth with water. Drink one to two glasses of water. DO NOT induce vomiting. Get medical attention immediately.
Ingestion
Difficulty in breathing. Coughing.
Main symptoms
Not available.
Personal protection for first-aid
responders
Not available.
Notes to physician
Not available.
Special first aid equipment
5. Firefighting procedure
Extinguishing media
Suitable extinguishing media
Extinguishing media which must not be used for safety reasons
Specific hazards during fire fighting
Special fire fighting procedures
Protection of fire-fighters
Specific methods
6. Safety precautions
Containment procedures
Environmental precautions
Methods for cleaning up Personal precautions
7. Handling and storage
Precautions for safe handling
Conditions for safe storage, including any incompatibilities
Material name: CLT-R806K
14996
ABC powder, foam and water. Alcohol resistant foam.
Do not use water jet.
Like most organic material in powder form, toner can form explosive dust-air mixtures when finely dispersed in air.
If fire occurs in the printer, treat as an electrical fire.
Wear self-contained breathing apparatus and protective clothing. Wear full set of protective equipment including chemical goggles and gloves.
None established.
Dispose of in compliance with federal, state, and local regulations. Slowly vacuum or sweep the material into a bag or other sealed container. Clean remainder with a damp cloth or vacuum cleaner. If a vacuum is used, the motor must be rated as dust explosion-proof. Fine powder can form explosive dust-air mixtures.
Avoid spreading dust or contaminated materials. Avoid discharge into drains, water courses or onto the ground.
Not available.
Avoid inhalation of dust. Wash thoroughly after dealing with a spillage. See Section 8 of the SDS for Personal Protective Equipment. Ensure adequate ventilation. Remove victim immediately from source of exposure. Emergency personnel should wear self-contained breathing apparatus.
Use local exhaust ventilation. Take precautionary measures against static discharges. Use only in well-ventilated areas. Ground and bond containers when transferring material. Avoid inhalation of dust and contact with skin and eyes. Keep away from excessive heat, sparks, and open flames.
Keep out of the reach of children. Wash hands after handling. When using, do not eat, drink or smoke. Remove contaminated clothing and wash the skin thoroughly with soap and water after work. Keep tightly closed and dry. Store at room temperature.
8. Means of reducing exposure and personal protection
Engineering measures to
Use in a well ventilated area.
reduce exposure
Occupational exposure limits
Israel. OELs (Labor Inspection Regs. (Occup. & Bio. Monitoring of those Working with Hazardous Materials), Appendix 2,
1990, as amended)
9. Physical and chemical properties
Fine powder
Appearance
Solid.
Physical state
solid
Form
Black.
Color
Odorless
Odor
Odor threshold
No information available
pH
Not applicable
Melting point/freezing point
No information available
Initial boiling point and boiling
range
Not applicable
Decomposition temperature Not available.
Flash point
Not applicable
Not available.
Flammability
Auto-ignition temperature
No data available
Upper/lower flammability or explosive limits
Insoluble in water. Partially soluble in toluene, chloroform and tetrahydrofurane
Flammability limit - lower
(%)
Not flammable
Flammability limit - upper
(%)
Not available.
Explosive limit - lower (%) Not available.
Explosive limit - upper (%) Not available.
No information available.
Oxidizing properties
Vapor pressure
Not applicable
Density
1.20 g/ml
Solubility(ies)
Solubility (water)
14996
Issue date: 07-Nov-2019
Revision date: 25-Oct-2020
Partition coefficient (n-octanol/water)
Not available.
Other information
Specific gravity
1.2 g/ml
Vapor density
Not applicable
Viscosity
Not applicable
10. Stability and reactivity
Not available.
Reactivity
Stable under normal storage conditions.
Chemical stability
Risk of dust explosion. Shocks and physical damage.
Conditions to avoid
Not available.
Possibility of hazardous
reactions
No information available.
Incompatibility
Not known.
Hazardous decomposition
products
Not available.
Materials to avoid
11. Toxicological information
Information on likely routes of exposure
Inhalation
Under normal conditions of intended use, this material is not expected to be an inhalation hazard.
Skin contact
Contact with skin may result in mild irritation.
Eye contact
Contact with eyes may result in mild irritation.
Ingestion
Ingestion is not a likely route of exposure.
Toxicological data
Not available.
Acute toxicity
Based on available data, the classification criteria are not met. LD50/oral/rat >5000 mg/kg
Test Results
Components
Species
Black Pigment
Oral
Acute
LD50
Rat
> 10000 mg/kg
Ceramic Materials And Wares, Chemicals
Dermal
Acute
LD50
Rabbit
> 2500 mg/kg
Inhalation
LC50
Rat
> 2.3 mg/l, 4 Hours
> 0.888 mg/l
Oral
LD50
Rat
> 2000 mg/kg
Based on available data, the classification criteria are not met. Not a known irritant. (OECD 404)
Skin corrosion/irritation
Based on available data, the classification criteria are not met. Not a known irritant. (OECD 405)
Serious eye damage/eye
irritation
Respiratory or skin sensitization
Respiratory sensitization Based on available data, the classification criteria are not met.
Based on available data, the classification criteria are not met.
Skin sensitization
Negative, does not indicate mutagenic potential (Ames Test: Salmonella typhimurium)
Based on available data, the classification criteria are not met.
Germ cell mutagenicity
14996
4 / 7
Issue date: 07-Nov-2019
Revision date: 25-Oct-2020
Carcinogenicity
Material name: CLT-R806K
14996
Issue date: 07-Nov-2019
Revision date: 25-Oct-2020
Based on available data, the classification criteria are not met.
Carbon black is classified as a carcinogen by the IARC (possibly carcinogenic to humans, Group 2B) and by the State of California under Proposition 65. In their evaluations of carbon black, both organizations indicate that exposure to carbon black, per se, does not occur when it remains bound within a product matrix, specifically, rubber, ink, or paint. Carbon black is present only in a bound form in this preparation.
Titanium dioxide is classified by the IARC as a Group 2B carcinogen (the substance is possibly carcinogenic to humans). The IARC classification was based on high concentrations of titanium dioxide particles in animal lungs. Under intended use of this toner product, exposure to titanium dioxide is much lower.
ACGIH Carcinogens
Black Pigment (CAS Proprietary)
A3 Confirmed animal carcinogen with unknown relevance to humans.
Titanium dioxide (CAS 13463-67-7)
A4 Not classifiable as a human carcinogen.
IARC Monographs. Overall Evaluation of Carcinogenicity
Black Pigment (CAS Proprietary)
2B Possibly carcinogenic to humans.
Titanium dioxide (CAS 13463-67-7)
2B Possibly carcinogenic to humans.
Based on available data, the classification criteria are not met.
Reproductive toxicity
Specific target organ toxicity -
single exposure
Based on available data, the classification criteria are not met.
Specific target organ toxicity -
repeated exposure
Based on available data, the classification criteria are not met.
Aspiration hazard
Based on available data, the classification criteria are not met.
Chronic effects
Not available.
Other information
Complete toxicity data are not available for this specific formulation Refer to Section 2 for potential health effects and Section 4 for first aid measures.
In a study in rats (H.Muhle) by chronic inhalation exposure to a typical toner, a mild to moderate degree of lung fibrosis was observed in 92% of the rats in the concentration(16mg/m3) exposure group, and a minimal to mild degree of fibrosis was noted in 22% of the animals in the middle (4mg/m3) exposure group. But no pulmonary changes was reported in the lowest (1mg/m3) exposure group, the most relevant level to potential human exposures.
12. Environmental information
Ecotoxicity
13. Dangerous substance disposal methods
Disposal instructions
Dispose of in compliance with federal, state, and local regulations. Do not shred toner cartridge, unless dust-explosion prevention measures are taken. Do not put toner container into fire; heated toner may cause severe burns. Do not incinerate. Do not allow this material to drain into sewers/water supplies.
HP's Planet Partners (trademark) supplies recycling program enables simple, convenient recycling of HP original inkjet and LaserJet supplies. For more information and to determine if this service is available in your location, please visit http://www.hp.com/recycle.
Not available.
Waste from residues / unused
products
Not available.
Contaminated packaging
Not available.
Special precautions
14. Transport information
DOT
Not regulated as dangerous goods.
IATA
Not regulated as dangerous goods.
IMDG
Not regulated as dangerous goods.
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Material name: CLT-R806K
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A Wireless Sensor Network Air Pollution Monitoring System
Kavi K. Khedo\textsuperscript{1}, Rajiv Perseedoss\textsuperscript{2} and Avinash Mungur\textsuperscript{3}
Department of Computer Science and Engineering, University of Mauritius, Reduit, Mauritius
\[email protected]
\[email protected]
\[email protected]
ABSTRACT
Sensor networks are currently an active research area mainly due to the potential of their applications. In this paper we investigate the use of Wireless Sensor Networks (WSN) for air pollution monitoring in Mauritius. With the fast growing industrial activities on the island, the problem of air pollution is becoming a major concern for the health of the population. We proposed an innovative system named Wireless Sensor Network Air Pollution Monitoring System (WAPMS) to monitor air pollution in Mauritius through the use of wireless sensors deployed in huge numbers around the island. The proposed system makes use of an Air Quality Index (AQI) which is presently not available in Mauritius. In order to improve the efficiency of WAPMS, we designed and implemented a new data aggregation algorithm named Recursive Converging Quartiles (RCQ). The algorithm is used to merge data to eliminate duplicates, filter out invalid readings and summarise them into a simpler form which significantly reduce the amount of data to be transmitted to the sink and thus saving energy. For better power management we used a hierarchical routing protocol in WAPMS and caused the motes to sleep during idle time.
KEYWORDS
Sensor Networks, Routing Protocol, Data Aggregation, Air Pollution Monitoring, Data Fusion
1. INTRODUCTION
Sensor networks are dense wireless networks of small, low-cost sensors, which collect and disseminate environmental data. Wireless sensor networks facilitate monitoring and controlling of physical environments from remote locations with better accuracy [1]. They have applications in a variety of fields such as environmental monitoring, indoor climate control, surveillance, structural monitoring, medical diagnostics, disaster management, emergency response, ambient air monitoring and gathering sensing information in inhospitable locations [2, 3, 4, 5]. Sensor nodes have various energy and computational constraints because of their inexpensive nature and ad-hoc method of deployment. Considerable research has been focused at overcoming these deficiencies through more energy efficient routing, localization algorithms and system design.
In this paper we proposed a wireless sensor network air pollution monitoring system (WAPMS) for Mauritius. Indeed, with the increasing number of vehicles on our roads and rapid urbanization air pollution has considerably increased in the last decades in Mauritius. For the past thirty years the economic development of Mauritius has been based on industrial activities and the tourism industry. Hence, there has been the growth of industries and infrastructure works over the island. Industrial combustion processes and stone crushing plants had contributed to the deterioration of the quality of the air. Further, the economic success of
Mauritius has led to a major increase in the number of vehicles on the roads, creating additional air pollution problem with smoke emission and other pollutants.
Air pollution monitoring is considered as a very complex task but nevertheless it is very important. Traditionally data loggers were used to collect data periodically and this was very time consuming and quite expensive. The use of WSN can make air pollution monitoring less complex and more instantaneous readings can be obtained [6, 7]. Currently, the Air Monitoring Unit in Mauritius lacks resources and makes use of bulky instruments. This reduces the flexibility of the system and makes it difficult to ensure proper control and monitoring. WAPMS will try to enhance this situation by being more flexible and timely. Moreover, accurate data with indexing capabilities will be able to obtain with WAPMS. The main requirements identified for WAMPS are as follows:
1. Develop an architecture to define nodes and their interaction
2. Collect air pollution readings from a region of interest
3. Collaboration among thousands of nodes to collect readings and transmit them to a gateway, all the while minimizing the amount of duplicates and invalid values
4. Use of appropriate data aggregation to reduce the power consumption during transmission of large amount of data between the thousands of nodes
5. Visualization of collected data from the WSN using statistical and user-friendly methods such as tables and line graphs
6. Provision of an index to categorize the various levels of air pollution, with associated colours to meaningfully represent the seriousness of air pollution
7. Generation of reports on a daily or monthly basis as well as real-time notifications during serious states of air pollution for use by appropriate authorities
At present, our scientific understanding of air pollution is not sufficient to be able to accurately predict air quality at all times throughout the country. This is where monitoring can be used to fill the gap in understanding. Monitoring provides raw measurements of air pollutant concentrations, which can then be analysed and interpreted. This information can then be applied in many ways. Analysis of monitoring data allows us to assess how bad air pollution is from day to day, which areas are worse than others and whether levels are rising or falling. We can see how pollutants interact with each other and how they relate to traffic levels or industrial activity. By analysing the relationship between meteorology and air quality, we can predict which weather conditions will give rise to pollution episodes.
2. RELATED WORKS
Wireless Sensor Network (WSN) is an active field of research due to its emerging importance in many applications including environment and habitat monitoring, health care applications, traffic control and military network systems [8]. With the recent breakthrough of Micro-Electro-Mechanical Systems (MEMS) technology [9] whereby sensors are becoming smaller and more versatile, WSN promises many new application areas in the near future. Typical applications of WSNs include monitoring, tracking and controlling. Some of the specific applications are habitat monitoring, object tracking, nuclear reactor controlling, fire detection, traffic monitoring, etc.
Initial development into WSN was mainly motivated by military applications. However, WSNs are now used in many civilian application areas for commercial and industrial use, including environment and habitat monitoring, healthcare applications, home automation, nuclear reactor controlling, fire detection and traffic control [8]. This transition from the use of WSN solely in
military applications has been motivated due to the nature of WSNs which can be deployed in wilderness areas, where they would remain for many years, to monitor some environmental variables, without the need to recharge/replace their power supplies. Such characteristics help to overcome the difficulties and high costs involved in monitoring data using wired sensors. Below are some areas where WSN have been successfully deployed to monitor the environment.
2.1. Fire and Flood Detection
Large number of environmental applications makes use of WSNs. Sensor networks are deployed in forest to detect the origin of forest fires. Weather sensors are used in flood detection system to detect, predict and hence prevent floods. Sensor nodes are deployed in the environment for monitoring biodiversity.
The Forest-Fires Surveillance System (FFSS) [10] was developed to prevent forest fires in the South Korean Mountains and to have an early fire-alarm in real time. The system senses environment state such as temperature, humidity, smoke and determines forest-fires risk-level by formula. Early detection of heat is possible and this allows for the provision of an early alarm in real time when the forest-fire occurs, alerting people to extinguish forest-fires before it grows. Therefore, it saves the economical loss and environment damage. Similarly, a typical application of WSN for flood detection and prevention is the ALERT system [11] deployed in the US. Rainfalls, water level and weather sensors are used in this system to detect, predict and hence prevent floods. These sensors supply information to a centralized database system in a pre-defined way.
2.2. Biocomplexity Mapping and Precision Agriculture
Wireless sensor networks can be used to control the environment which involves monitoring air, soil and water. Sensors are deployed throughout the field and these sensors form a network that communicate with each other to finally reach some processing centre which analyse the data sent and then accordingly adjust the environment conditions (e.g., if the soil is too dry, the processing centre send signals which actuators recognise accordingly and thus can start the sprinkling system. Biocomplexity mapping system helps to control the external environment. Sensors are used to observe spatial complexity of dominant plant species [12]. An example is the surveillance of the marine ground floor where an understanding of its erosion processes is important for the construction of offshore wind farms [13].
Precision agriculture is an emerging WSN application area to monitor and control the amount of pesticides present in drinking water, monitor the level of soil erosion and the level of air pollution [14]. Precision agriculture encompasses different aspects such as monitoring soil, crop and climate in a field. Huge amount of sensor data from large-scale agricultural fields are frequently generated in such an application.
2.3. Habitat Monitoring
Concerns associated with the impacts of human presence in monitoring plants and animals in field conditions have to a large extent been overcome by WSNs [15]. Sensors can now be deployed prior to the onset of the breeding season and while plants are dormant or the ground is frozen as well as on small islets where it is unsafe or unwise to repeatedly attempt field studies. Such deployment represents a substantially more economical method for conducting studies than traditional personnel-rich methods where substantial proportion of logistics and infrastructure must be devoted to the maintenance of field studies, often at some discomfort and occasionally at some real risk.
Perhaps the best known application demonstrator for WSN in this domain is the Great Duck Island project at Berkley [15]. Sensors monitored the microclimates in and around nesting burrows used by the Leach's Storm Petrel in a non-intrusive and non-disruptive manner. Motes were deployed on the island, with each of them having a microcontroller, a low-power radio, memory, and batteries. Readings such as Infrared levels, humidity, rainfall and temperature were monitored on a constant basis to better understand the movements of the petrels. Motes periodically sampled and relayed their sensor readings to computer base stations on the island which in turn fed into a satellite link that allows researchers to access real-time environmental data over the Internet.
Researchers at University of Florida and University of Missouri, Colombia are studying the role of wildlife in maintaining diversity, tracking invasive species and the spread of emerging diseases by obtaining unobtrusive visual information. They are using DeerNet [16] which is a WSN-based system for analysing wildlife behaviour by tracking deer’s actions. The overall goal is to develop a long-lived and unobtrusive wildlife video monitoring system capable of real-time video streaming. The captured video will be transmitted over to a remote monitoring center for real-time viewing and camera control. Advanced scene classification and object recognition algorithms together with fusion of data from other sensors like GPS and motion can be applied to remove essential visual information from the captured video. Then, statistical models about animals’ food selection, activity patterns and close interactions can be made consequently.
3. Recursive Converging Quartiles (RCQ) Data Aggregation Algorithm
Most wireless sensor networks involve the collection of high amounts of data. For this reason, during last years considerable research effort has been devoted to data fusion and aggregation algorithms [17, 18]. In general, if we consider the problem to route data packets, representing measurements collected by sensors, to a single managing entity, i.e., a network sink, it is often efficient to exploit the correlation among similar data collected by the sensors in order to decrease overhead [19, 20]. At this point, however, a trade-off arises between the amount of transmitted data in the aggregated flows and their reliability. Data aggregation is a technique which tries to alleviate the localized congestion problem. It attempts to collect useful information from the sensors surrounding the event. It then transmits only the useful information to the end point thereby reducing congestion and its associated problems. We have developed a new data aggregation algorithm for WAPMS named Recursive Converging Quartiles (RCQ). The algorithm includes two basic operations namely duplicate elimination and data fusion.
3.1. Duplicate Elimination Technique
In WAPMS a packet consists of two parts: the data, which is the reading collected by the source node, and an id, which identifies the node uniquely in the network such as a network address. The cluster head collects readings from every node and stores them in a list. After collection, it goes through each item in the list and checks for the occurrence of packets with the same id, thereby detecting the presence of duplicate packets. It then keeps only one instance of them. Figure 1 and figure 2 illustrate our proposed duplication elimination technique.
3.2. Proposed Data Fusion Technique
There are several statistical methods to summarise a list of data. We have considered the use of the three quartiles - lower, median and upper. We have considered the use of quartiles since they are unaffected by extreme values; this is required in our system whereby extreme and invalid values can sometimes be transmitted to the cluster head and these should not influence the data fusion mechanism. Moreover, quartiles reduce the amount of data to only three values while still reflecting the original data in an accurate way. The novel data fusion algorithm works as follows:
1. The list is partitioned into several smaller groups
- We consider the length of the list
- We find its multiples in the form \((x1, y1), (x2, y2)...\)
- E.g., length = 200, multiples = \((1, 200), (2, 100), (4, 50), (5, 40), (10, 20), (20, 10), (24, 5)\)
- We choose the pair which will give the highest number of groups (Maximise \(x\)) and the minimum number of elements per group, while keeping it above a threshold (Minimise \(y, y > \text{threshold value}\))
E.g., length = 50, multiples = (1, 50), (2, 25), (5, 10), (10, 5), threshold = 5, optimal pair = (10, 5).
2. We calculate the quartiles for each of the smaller lists
3. Merge the resulting quartiles for the sub lists into one list
4. Repeat the whole process until the eventual number of groups, in which the list can be broken, becomes one and the final list obtained has only three values.
Figure 3 below shows our proposed data fusion algorithm, Recursive Converging Quartiles, at work to achieve 3 values out of the original 33.
**Figure 3.** Using RCQ to aggregate a list of 33 values to only 3 values
### 4. WAPMS: The Proposed Air Pollution Monitoring System
The proposed wireless sensor network air pollution monitoring system (WAPMS) comprises of an array of sensor nodes and a communications system which allows the data to reach a server. The sensor nodes gather data autonomously and the data network is used to pass data to one or more base stations, which forward it to a sensor network server. The system sends commands to the nodes in order to fetch the data, and also allows the nodes to send data out autonomously. Figure 4 shows the architecture diagram of WAPMS.
Below is a brief description of each component of WAMPS:
- **Reading Sensor**: generates a random value whose range is set based on the value of a “seriousness” variable.
- **Reading Transmitter**: gets the generated value from the reading sensor and transmits it through the communicator.
- **Power Controller**: Each node will have a method called “turn on” that will start the node and we just call it. As for power-saving modes, this will depend on what the simulator will provide to us.
- **Communicator**: this is implemented by the simulator. Inter-Process communication is usually done using sockets; so, we expect the simulator to provide us with sockets as well as methods such as “send” and “receive”.
- **Launcher**: informs the data collector to start collection based on the delivery mode set by the user.
- **Data Collector**: gets a list of nodes from which it has to collect readings, then sends messages to inform them and finally receives the required values.
- **Aggregator**: implements the RCQ algorithm for data aggregation that we will discuss in the next section.
- **Data Extractor**: Use SQL queries to extract data from database
- **Data Display**: This extracts data as required by the user and displays them in a table as well as evaluates the AQI for the selected area.
- **Trend Analyser**: Gets previous readings and determines relationship between them to be able to extrapolate future readings.
- **Nodes Deployment Viewer**: Displays deployment of nodes in the WSN field and their AQI colours.
- **Connection Initiator**: The java DriverManager allows for a method to open a database, providing it the name of the database, user name and password as parameters. So, this component just has to make a call to this method and store the return reference to the connection.
- **Connection Destructor**: Connection object, in java.sql package, usually provides for a close method that closes the latter safely and frees associated memory as well as save the state of the latter. Therefore, this component just has to call this method.
The following table shows the various types of nodes that are present in WAPMS:
Table 1. Types of Nodes
| Type of Node | Energy Requirements | Location | Role |
|-----------------------|---------------------|----------|-----------------------------|
| Source (sensor node) | Constrained | Random | Sensing and multihop routing|
| Cluster Head (collector) | Not-Constrained | Fixed | Collection and aggregation |
| Sink /Gateway | Not-Constrained | Fixed | Collection |
These nodes will form a hierarchy that is shown in figure 5 below:
Figure 5. Hierarchy of nodes
The strategy to deploy the WSN for our system is as follows:
- We first partition our region of interest into several smaller areas for better management of huge amount of data that will be collected from the system and for better coordination of the various components involved.
- We deploy one cluster head in each area; these will form cluster with the nodes in their respective areas, collect data from them, perform aggregation and send these back to the sink.
- We, then, randomly deploy the sensor nodes in the different areas. These will sense the data, send them to the cluster head in their respective area through multihop routing.
- We will use multiple sinks that will collect aggregated from the cluster heads and transmit them to the gateway. Each sink will be allocated a set of cluster heads.
- The gateway will collect results from the sinks and relay them to the database and eventually to our application.
Figure 6 illustrates our deployment strategy:
The system is simulated over a small region as a prototype and then it will be extended to the whole island. The town of Port Louis, the capital of the country, is chosen for the prototype implementation as it is an urban area and therefore, more exposed to air pollution than rural areas. The site is partitioned into 6 smaller areas as shown in figure 7. With this small number of areas, we will use a single sink and we further simplify the system by allowing the gateway to play the role of the latter.
An Air Quality Index (AQI) is used in WAMPS. The AQI is an indicator of air quality, based on air pollutants that have adverse effects on human health and the environment. The pollutants are ozone, fine particulate matter, nitrogen dioxide, carbon monoxide, sulphur dioxide and total reduced sulphur compounds. Figure 8 and figure 9 illustrate the AQI range.
The AQI consists of 6 categories, each represented by a specific colour and indicating a certain level of health concern to the public and is shown in figure 9. The Ambient Air Quality Standards for Mauritius reports that the safe limit for ozone is 100 micrograms per m$^3$ and the safe AQI value set is also 100. Therefore, the AQI itself can, indirectly, be used to measure ozone concentration in Mauritius.
| Air Quality Index Levels of Health Concern | Numerical Value | Meaning |
|-------------------------------------------|-----------------|---------|
| Good | 0-50 | Air quality is considered satisfactory, and air pollution poses little or no risk. |
| Moderate | 51-100 | Air quality is acceptable, however, for some pollutants there may be a moderate health concern for a very small number of people who are unusually sensitive to air pollution. |
| Unhealthy for Sensitive Groups | 101-150 | Members of sensitive groups may experience health effects. The general public is not likely to be affected. |
| Unhealthy | 151-200 | Everyone may begin to experience health effects; members of sensitive groups may experience more serious health effects. |
| Very Unhealthy | 201-300 | Health alert: everyone may experience more serious health effects. |
| Hazardous | > 300 | Health warnings of emergency conditions. The entire population is more likely to be affected. |
Figure 9. Description of AQI categories
5. SIMULATIONS AND RESULTS
WAMPS has been simulated using the Jist/Swans simulator [21]. JiST is a high-performance discrete event simulation engine that runs over a standard Java virtual machine. It converts an existing virtual machine into a simulation platform, by embedding simulation time semantics at the byte-code level. SWANS is a scalable wireless network simulator built atop the JiST
platform. SWANS is organized as independent software components that can be composed to form complete wireless network or sensor network configurations. Its capabilities are similar to ns2 and GloMoSim but it is able to simulate much larger networks. SWANS leverages the JiST design to achieve high simulation throughput, save memory, and run standard Java network applications over simulated networks. In addition, SWANS implements a data structure, called hierarchical binning, for efficient computation of signal propagation.
The DSR protocol [22] has been used for data transmission in WAPMS. The Dynamic Source Routing protocol is a simple reactive routing protocol designed specifically for use in multi-hop wireless ad hoc networks. DSR allows the network to be completely self-organizing and self-configuring, without the need for any existing network infrastructure or administration. DSR contains two phases: Route Discovery (find a path) and Route Maintenance (maintain a path). These only respond on a request. The protocol operates entirely on-demand, allowing the routing packet overhead of DSR to scale automatically to only that needed to react to changes in the routes currently in use.
After a collection, the system displays the nodes in their corresponding AQI colour as shown in figure 10. The following is an example of such a screen:
**Figure 10. Nodes' Deployment after a collection**
Given an area and a date, the system displays the corresponding AQI readings and the health concern in this area as shown in figure 11 below.
**Figure 11. AQI for a selected area**
Furthermore, the WAPMS system allows fast analysis of received data through line graphs of selected areas as shown in figure 12.
**Figure 12.** Line graph generated for selected areas
The performance of WAPMS has been evaluated with increasing load. We have varied the number of areas simulated from 1 to 6 and for each case, we have varied the number of nodes per area from 50 to 200 and the execution time of the system has been recorded. The results are shown in table II and figure 13.
**Table 2. Execution Time of WAPMS**
| No. of areas | Number of nodes per area |
|--------------|--------------------------|
| | 50 | 100 | 150 | 200 |
| 1 | 20 | 58 | 110 | 170 |
| 2 | 23 | 80 | 200 | 330 |
| 3 | 34 | 115 | 280 | 500 |
| 4 | 44 | 150 | 380 | 680 |
| 5 | 50 | 200 | 470 | 880 |
| 6 | 58 | 250 | 540 | 985 |
As shown in the above table, the maximum running time of our simulator is less than 20 minutes in the worst case of 6 areas and 200 nodes in each area. The short execution time of WAPMS is massively advantageous comparing to the existing air pollution monitoring unit of Mauritius that often takes days to measure pollution in an area. Moreover, WAPMS allows timely monitoring of an area and an abnormal situation can be detected almost immediately.
6. CONCLUSION
As discussed in this paper, recent technological developments in the miniaturization of electronics and wireless communication technology have led to the emergence of Environmental Sensor Networks (ESN). These will greatly enhance monitoring of the natural environment and in some cases open up new techniques for taking measurements or allow previously impossible deployments of sensors. WAPMS is an example of such ESN. WAPMS will be very beneficial for monitoring different high risk regions of the country. It will provide real-time information about the level of air pollution in these regions, as well as provide alerts in cases of drastic change in quality of air. This information can then be used by the authorities to take prompt actions such as evacuating people or sending emergency response team.
WAPMS uses an Air Quality Index to categorise the various levels of air pollution. It also associates meaningful and very intuitive colours to the different categories, thus the state of air pollution can be communicated to the user very easily. The major motivation behind our study and the development of the system is to help the government to devise an indexing system to categorise air pollution in Mauritius. The system also uses the AQI to evaluate the level of health concern for a specific area.
WAPMS uses a novel technique to do data aggregation in order to tackle the challenge of power consumption minimisation in WSN. We have named this novel technique as Recursive Converging Quartiles. It also uses quartiles to summarise a list of readings of any length to just three values. This highly reduces the amount of data to be transmitted to the sink, thus reducing the transmission energy required and at the same time representing the original values accurately.
Another strength of WAPMS is the high quality of results it produces. The collected readings are saved in a database and these can be accessed individually in a table or summarised area-wise in a line graph. The table uses the AQI to provide the results using the associated colours and it also provided the level of health concern for a particular area. The line graph allows the user to view the trend of air pollution for several areas at a time. WAPMS also displays a map of the town of Port Louis, showing the locations of the deployed sensors nodes and the readings collected by each one. Thus, WAPMS is very flexible, very easy and yet very powerful due to its ability to provide highly summarised results as well as fine-grain results at the level of sensors.
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[20] Q. Cao, T. He, L. Fang, T. Abdelzaher, J. Stankovic, and S. Son, “Efficiency Centric Communication Model for Wireless Sensor Networks”, in Proceedings of IEEE INFOCOM, pp. 1-12, 2006.
[21] JiST/SWANS, Java in Simulation Time / Scalable Wireless Ad hoc Network Simulator, Available from: http://jist.ece.cornell.edu/index.html, Cornell University.
[22] D. Johnson, D. Maltz, and J. Broch, “DSR: The Dynamic Source Routing Protocol for Multi-Hop Wireless Ad Hoc Networks”, *In Ad Hoc Networking*, Chapter 5, 139-172, Addison-Wesley, 2001.
|
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|
https://airccse.org/journal/jwmn/0510ijwmn03.pdf
|
2022-01-16T10:08:48+00:00
|
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| 166,422,658
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|
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© 2015 AMX. All rights reserved.
JPEG 2000 1080p Low Latency Video over IP Encoder with KVM, PoE, SFP, HDMI
NMX-ENC-N2135 (FGN2135-SA), Stand Alone NMX-ENC-N2135-C (FGN2135-CD), Card
Overview
The SVSI JPEG2000 NMX-ENC-N2135 and NMX-DEC-N2235 encoder and decoder solution provides users with the industry's most versatile solution for distributing AV over a converged network. JPEG2000 compression is the codec of choice for users demanding low-latency cinema grade HD quality video in their system. SVSI video over IP encoders are used to encode and distribute sources of almost any format onto an existing IP network making that stream available to any endpoint in the facility utilizing copper and/or fiber connectivity. SVSI Video over IP Decoders are used to decode Networked AV streams for display. With the ability to direct any source stream to any display, large, low-cost switching and distribution systems are simple to deploy without proprietary cabling or dedicated switching hardware. User selectable bandwidth control (10Mbps-200Mbps) allows for precision tuning considering network load and video quality.
The NMX-ENC-N2135 and NMX-DEC-N2235 both feature keyboard and mouse extension over IP. Users can set security options for device control. Security can be turned off allowing any decoder to connect to any computer connected to an encoder – for example within a call center where security of this type is not an issue and access to all end points is necessary. Security can be set allowing access to only specified computers or defined groups of computers – sensitive environments such as command and control centers benefit from this kind of customized security.
The SVSI solution allows for any number of inputs to connect to any number of outputs creating a video matrix of unlimited size and expandability. Plug-n-play, auto-detect technology reduces installation and programming time and all SVSI encoders and decoders include built in control capability.
Features
* Design Flexibility – Compatible with all AMX SVSI N2000 series products so designers can choose the right product for each end point
* Input and Output Scaling – scaling performed in encoders or decoders for maximum flexibility with sources and displays
* Power Over Ethernet (POE) – eliminates requirement for local power supply and speeds installation. Units can still be powered locally from 12VDC allowing for easy rack-mountable, high-density installations
* Infrared (IR) – Emitter connection allows control of IR-only display devices
* Fast Install – With Phoenix connectors for Power, IR, RS232 serial, and analog audio interfaces
* Balanced and Unbalanced Audio – Embedded 7.1 audio (balanced and unbalanced)
* Pass-through HDMI – allows easy installation with local display such as desktop PC applications
* Multiple Connection Options – RJ-45 and SFP network connectors and HDMI video connections
* KVM – Single USB-B and Dual USB-A control for KVM applications
* Control Flexibility – Built-in or third-party control
Specifications
| | VIDEO | |
|---|---|---|
| Digital Video Input | | HDMI, DVI-D, Dual-Mode DisplayPort (DP++), RGB/VGA DVI-D and Dual-Mode DisplayPort (DP++) are supported through a passive adapter |
| Analog Video Input | | HD-15 VGA, Component Component is supported through a passive adapter |
| Video Output | | Network video over Ethernet via RJ45 port or fiber via 1G SFP port, HDMI, DVI-D DVI-D is supported through a passive adapter |
| Formats | | HDMI, DVI-D (through adapter), HDCP content protection support, RGBHV, YPbPr |
| Progressive Input Resolutions | | Supports most common HD up to 1920x1200. See website for all supported resolutions. |
| Interlaced Input Resolutions | | Supports 1080i60. See website for all supported resolutions. |
| Analog Input Resolutions | | Supports most common HD up to 1920x1200. See website for all supported resolutions. |
| Note | | Input resolutions supported @60Hz refresh rates are also supported @59.94Hz |
| Output Resolutions | | Matched to inputs. |
| Analog-To-Digital Conversion | | 8-bit 165 MHz per each of three color channels |
| Note | | The N2135 Encoder does not accept Composite or S- Video (YC) |
| | AUDIO |
|---|---|
| Input Signal Types | |
| Output Signal Types | |
| HDMI Audio Formats | |
| Analog Audio Format | |
| Analog-To-Digital Conversion | |
| | LATENCY |
|---|---|
| Latency | |
| Note | |
| | COMMUNICATIONS |
|---|---|
| Ethernet | |
| HDMI | |
| | PORTS |
|---|---|
| +12V 2A | |
| P0 | |
| P1 | |
| IR | |
| RS232 | |
| AUDIO | |
| HDMI OUT | |
| HDMI IN | |
| VGA IN | |
| USB connectors (front panel) | |
| CONTROLS AND INDICATORS – FRONT PANEL |
|---|
| | CONTROLS AND INDICATORS – REAR PANEL | |
|---|---|---|
| PWR LED | | Same as POWER LED described above |
| HDMI LED | | On (green) when there is a connection to a valid display |
| STAT LED | | Same as STATUS LED described above |
| | POWER SUPPLY |
|---|---|
| Power Supply, External, Optional | |
| Power over Ethernet (PoE), External, Optional | |
| | ENVIRONMENTAL |
|---|---|
| Temperature | |
| Humidity | |
| Heat Dissipation | |
| | GENERAL |
|---|---|
| Dimensions (HWD) | |
| Weight | |
| Mounting Options | |
| | SVSI N-Series Encoders and Decoders Rack mounting requires one of the following (not included): •NMX-ACC-N9102 (FGN9102), 1RU Rack Shelf for Two Side-by-Side for SVSI N-Series Encoders and Decoders •NMX-ACC-N9206 (FGN9206), 2RU Rack Mount Cage with Power for Six SVSI N-Series Card Units |
|---|---|
| Regulatory Compliance | FCC, CE, and NTRL |
| Recommended Accessories | •NMX-ACC-N9312 (FGN9312), Power Supply 12V External •NMX-ACC-N9382 (FGN9382), 1RU Power Supply 16- Channel 12V for up to 16 SVSI N-Series Encoders and Decoders •NMX-ACC-N9101 (FGN9101), Mounting Wings for SVSI N-Series Encoders and Decoders •NMX-ACC-N9102 (FGN9102), 1RU Rack Shelf for Two Side-by-Side SVSI N-Series Encoders and Decoders •NMX-ACC-N9206 (FGN9206), 2RU Rack Mount Cage with Power for Six SVSI N-Series Card Units |
About AMX by HARMAN
Founded in 1982 and acquired by HARMAN in 2014, AMX® is dedicated to providing AV solutions for an IT World. AMX solves the complexity of managing technology with reliable, consistent and scalable systems comprising control, video switching and distribution, digital signage and technology management. AMX systems are deployed worldwide in conference rooms, classrooms, network operation/command centers, homes, hotels, entertainment venues and broadcast facilities, among others. AMX is part of the HARMAN Professional Group, the only total audio, video, lighting, and control vendor in the professional AV market. HARMAN designs, manufactures and markets premier audio, video, infotainment and integrated control solutions for the automotive, consumer and professional markets. Revised 3.3.16. ©2016 Harman. All rights reserved. Specifications subject to change.
www.amx.com | +1.469.624.7400 |800.222.0193
|
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|
2023-12-04T14:16:04+00:00
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| 702,327,651
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|
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1985,
4375,
4714,
5258,
6069,
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"If something can be done better in the range of archery, then we´ll do it!"
Beier Distribution is a company which is characterized by customer orientation and customer satisfaction striving. Recognized a problem -> solution searched and found! Therefore something new has been invented – We would like to mention that the new and innovative makes great fun and this is a motivation for us as a team.
New generation of arrow feather By Beier Germany
Based on this philosophy, we have searched for opportunities to improve and reduce costs at arrow feathers and finally we found it.
Many of our customers feel the keel or the size of the keel as disruptive. The reason for this is often the optics, such as the feather that sits with its wide keel on the arrow shaft. This looks depending on the thickness of the shaft that is not very harmonious. Also the weight of the keel that is used as an interface of the feather structure – horn structure of keratin is too big. Finally we need them just to glue on the shaft.
To restrict the quill to a minimum was obviously.
We save about 20 % of the weight, also the force required for punching will be less. Even the costs we have reduced – we have reduced the prices!
Finally, we have reduced the arrow feathers to a minimum, that is exactly that what archers expect of it.
For further technical details, please look at this video:
http://www.bogensport-beier.de/die-neuen-pfeilfedern/
Beier Distribution e.K. Bahnhofstrasse 151 D-96145 Seßlach
Tel: +49 09569 188914-0
Fax: +49 09569 188914-2 www.bogensport-beier.de [email protected]
|
<urn:uuid:1c7e8caf-4a69-477e-af3e-45fbdddc7d98>
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CC-MAIN-2019-26
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http://www.archery-beier.com/wp-content/uploads/2017/06/Arrow-feather.pdf
|
2019-06-25T08:17:40Z
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|
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|
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|
rolmOCR
|
[
1598
] |
방송 : 2016년 4월 6일
ㅇ 안내 1분 ㅇ 방송 20분
Signal M Up - Down
ANN: 안녕하십니까? 2016학년도 4월 고등학교 3학년 전국연합학력평가 영어영역 듣기평가 안내방송입니다. 잠시 후, 2016학년도 고등 학교 전국연합학력평가 3교시 영어영역 듣기평가 방송을 시작하겠습니다. 수험생 여러분은 편안한 마음으로 방송에 귀를 기 울여 주시고 방송담당 선생님께서는 스피커의 음량을 알맞게 조절해 주십시오. 수험생 여러분은 답안을 작성하기 전에 반드시 답안지 왼쪽 해당란에 성명, 수험번호 등을 정확하게 기입하고, 표기하였는지 확인하시기 바랍니다. 방송을 잘 듣고, 문제지 에 있는 다섯 개의 답지 중에서 맞는 답 하나만 골라, 답안지의 해당란에 바르게 표기하십시오. 그러면 지금부터 3교시 영어 영역 듣기평가를 시작하겠습니다. 듣기평가는 1번부터 17번까지입니다. 1번부터 15번까지는 한 번만 들려주고, 16번부터 17번 까지는 두 번 들려줍니다. 방송을 잘 듣고 답을 하시기 바랍니다.
1번
대화를 듣고, 여자의 마지막 말에 대한 남자의 응답으로 가장 적절한 것을 고르시오.
W: Jonathan, why did you come home so late? It's already past eight.
M: Mom, I played soccer with my friends after school.
W: We were waiting for you. Didn't you remember we were supposed to have dinner at seven?
M:
(10 seconds)
2번
대화를 듣고, 남자의 마지막 말에 대한 여자의 응답으로 가장 적절한 것을 고르시오.
M: Excuse me. I bought this shirt yesterday, but there's a small hole in the sleeve.
W: Let me see. [Pause] I'm so sorry. Would you like to exchange the shirt or get a refund?
M: I want to exchange it for another.
W:
(10 seconds)
3번
다음을 듣고, 여자가 하는 말의 목적으로 가장 적절한 것을 고르시오.
[Chime bell rings.]
W: May I have your attention, please? As many of you already know from the posters on campus, Doctor Daniel Brown, professor of economics, is retiring this month. He has been working for our college since 1994, and he has devoted himself to teaching students for the last 22 years. As we announced earlier, he's going to give a farewell lecture in the Marina Hall Auditorium at 3 p.m. tomorrow. The lecture will be about policies for economic growth in the world. This will be his last lecture on campus. Take this chance to talk and get photos with him. Don't miss this last opportunity.
(10 seconds)
영어 영역 듣기 평가
대화를 듣고, 남자의 의견으로 가장 적절한 것을 고르시오.
M: Honey, do you have a moment to talk?
W: Sure. What's on your mind?
M: Jane asked me to buy her a tablet, so she can use it at school.
W: Yeah, she also asked me about it last night.
M: I don't understand why she needs it. What do you think?
W: Well... if she owns a tablet, she can look for information she wants anytime.
M: That's true, but I think there could be a problem.
W: A problem?
M: Yes. If Jane uses electronic devices such as a tablet or a smart phone during class, they can be a distraction to Jane and other students around her.
W: You're probably right. It'll make it harder for Jane to concentrate on her studies and classes.
M: That's why I don't like the idea of students using electronic devices during class.
W: That makes sense. I guess we need to talk to Jane after eating dinner.
(10 seconds)
5번
대화를 듣고, 두 사람의 관계를 가장 잘 나타낸 것을 고르시오.
W: Excuse me. Could you please help me?
M: Sure. What's the matter?
W: I really want to learn how to bake cookies next month.
M: Really? Didn't you sign up for my class?
W: Actually, I couldn't register for it because my computer was down for two hours yesterday. By the time it was working, the registration was closed.
M: Oh, sorry to hear that. Then, how about taking it during summer vacation?
W: There's a problem. I'm supposed to volunteer at the local library for the whole vacation.
M: I see. So, do you want me to put your name on the waiting list?
W: Oh, would you? I really want to join your after-school class.
M: Okay. I'll let you know if another student cancels their registration for the class.
W: Thank you. I'd really appreciate that.
(10 seconds)
6번
대화를 듣고, 그림에서 대화의 내용과 일치하지
M: Cynthia! Look at this picture.
W: What's that?
M: Alex sent a photo and a letter to our class.
W: Let me see. Oh, Alex is here. He's sitting on the chair with his legs crossed.
M: I'm glad that Alex looks good. I really miss him.
W: Me, too. Who is the boy standing next to Alex?
M: The boy must be Joe. Alex said Joe helped him adjust to the new school.
W: Alex is lucky to have such a nice friend. Look here. There is a map on the blackboard.
M: I think students may be using the map during their class.
W: Yeah. A girl is reading a newspaper in front of the blackboard. I guess there must be an interesting article.
M: Probably. They also have a bookcase in the corner. This classroom doesn't look that different from ours.
W: Right. Then, how about sending him our picture?
M: That's a good idea.
(10 seconds)
것을 고르시오.
않는
7번
대화를 듣고, 여자가 남자에게 부탁한 일로 가장 적절한 것을 고르시오.
```
[Cell phone rings.] W: Hello? M: Hello, this is Peter Smith from Dream Travel. Are you Brooke Adams? W: Yes, I am. M: You made a reservation for our package program to Hong Kong yesterday, right? W: Yes. Is it available? I know that there should be at least ten participants for this program to be valid. M: Yes. Currently, there are 12 participants including you. W: That's great. M: I've just sent you an email. Please read it and send 10% of the total travel fee to confirm your reservation. That will be $110. W: Well... I wonder if you can help me add an additional option. I forgot to select the midnight cruise on the website. M: Sure, I can do that. Including your optional tour, you have to send $120 by tomorrow. W: No problem. M: If you have any questions, feel free to call me. W: Thank you. (10 seconds) 8번 대화를 듣고, 남자가 운동하러 가지 못하는 이유를 고르시오. M: Honey, your breakfast is ready. How's your cold? W: I'm much better than yesterday, but I still have a sore throat. M: Still? Why don't you see a doctor after work? W: Unfortunately, I have to work late tonight. M: I'm sorry. Don't forget to drink a lot of water at your office. W: Okay, I will. Are you ready for the big presentation today? M: Yeah, everything's all set up. From tomorrow, I hope I'll get time to catch my breath. W: Good luck on your presentation. Are you coming home after working out at the gym this evening? M: Well... I don't think I can go. W: Is it because you're going to have dinner with your coworkers? M: No. I have to meet my client about a new product. W: I see. Oh, it's already after seven. Let's hurry. M: Okay. (10 seconds) 9번 대화를 듣고, 남자가 지불할 금액을 고르시오. W: Hello, how can I help you? M: Hello. I'd like to order a cake for my company anniversary party. W: Then what about this double-layered cake? M: I love it. How much is it? W: It's $90. Do you want any message on it? M: Yes. I want 'Happy Anniversary' written on it with my company's name, M&Q Electronics. W: You'd have to pay an extra $10. Is that all right? M: That sounds okay. Also, I need some sandwiches for the party. W: How about tuna sandwiches? M: Sounds delicious. How much are they? W: They cost $5 each. M: Good. I want to order 40 tuna sandwiches including the cake with the message. W: Okay. I can give you a 10% discount on everything you ordered. M: Thank you. Can I pick up the order at 10 a.m. this Friday? W: Sure, I'll get it ready. (10 seconds)
```
10번
대화를 듣고, 과학 시험에 관해 두 사람이 언급하지
[Telephone rings.]
M: Hello?
W: Hi, Tom. This is Susan.
M: Oh, Susan! I was worried about you because you were absent from school today. Are you feeling better?
W: I'm okay now. I have some questions about the science exam. Did Mr. Johnson give any more information about it?
M: Yes. The good news is the exam date has been delayed from 11th to 13th of May.
W: Wow! That's good for me. Did he mention what types of questions will be on it?
M: Sure. They will all be multiple choice questions like the previous test.
W: From what I remember, there were 20 questions last time. Is it the same this time?
M: Yes, it's exactly the same. You know what will be covered on it, right?
W: As I know, the exam will focus on chapters two through five from the textbook as well as handouts that we were given.
Any changes?
M: Nothing has changed.
W: Great! Tom, thanks for all the information.
M: My pleasure. See you tomorrow at school.
(10 seconds)
11번
봉사활동에 관한 다음 내용을 듣고, 일치하지않는것을 고르시오.
M: Attention, class. I'd like to inform you about an opportunity to volunteer for the Spring Half Marathon hosted by local athletic clubs. It will be held next Sunday at Lenova Stadium. You can support and help runners with club members. Volunteers will be placed in the finish area. After runners cross the finish line, volunteers will hand out water and food items to them. The expected working time will be about four hours. Volunteers will receive T-shirts with a turtle print on them, since this animal is the symbol of the Spring Half Marathon. It will be a fun and rewarding experience for you. If you want to join, let me know by tomorrow morning.
(15 seconds)
12번
다음 표를 보면서 대화를 듣고, 여자가 선택한 다이어리를 고르시오.
M: Good afternoon, ma'am. What can I do for you?
W: I'd like to buy a diary for my daughter's birthday present.
M: Okay. What type of cover would you like? We have fur, paper, and leather cover diaries.
W: I think a fur cover is not my daughter's taste.
M: I see. These days, diaries with a lock are popular among girls.
W: She will definitely like that. Oh, the little pink keys are so cute.
M: Good. How many pages would you like?
W: Well, less than 100 pages. She doesn't like it too thick.
M: Great! Then you have two options. You can select either one depending on the two free gifts, a feather pen or stickers.
W: Hmm.... I like the cat and dog stickers. She can decorate her diary with them.
M: Good choice! I'm sure this gift will delight her.
W: I hope so. Would you gift-wrap it for me, please?
M: Sure.
(15 seconds)
것을 고르시오.
않은
대화를 듣고, 여자의 마지막 말에 대한 남자의 응답으로 가장 적절한 것을 고르시오.
W: Dad, do you remember my friend Jessy? She won a big prize last week.
M: Oh, really? For what?
W: She has been donating her pocket money for many years to elderly people living alone.
M: Jessy is warm-hearted. I know that many senior citizens living alone are suffering from financial hardship.
W: Right. Some of them don't have enough food to survive. I also want to help them. Any suggestions?
M: I have an idea. How about taking the money from the family piggy bank and sending it to them?
W: Really? But we saved the money to go on the family camping trip.
M: I think saving money together and helping others can be worth more than the family trip.
W: I know what you mean, but...
M: Our actions can be a big help for someone in need.
W: All right, I agree with you. We can go camping later.
M:
(15 seconds)
14번
대화를 듣고, 남자의 마지막 말에 대한 여자의 응답으로 가장 적절한 것을 고르시오.
M: Hi, Jenny.
W: Hi, Kevin. How's your preparation for the speech contest going?
M: I have just finished writing the script.
W: Good. What's your topic?
M: My topic is students can be teachers' friends on social network services.
W: That sounds interesting. I'm sure you'll do well.
M: Thanks, but I have a problem.
W: What's that? You said you completed your script.
M: I'm worried about my performance while delivering a speech in front of many people.
W: Performance? You mean making good eye contact or using hand gestures properly?
M: Yeah. As you know, those things are very important for a good speech. How can I improve them?
W: Use your smart phone to watch yourself. It can make your delivery better.
M: Smart phone? I don't see how it can help me.
W:
(15 seconds)
15번
다음 상황 설명을 듣고, Eric이 Sarah에게 할 말로 가장 적절한 것을 고르시오.
W: Sarah is a high school student, and she lives in the school dormitory. Students are supposed to change their roommates every semester. This time Sarah has a problem with her new roommate. Her roommate leaves her books and clothes on the floor, and she often forgets to lock the door when she leaves the room. So Sarah tells this situation to her friend, Eric. She says she is so stressed because of her roommate's careless behavior, and she doesn't know what to do. Eric wants to tell Sarah that she should express her feeling and problems by telling her roommate directly. In this situation, what would Eric most likely say to Sarah?
(15 seconds)
16번부터 17번까지는 두 번 들려줍니다.
16번과 17번
다음을 듣고, 물음에 답하시오.
M: Hello, I'm James Williams, the author of How to Raise a Child. Do you want your children to grow up as responsible and reliable people? Then why don't you get them involved in housework? If your children aren't doing their chores today, they're highly likely to have trouble working with others later in life. If your children aren't taking turns doing the dishes, it means someone else is doing it for them. This will affect them later because they will depend on others to do the work for them. However, children who are raised to do chores such as cleaning the living room with other family members become people who socialize well with others. That's because these children can easily recognize when someone needs a hand. People who did more chores in childhood are successful later in life. By making them do chores like watering the flowers or doing their own laundry, you can help them do well in society. I know your children are busy studying, but if you really want them to succeed, keep my advice in mind.
다시 한 번 듣겠습니다.
M: Hello, I'm James Williams, the author of How to Raise a Child. Do you want your children to grow up as responsible and reliable people? Then why don't you get them involved in housework? If your children aren't doing their chores today, they're highly likely to have trouble working with others later in life. If your children aren't taking turns doing the dishes, it means someone else is doing it for them. This will affect them later because they will depend on others to do the work for them. However, children who are raised to do chores such as cleaning the living room with other family members become people who socialize well with others. That's because these children can easily recognize when someone needs a hand. People who did more chores in childhood are successful later in life. By making them do chores like watering the flowers or doing their own laundry, you can help them do well in society. I know your children are busy studying, but if you really want them to succeed, keep my advice in mind.
16번
남자가 하는 말의 주제로 가장 적절한 것은?
(10 seconds)
17번
언급된 일이 아닌 것은?
(10 seconds)
이제 듣기 문제가 끝났습니다. 18번부터는 문제지의 지시에 따라 답을 하시기 바랍니다.
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RESPONSE TO LEGISLATURE QUESTION NO. 5 INF 046 POSED BY MEMBER S DOS SANTOS OF THE DEMOCRATIC ALLIANCE (DA)
Regarding the construction of new schools or replacement schools, will the MEC please indicate:
(i) What is the progress regarding:
- Hillcrest Primary;
- Mayibuye Primary;
- Mogobeng Primary;
- Filadelphia LSEN;
- Nokuthula LSEN;
- Nancefield Primary;
- Braamfischer Primary and
- Ruster Vaal Secondary school
Response:
| Project Name | Progress |
|----------------------|--------------------------------------------------------------------------|
| Hillcrest Primary School | Contractor and Professional service provider terminated. The is a dispute on the final account, which was reissued to contractor in August 2022. Confirmation of funds received from client on the 15th August 2022. Process of appointing new service providers underway for completion work. |
RESPONSE TO LEGISLATURE QUESTION NO. 5 INF 046 POSED BY MEMBER S DOS SANTOS OF THE DEMOCRATIC ALLIANCE (DA)
| Project Name | Status |
|-------------------------------|------------------------------------------------------------------------|
| Mayibuye Primary School | Contractor terminated. PSP appointed for completion contract. Planning underway for appointment of completion contract. |
| Mogobeng Primary School | Contractor terminated due to poor performance. Planning underway for appointment of completion contract. |
| Filadelfia LSEN School | Completed |
| Nokuthula LSEN School | Process of acquiring of permanent occupation certificate with COJ in process. |
| Nancefield Primary School | PSP's and contractor were terminated in 2022 for non-performance and the replacement PSP's has been appointed. PSP preparing procurement documentation for appointment of completion contractor in process. Contractor appointment to be concluded in the 4th quarter of 2022/23 financial year. |
| Bramfischerville Primary School| Construction is at 79% |
| Rust-Ter Vaal Secondary School| Contractor terminated. PSP preparing procurement documentation for appointment of completion contractor in process. |
(ii) What is the budget for each school;
Response:
| Project Name | Contract Amount Value |
|--------------------------------------------------|-------------------------|
| Hillcrest Primary School | R9,310,577.11 |
| Mayibuye Primary School | R106,001,541.67 |
| Mogobeng Primary School | R35,694,455.20 |
| Filadelfia LSEN School (Original Contract) | R12,972,109.25 |
| Filadelfia LSEN School (Completion Contract) | R480,286.00 |
| Nokuthula LSEN School | R297,775,431.30 |
| Nancefield Primary School | R95,777,000.00 |
RESPONSE TO LEGISLATURE QUESTION NO. 5 INF 046 POSED BY MEMBER S DOS SANTOS OF THE DEMOCRATIC ALLIANCE (DA)
| Project Name | Contractor’s expenditure to date |
|-------------------------------------|---------------------------------|
| Bramfischerville Primary School | R97,329,858.80 |
| Rust-Ter Vaal Secondary School | R83,509,215.05 |
(iii) How much has been spent on each school to date;
Response:
| Project Name | Contractor’s expenditure to date |
|-------------------------------------|---------------------------------|
| Hillcrest Primary School | R8,871,409.14 |
| Mayibuye Primary School | R98,766,350.09 |
| Mogobeng Primary School | R30,897,208.56 |
| Filadelfia LSEN School | R11,979,542.10 |
| Filadelfia LSEN School | R0 |
| Nokuthula LSEN School | R316,534,919.14 |
| | (Expenditure exceeded contract value after adjudication process) |
| Nancefield Primary School | R52,112,548.67 |
| Bramfischerville Primary School | R76,521,821.30 |
| Rust-Ter Vaal Secondary School | R55 073 279.65 |
(iv) What is the time frame to (a) build, and (b) replace a school;
Response:
It takes an average of 18 to 24 months if not impacted by disruptions and stoppages.
(v) Who are the contractors appointed for each school above;
Response:
| Project Name | PSP Appointed | Original Contractor | Replacement Contractor |
|-------------------------------------|-------------------------------------------------------------------------------|------------------------------|------------------------------|
| Hillcrest Primary School | Arengo 6 (Pty) Ltd: Construction Project Management, Quantity Surveyor, Civil, Structural, Fire, Electrical and Mechanical Engineering, Architectural, Occupational Health and Safety | CV Chabane & Associates -terminated | Not yet appointed |
| Project | Consultant | Consultant Type | Status | Appointment |
|---------|------------|-----------------|--------|-------------|
| Mayibuye Primary School | MSW Project Management Consulting Engineers: Electrical and Mechanical Engineering | Basic Blue / Nebavest JV-terminated | Not yet appointed |
| | Xorosho Projects and Consulting: Occupational Health and Safety | | |
| | Vlish Services: Architectural | | |
| | TKDS: Quantity Surveying | | |
| | Gudunkamo Investments and Consulting (Pty) Ltd: Construction Project Management | | |
| | Vumesa Pty Ltd: Civil and Structural Engineering | | |
| Mogobeng Primary School | Lyma Consulting Engineers: Structural Engineering | Reatlegile Projects-terminated | Not yet appointed |
| | Thembakele Consulting Engineers: Civil Engineering | | |
| | 3RD Dimension Quantity Surveyors: Quantity Surveying | | |
| | Moatshe Global Researchers: | | |
| Project Name | Consultant/Consulting Group | Status | Notes |
|----------------------|------------------------------|-------------------------|--------------------------------------------|
| Filadelfia LSEN School | Architectural, Electrical, Fire, Mechanical Engineering and Occupational Health and Safety | JAC Construction Consulting Group: Construction Management | Uhuru Engineering Projects - terminated | Modipadi Nokaneng-project completed |
| | Kyasa Management: Construction Management | Project Project | | |
| | Sizanani Consortium: Civil, Structural Engineering and Occupational Health and Safety | Insite Landscape Architects: Landscape Architectural | | |
| Nokuthula LSEN School | Durapi Consulting (Pty) Ltd: Civil & Structural Engineering | Basil Read - concluded | N/A | |
| Nancefield Primary School | SKC Masakhizwe Engineers (Pty) Ltd: Occupational Health and Safety | Clear Choice Builders-terminated | Not yet appointed |
| | KRMS Architects: Construction Project Management, Quantity Surveyor, Civil, Structural, Fire, Electrical and Mechanical Engineering | Ngoti Development Consultants: Architectural | | |
(vi) What other work has each of the contractors in (v) done with the Gauteng Provincial Government;
Response:
| Contractor’s Name | Other Projects | Comments |
|------------------------------------|-----------------------------------------------------|-----------------------------------------------|
| CV Chabane & Associates | • Ramabele Middle School | • Completed in 2017/2018 financial year |
| | • AngloGold Health Services | • Project put on hold |
| Basic Blue / Nebavest JV | None | None |
| Reatlegile Projects | None | None |
| Uhuru Engineering Projects | Desmond Tutu youth care centre | Completed in 2017/2018 financial year |
| Contractor | Project Name | Completion Year |
|----------------------------|-------------------------------------|-----------------|
| Sharlimar Primary School | Completed in 2014/2015 financial year |
| Winnie Madikizela Mandela School | Completed in 2014/2015 financial year |
| Thelle Moegoroene Hospital | Completed in 2019/2020 financial year |
| Chris Hani Baragwanath Hospital | Completed in 2017/2018 financial year |
| Basil Read | Nokuthula School | Completed in 2020/2021 financial year |
| | Chris Hani Baragwanath Hospital | Completed in 2020/2021 financial year |
| | Julius Sebolae School | Currently in construction |
| Clear Choice Builders | Chief Luthuli Primary School | Completed in 2013/14 financial year |
| | Steve Blkoville Primary School | Completed in 2013/14 financial year |
| | Magaliesburg Boarding Facility (Completion Contract) | Completed in 2014/15 financial year |
| | Magaliesburg Secondary School | Completed in 2014/15 financial year |
| | Chief Albert Luthuli Primary School No. 2 | Completed in 2015/16 financial year |
| | Soshanguve East Secondary School | Completed in 2015/16 financial year |
| TCT Civil and Construction | Hoerskool Alberton | Completed in 2015/16 |
(vii) What action is taken against contractors who have dismally failed to deliver as per the scope of the project and the consequences thereof;
Response:
| Project Name | Action taken to contractors who failed to deliver |
|------------------------------|------------------------------------------------------------------------------------------------------------------|
| Hillcrest Primary School | The contractor and PSP were terminated as per the contract conditions |
| Mayibuye Primary School | Mutual termination as per the contract conditions. Issues with the contract is delay in allocation of funding for completion works. |
| Mogobeng Primary School | The contractor was terminated as per the contract conditions |
| Filadelfia LSEN School | There was mutual termination between the department and original contractor. A completion contractor was appointed and completed the works |
| Nokuthula LSEN School | N/A |
| Nancefield Primary School | The contractor and PSP were terminated as per the contract conditions |
| Bramfischerville Primary School | None |
| Rust-Ter Vaal Secondary School | The contractor was terminated as per the contract condition. Termination and recommendation for blacklisting |
(viii) When will the projects in (i) be completed (please list individually); and
Response:
| Project Name | Completion / Estimated completion date |
|------------------------------|--------------------------------------------------------------------------------|
| Hillcrest Primary School | Finalisation of first contract due end September 2022, once new PSP’s have been appointed, a definitive timeline can be determined for completion. |
| Mayibuye Primary School | 30 June 2023 |
| Mogobeng Primary School | Timelines to be determined after the appointment of service providers |
| Filadelfia LSEN School | Completed |
| Nokuthula LSEN School | Attaining of occupation certificate by March 2023 |
| Nancefield Primary School | Due to termination of both the contractor and the PSP’s. DID is on the process of finalizing the procurement documentation for the completion contractor. Appointment of contractors by end of March 2023 |
| Bramfischerville Primary School | December 2022. |
| Rust-Ter Vaal Secondary School | Appointment of contractors by end of March 2023 |
(ix) What interventions have been made to date to ensure that these projects are completed within the stipulated timeframe (please indicate for each school)?
Response:
| Project Name | Interventions made |
|------------------------------|------------------------------------------------------------------------------------|
| Hillcrest Primary School | Termination of current contractor and appointment of new service providers |
| Mayibuye Primary School | appointment of new service providers for completion works |
| Mogobeng Primary School | appointment of new service providers for completion works |
| Filadelfia LSEN School | N/A project completed |
| Nokuthula LSEN School | Engagement with COJ and submission of all required documentation |
| School | Action Taken |
|------------------------------|------------------------------------------------------------------------------|
| Nancefield Primary School | Appointment of new service providers for completion works |
| Bramfischerville Primary School | Both MEC (DID) and MEC (GDE) have provided intervention that sought to accelerate the progress on site. As a result, the recovery plan from the main contractor was developed supported by DID Technical Support Team and the appointed PSPs. In addition, a Project Steering Committee has been reinstituted and is actively functional as a governance structure. |
| Rust-Ter Vaal Secondary School | Constant monitoring, beefing up of supervisory resources on site |
MS. Tasneem Motara
MEC: Infrastructure Development and Property Management
Date: 09/09/2022
Cc: Leader of Government Business – Mr. A Lesufi
Deputy Director: Leader of Government Business, Ms. L Bob
Assistant Director: Leader of Government Business – Ms. N Khumalo
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26TH ANNUAL
Parade of Lights 2022 Line Up
"CANDY CANE CHRISTMAS"
Saturday, December 3rd, 2022 at 5:00pm
1. DHS Marching Band and Color Guard
2. Sheriff's Office Honor Guard and Mounted Posse
3. All About Youth Day Float
4. 1928 Chevrolet National Coupe
5. Beach & Sons
6. Douglas Disposal
7. DT Appliance Santa's coming to heat your home!
8. Hope Fest- Balloons, Music, Art and more!
9. Hot Air for Hope
10. Hot Air for Hope
11. Silent Secret
12. Candy Stripers
13. Carson Valley Fastpitch
14. 65 Years old
15. Town of Minden
16. 1929 Ford Model A Pickup Truck
17. Big Daddy's Fire Truck Brew Mobile
18. Adventure in Championland
19. Les Schwab
20. All About Dance
21. Grand Marshal - Kurt Hildebrand - Record Courier
22. Team Amigo
23. Birth of Jesus
24. Boys & Girls Club of Western Nevada
25. Buckaroo's Christmas
26. S & W Tractor
27. Candy Cane Construction Support
28. Candy Cane Express
29. Mrs. Claus at the North Pole
30. Carson Valley FFA
31. Christmas Candy Cane-nines
32. Town of Gardnerville Christmas on Main Street
33. Cinderella Scholarship Pageant
34. Cotton Candy Clouds
35. DAWG's Cats and canine Christmas
36. Evolve Plumbing
37. Douglas County Community & Senior Center
38. Controlled Burn & the Mutant Vehicle Misfits
39. Exprtrme Life (Extremos Del Baranco)
40. Washoe Royalty
41. Gay Straight Alliance
42. Give from the heart
43. Grinch and the Elf
44. Holiday Inn Club Vacations
45. Home with a heart
46. Horses with lights
47. Illuminations
48. Jeep Light of Way
49. Keeping it Cool Carson Valley
50. Cuttin' Loose Ranch
51. Light the World
52. Marty's Appliance
53. Maxton
54. Mortgage Mobile
55. Candy Cane Lane on the Farm
56. Peppermint Pal
57. Trinity Lutheran Preschool
58. Perfectly Peppermint Public Pool Party
59. Troop 495 BSA
60. Santa's Helpers
61. Service is SWEET!
62. Washoe Tribe of Nevada and California
63. Two Stone
64. Santa's John Deer
65. Northern lights and the Polar Pirates
66. Dance Workshop
67. Carson Valley CrossFit
68. Santa - DCSO
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AVIA MAKES CONVERSATION EASIER
Did you know NIH is using a video remote interpreting application called AVIA?
AVIA gives people a convenient way to connect for a quick conversations around the office. You no longer have to wait for a sign language interpreter to be scheduled.
QUICK ACCESS TO INTERPRETERS
Access Interpreting's video remote interpreting application (AVIA) gives people quick access to a remote sign language interpreter. The AVIA application turns an iPhone or iPad into a high quality video phone that supports real-time interpreting services.
Tips to get the most from AVIA expedited conversations:
Plan for it to take a few minutes to connect to the remote interpreter.
Speak directly to the Deaf or Hard-of-Hearing person and not at the iPad or iPhone.
When in group meetings, identify yourself before you speak.
Avoid speaking over other people when participating during a group meeting.
Direct concerns about the volume of the iPad to the Deaf or Hard-of-Hearing person.
Direct requests for interpreter clarification to the Deaf or Hard-of-Hearing person.
Should you have questions about the AVIA application, please send an email to [email protected] or visit www.ainterpreting.com/avia.
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Minutes
INTERNATIONAL ASSOCIATION OF FIRE CHIEFS EMERGENCY VEHICLE MANAGEMENT SECTION
May 25, 2022 – 1 PM EST
Zoom Call
https://us02web.zoom.us/j/81621152689
* Call to Order: Chief Souders
Members present:
[X] Scott Souders, Chair, Great Lake Division Rep.
[] John McDonald, Federal Military Rep.
[] Edward C. Rice, Eastern Division Rep.
[X] Phil Thorburn, Canadian Division Rep.
[] Robert Corsi, New England Division Rep.
[X] Harold McDonald, Southwestern Division Rep.
[X] Kevin McCaw, Missouri Valley Rep,
[X] Jason Shivers, Southeastern Division Rep.
[X] David Dock, At Large Rep.
[X] William Pope, Western Division Rep.
Staff and guests in attendance? Kevin McGee, Liaison
* Revision of published agenda? n/a
* Previous minutes from 1/27/22 meeting was approved.
* Officer Reports
Chair (Chief Souders) – Discussion on who is attending FRI 2022. Decision was made to NOT have a meeting at the FRI due to attendance and logistics.
```
Vice Chair (Chief Shivers) – no report Secretary (Chief Thorburn) – no report
```
Treasurer (Chief J. McDonald) – not present but relayed message that financials are still not available from IAFC.
* Committee Reports
Election Committee – (Chief McCaw) – Chief Rice will be the sole runner for re-election of the Eastern Division
* Old Business
Request was made to all members for ideas related to future direction of EVMS:
-Increase visibility within IAFC
-Assure timely response to IAFC knowledge requests/using board signature line
-Revive Section Newsletters
-Face Book Page
-Get more involved directly with IAFC Board
-Develop new mission statement based on supported direction
* New Business
Need nominations for 2021 Boyd Cole Award (May be delayed to 22 for early next year). Consider revamping eligibility and when it is presented. (EVT?)
* Good & Welfare
* Next meeting date/time: August 17, 2022 via Zoom at 1 PM EST
* Adjournment
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December 2014
The EGRA Committee wishes all its members Merry Christmas and a healthy and happy 2015! Please put the date for next year's AGM in your diary now - 7.30pm on Wednesday 15 April 2014 at St Barnabas Church Hall, Emmer Green.
The evening will begin with refreshments and a complimentary glass of wine. Following the AGM, Rachel Sanderson from the Chilterns Conservation Board will speak on her Chilterns Commons project.
Committee Update
As a result of an appeal for additional help this summer, we are pleased to welcome three new members to the committee into the following roles. Annette Fairweather has taken over as Membership Secretary from Liz Lyke, (who becomes a non-designated committee member). Doris Hiscox is attending Neighbourhood Action Group meetings on our behalf and Veronica Leeke is following planning matters.
The chair would like to thank Mark Hutchings, who resigned from the committee in July, for his work with the association over the past year.
Replacement Tree in Park
The dead Turner's Oak has now been replaced. EGRA member, Diana Hartrup located a Tulip Tree which has been purchased by the association and was planted on 17 th November.
The photo shows Diana with Dave Kenny from Caversham Globe and Duncan Coles who helped plant the tree.
Highdown School Swimming Pool
The pool is still accessible to clubs and schools, but for the time being there are no open public sessions. EGRA is liaising with the school regarding reopening of the pool for community use.
Community Noticeboard in Emmer Green Precinct
The noticeboard is well used by many organisations to advertise a huge variety of local events. EGRA secretary, Jane Handley, manages a hardworking team of volunteers who keep the board current and attractive. Please use only drawing pins to attach notices. The team will remove posters that have been stapled, glued or fastened to the frame itself because these methods damage the noticeboard.
The Heights School
An RBC press release on 21 st November announced, that in a change to their usual approach of selecting sites, the Education Funding Agency (EFA) has decided to ask the Council to assist in finding a community-backed permanent location. The final decision still remains with the EFA.
Whilst primarily an issue for the residents and parents of Caversham Heights, EGRA has said from the outset we would not support any location that exacerbated the traffic congestion in Emmer Green. We also hope any chosen site would alleviate pressures on our already overcrowded schools. EGRA was founded and heavily involved in the fight to save The Hemdean Valley When half of the valley was built on, significant legal protection was built in for the remaining part. More recently, EGRA has also supported CADRA and other Caversham groups to ensure protection of all open spaces within the Reading Borough strategic plans. The Hemdean Valley is currently designated as 'Public and Strategic Open Space' under policy SA16 and also designated as a 'Landscape Feature.' We are fully aware there are active campaign groups, each with valid reasons why their particular site is not suitable. We, like CADRA, support calm engagement in a constructive manner, and above all hope the future of our children and the next generation be given priority.
Crossing the River 1 – New Pedestrian Bridge
Work is underway on the new shared pedestrian and cycle bridge which, when complete, will be approximately 120m long, with a 68m span over the River Thames. It will provide a key new route for pedestrians and cyclists from Caversham into the town centre, and to and from Reading Station. On the northern side it will link to the existing paths running through Christchurch Meadows. To the south it will link to an improved riverside foot and cycle path and connect via Norman Place onto Vastern Road. Weather permitting, the bridge should be completed by early Summer 2015.
Crossing the River 2 - Strengthening of Reading Bridge
Reading Bridge is almost 100 years old and in need of essential strengthening and waterproofing. Offpeak lane closure to enable foam concrete to be pumped under the bridge began in mid- November. The concrete will take three months to settle and during this time other repair work will take place. At some point the bridge will need to be fully closed; details will be publicised widely. The project is due for completion by Summer 2015. Road users can check the traffic cameras on the Council's Travel-info website www.reading-travelinfo.co.uk
Crossing the River 3 – Third Thames Bridge
Rob Wilson has circulated news of the Third Thames Bridge and the involvement of Oxfordshire CC. A full traffic study will be undertaken to assess all likely traffic impacts from a third bridge. http://www.robwilsonmp.com/news/rob-reports-back-latest-third-thames-bridge-meeting-0
St Martins Precinct Development, Caversham
Reading Borough Council's planning application committee have deferred a decision on the revised plan, which includes an extended Waitrose, leisure facilities, improved parking and landscaping. The delay is due to concern expressed by CADRA for the 150 year-old Holm oak.
Dunsden Owen Association Exhibition and Concert
A successful WWI exhibition, with over 450 visitors, was held over the weekend 7-9 November. In Dunsden Village Hall, which Owen would have known as the Village School, an absorbing exhibition was staged, funded by Heritage Lottery Fund and supported by local sponsors. It featured a 'room setting' depicting life in rural Dunsden in the WWI period and used local archives, letters from Wilfred Owen and oral histories of residents who then had family in the village, to capture a sense of the period and of Dunsden at this time. On Saturday evening a concert. 'Letters to my Mother' was held in All Saints' Church. Readings, drama and song formed the narrative of Wilfred Owen's life in Dunsden until his death in Ors, France. The association's next planned event is the opening of the trail in Spring 2015. Follow progress on http://www.owenindunsden.org or https://www.facebook.com/dunsdenowen
EGRA continues to monitor any threat to our precious South Oxfordshire countryside. We listen to the community and liaise with Parish & District Councils and other elected representatives. In the summer we responded to the South Oxfordshire Local Plan 2031 questionnaire and await the results.
Chairman, Margaret Ormonde, Tel:01189470922 Email: [email protected] Newsletter Editor Linda Glithro Tel: 0118 9673976 Email: [email protected]
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Jan Malte Lichtenberg
[email protected] ∼ www.janmaltel.com
profile
I am a final-year PhD student in machine learning with a strong theoretical background in mathematical statistics. My work experience outside academia includes end-to-end development of machine-learning models and their implementation into real-world products.
education
work experience & projects
publications
My research interests include reinforcement learning, the bounded rationality of human decision making, and the interaction between human and artificial learning processes.
J. M. Lichtenberg and ¨ O. S¸ims¸ek (2019). Regularization in directable environments with application to Tetris. International Conference on Machine Learning (ICML). [pdf] [code]
J. M. Lichtenberg and ¨ O. S¸ims¸ek (2019). Iterative Policy Space Expansion for Reinforcement Learning. NeurIPS 2019 Workshop on Biological and Artificial Reinforcement Learning. [pdf]
J. M. Lichtenberg and ¨ O. S¸ims¸ek (2017). Simple Regression Models. Proceedings of Machine Learning Research (PMLR). [pdf]
teaching
awards & scholarships
2017–2021 Marie Sklodowska-Curie Fellowship
programming
Advanced Python
Intermediate
Basic
(incl.
Javascript
NumPy,PyTorch
,Git,Docker
C++,
PhD funding (European Union)
,TensorFlow
,GCP
Java/Processing
languages
English Fluent(PhD studies in the UK since 2017)
French Fluent(Lived, studied, and worked in France for more than 3 years.)
German Native
Contact details of referees (both academic and non-academic) available upon request.
&scikit-learn),R
,AWS
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2139 Wyecroft Road, Oakville, Ontario L6L 5L7
Tel: (Oakville) 905-847-6555 (Toronto) 416-213-7187 (Toll Free) 1-800-388-7947
Fax: 905-847-5509
Dear Customer:
The following requirements are necessary in order for All-Connect Logistical Services to better facilitate the handling of your claim.
Any claim for intransit damages or shortages must be reported to our Claims Department within 24 hours of delivery by e-mail to [email protected] or by telephone 416-213-7187, Toll Free 1-800-388-7947 or by fax at 905-847-3339.
All-Connect will require the following documents in order to process your claim:
1. Standard Claim Form (showing breakdown of amount claimed)
2. Shipper's Invoice
3. Freight Bill (if available)
4. Shipper's Bill of Lading (clearly noting shortage or damage)
5. Photographs (if possible)
The above-referenced documents plus any other documentation which may be pertinent to the claim must be filed within sixty (60) days upon receipt of goods. These documents will allow all-Connect to better process your claim. Failure to supply a majority of the above could result in your claim not being honoured.
Please be advised that All-Connect will not process any claims under $100.00
Your cooperation in getting your claim resolved is greatly appreciated.
Claims Department All-Connect Logistical Services Inc.
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02/21/2013
HealthPocket's "Rate-Up" Roundup
Insurers Often Increase Prices During an Application
By Ron Shinkman Feb 21, 2013
California Region
A new study by a Sunnyvale firm concludes that 80% of the individual health plans offered to applicants in the United States can be paired with a "rate-up" – an often sharp rise in price from the originally quoted premium prior to the finalization of enrollment. The study, undertaken by HealthPocket, which offers Web-based health plan shopping tools for consumers, found that 18% of all consumers encounter a rate-up. The price increase is often the product of the underwriting process and the vetting for pre-existing health conditions. They may prompt the insurer to consider an applicant more of a financial risk, therefore justifying the hike in premium.
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CINNAMON FRENCH TOAST
$11
Cinnamon bread, berry compote, cream cheese glaze, organic maple syrup.
AVOCADO TOAST
$11
Grilled toast, avocado, Kocher salt, arugula, tomatoes, lodge potatoes, extra virgin olive oil.
Add 2 Poached eggs -$5-
BREAKFAST BOWL
$12
Spinach, hardboiled egg, cucumber, carrot, avocado, apple, yogurt, granola. Add a Pancake Stack - $9 -
PRAIRIE GRANOLA
$
9
Homemade granola, greek yogurt, maple syrup, berry compote, walnuts.
STEAK AND EGGS
$
17
6oz Northern Gold striploin steak cooked to your liking with a choice of eggs served with toast, lodge potatoes.
JAX LUMBERJACK BREAKFAST
$
19
A large breakfast of eggs, ham, bacon, sausages, pancakes.
JAX BREAKFAST SANDWICH
$
15
Fried eggs, bacon, aged cheddar, tomatoes, pesto aioli, lodge potatoes. Served on a bagel.
CHILDREN'S MENU
BREAKFAST PLATE
$
10
One egg any style, crispy bacon, potato and toast.
BAGEL & FRUIT
$
6
Berry jam and peanut butter. Served on a bagel.
KIDS FRENCH TOAST
$
Child sized portion of main course.
BREAKFAST DRINKS AND SIDES
7
75
25
75
75
50
75
75
75
25
75
Podollan Inn & Spa featured breakfast for registered guests.
BUILD YOUR OWN OMELETTE
Includes, 2 slices of toast and a choice of hashbrowns or a tomato slice.
Pick any 4 ingredients: (additional items are $1.50 each)
❖ Cheese
❖ Tomatoes
❖ Peppers
❖ Mushrooms
❖ Bacon
❖ Ham
❖ Green Onions
❖ Onions
BUILD YOUR OWN BREAKFAST
Start with the toast, that is included and build your own breakfast from the options below.
Pick any two (2) items: (additional items are $1.50 each)
❖ Eggs (2 any style)
❖ Hashbrowns
❖ French Toast
❖ Waffles
❖ Fruit Salad
❖ Tomato slices
❖ Pancakes
Pick one (1) item: (additional items are $3.75 each)
❖ Bacon (3 strips)
❖ Sausage (2 links)
❖
Ham
(1 slice)
BEVERAGES
Choose one complimentary beverage.
❖ Coffee/Tea
❖ Grapefruit Juice
❖ Orange Juice
❖ Apple Juice
❖ Cranberry Juice
❖ Pineapple Juice
ADD-ONS
❖ Freshly Squeezed OJ
$
5
❖ Pomegranate Juice
$
5
❖ Kombucha
$
5
❖ Daily Smoothie
$
5
$ 75
❖
Greek Yogurt 3
$ 75
❖ Danish
$
3
75
❖ Croissant
$
3
75
❖ Muffin
$
3
75
❖ Toasted Bagel w/Cream Cheese
5
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FUSION FOR ENERGY
The European Joint Undertaking for ITER and the Development of Fusion Energy
THE GOVERNING BOARD
SUMMARY OF DECISIONS OF THE 35 th MEETING OF THE GOVERNING BOARD OF THE EUROPEAN JOINT UNDERTAKING FOR ITER AND THE DEVELOPMENT OF FUSION ENERGY ('FUSION FOR ENERGY')
Barcelona, 29-30 June 2016
The Governing Board (GB) of the European Joint Undertaking for ITER and the Development of Fusion Energy (Fusion for Energy – "F4E") has decided the following:
Approval of the Agenda
1. The GB approved the agenda of its 35 th meeting.
Written Procedures
2. The GB noted the written procedures since the previous GB meeting.
Approval of the Minutes
3. The GB approved the minutes of its 34 th meeting.
Reports from F4E
4. The GB noted a general Progress Report from F4E on the recent accomplishments related to the ITER and Broader Approach Projects together with a report from F4E Director on his first six months in his post and:
a. Commended F4E for the recent progress in many different areas.
Status of Actions
5. The GB noted the report from F4E on the status of the 2015 F4E Action Plan and:
a. Commended F4E for the progress on the implementation of the Action Plan;
b. Requested the F4E Director to provide an updated Action Plan;
c. Encouraged F4E to continue to give all its attention to the Action Plan, in particular to continue building an integrated data management system.
Status of IFMIF
6. The GB took note of the presentation from F4E on the background and possible next steps of IFMIF-DONES as well as the update on the status of the expressions of interest from Croatia, Poland and Spain. The GB supports the organisation of a technical workshop in September 2016 to clarify the different aspects related with the preparation of the possible hosting proposals with these GB Members , open to any other GB Member interested, with a view to have consolidated proposals by the next GB meeting.
Reports from EURATOM
7. The GB noted a report from Euratom on the outcome of the extraordinary ITER Council meeting of 27 April and the 18 th ITER Council meeting of 15-16 June (IC18) where all Members agreed ad referendum on the new schedule up to first plasma (2025) and endorsed IO's proposal for a strategy of a staged approach from First Plasma to DT operations.
Reports from the Chairs
8. The GB noted the report from the Chair of the GB including the summary of the Bureau meeting of 16 June 2016;
9. The GB noted the report from the Chair of the Administration and Management Committee (AMC) including the summary of the AMC meeting of 9 June 2016;
10. The GB noted the report from the Chair of the Procurement and Contracts Committee (PCC) including the summary of the meeting of 14 June 2016;
11. The GB noted the report from the Chair of the Technical Advisory Panel (TAP), including the summary of the meeting of 7 June 2016;
12. The GB discussed the collaboration between the European Fusion Laboratories (EFLs) and F4E including the contractual arrangements and agreed that action is necessary in order to clarify and improve the relationship.
ITER Vacuum Vessel
13. The GB noted with concern the status of the EU Vacuum Vessel (VV) Sectors and in benefit of the project:
a. Supported the decision at the last ITER Council (IC18) to transfer the responsibility for two sectors from Europe to the ITER Organization;
b. Requested the F4E Director to take additional necessary actions to keep the project on schedule.
ITER Buildings
14. The GB noted the presentation on the progress on the Buildings;
15. The GB noted that F4E has started discussions with the contractors.
Amended Organisational Chart
16. The GB commended the F4E Director for his leadership and actions to date and thanked all F4E staff for their commitment;
17. The GB approved the amended organisational chart proposed by the F4E Director;
18. The GB requested the F4E Director to provide periodic updates of the status of the implementation of the new organizational scheme at the successive GB meetings.
Fifth Annual Assessment of F4E
19. The GB agreed to launch an assessment by an external expert group who should analyse the strategy of F4E towards first plasma and beyond and its alignment with the overall ITER schedule as an input. The study should also cover the Council`s requirement to have an annual assessment by external experts;
20. The work of the expert group should start in September and the report should be delivered by the end of October;
21. The group composition and terms of reference will be proposed to the GB by the Chair.
Specific Reports from F4E
22. The GB noted the status of F4E`s risk appetite and requested the F4E Director to provide a document on a corporate risk appetite policy that could be adopted at the next GB;
23. The GB noted the status of the Major Procurement and Related Risks;
24. The GB noted the status of the Implementation of the 2014 and 2015 and 2016 Budgets and Forecast;
25. The GB noted the status of Staffing and Vacancy Rate and recommended F4E to accelerate the reduction of the vacancy rate;
26. The GB noted the status of Planning, Monitoring and Reporting Systems;
27. The GB noted the Status of the Permanent Office Premises and commended Spain for its advantageous proposal. The GB endorsed the proposal by F4E to undertake renovations of the office lay out and called Spain and F4E to finalise negotiations within this year.
Operational Matters
28. The GB adopted the 2 nd Amendment to the 2016 Work Programme;
29. The GB adopted the 1 st Amendment to the 2016 Budget;
30. The GB approved the 1 st Amendment to the NBTF agreement;
31. The GB welcomed the initial information provided by F4E related to the main F4E milestones, schedule and resources associated with the new ITER baseline schedule and requested the F4E Director to further elaborate this information along the following lines:
a) Provide a comprehensive view of schedule, milestones and budget;
b) Work towards the maximum cost savings.
Annual Reports and Accounts
32. The GB adopted the 2015 Final Annual Accounts;
33. The GB noted the 2015 Annual Report and required future annual reports to follow applicable Commission guidelines;
34. The GB adopted the Analysis and Assessment of the 2015 Annual Report.
Audit Matters
35. The GB noted the Report from the Chair of the Audit Committee;
36. The GB noted the Annual report from the Audit Committee;
37. The GB noted the European Parliament's Discharge for the 2014 Budget;
38. The GB noted the 2015 Annual Report of the Internal Audit Service;
39. The GB noted the 2015 Annual Report of the Internal Audit Capability;
40. The GB adopted the Management`s standards;
Approved : 30/06/2016
41. The GB noted the Updated Corporate risk register.
Any Other Business
The GB adopted the Modification of GB Decision F4E (09)-GBWP-02 regarding measures to support access to schooling for children of F4E Staff.
Future Meetings
42. The GB decided to have the next GB meeting on the 1-2 December 2016.
Closing
43. The GB approved this Summary of decisions.
Done at Cadarache, 30 June 2016
Approved : 30/06/2016
For the Governing Board
Joaquin Sanchez Chair of the Governing Board
For the Secretariat
Romina Bemelmans Secretary of the Governing Board
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Applicant Information
*Last Name ____________________________________________________________ *First Name ____________________________________________________________
Middle Name 1 _________________________________________________________ Middle Name 2 _________________________________________________________
*Date of Birth: ___________________________ *Place of Birth: ___________________________ U.S. Citizen or Legal Permanent Resident:
Yes ☐ No ☐
*Country of Citizenship: ________________________________________________ Country of Residence: ____________________________________________
Prisoner Number (if applicable): __________________________________________
*Last Four Digits of Social Security Number: _______________________________
*Height: ___________________________ *Weight: ___________________________
*Hair (please check appropriate box):
☐ Bald ☐ Black ☐ Blonde/Strawberry ☐ Blue ☐ Brown ☐ Gray ☐ Green ☐ Orange ☐ Pink
☐ Purple ☐ Red/Auburn ☐ Sandy ☐ Unknown ☐ White
*Eyes (please check appropriate box):
☐ Black ☐ Blue ☐ Brown ☐ Gray ☐ Green ☐ Hazel ☐ Maroon ☐ Multicolored ☐ Pink ☐ Unknown
Applicant Home Address
*Address _______________________________________________________________________________________________________________________
*City __________________________________________________________ *State ________________________________________________________________
*Postal (Zip) Code ______________________________________________ *Country ____________________________________________________________
Phone Number ______________________________________________ E-Mail _____________________________________________________________
Mail Results to Address
C/O __________________________________________________________ ATTN ________________________________________________________________
Address ______________________________________________________________________________________________________________________
City __________________________________________________________ State ________________________________________________________________
Postal (Zip) Code ______________________________________________ Country ____________________________________________________________
Phone Number (if different from above) __________________________________________________________
Payment Enclosed: (please check appropriate box)
☐ CERTIFIED CHECK ☐ MONEY ORDER ☐ CREDIT CARD FORM
Reason for Request:
☐ Personal review ☐ Challenge information on your record ☐ Adoption of a child in the U.S.
☐ International adoption ☐ Live, work, or travel in a foreign country ☐ Other
* APPLICANT SIGNATURE __________________________________________ DATE _______________________________________________________
Mail the signed applicant information form, fingerprint card, and payment of $18 U.S. dollars to the following address:
FBI CJIS Division – Summary Request
1000 Custer Hollow Road
Clarksburg, West Virginia 26306
You may request a copy of your own Identity History Summary to review it or obtain a change, correction, or an update to the summary.
Filling out the Advanced FBI Background Check Application (I-783 form)
**Applicant Information: * Denotes Required Fields**
*Last Name: Doe
First Name: John
Middle Name 1: Mar
Middle Name 2:
*Date of Birth: 12/12/1982
*Place of Birth: Seattle
U.S. Citizen or Legal Permanent Resident: Yes ( ) No ( )
*Country of Citizenship: United States
Country of Residence:
Prisoner Number:
*Last Four Digits of Social Security Number: 222-44-5555
*Height: 5'11"
*Weight: 185 lbs.
*Hair (please check appropriate box):
- Bald
- Black
- Blonde/Strawberry
- Blonde
- Brown
- Gray
- Green
- Orange
- Red
- Purple
- Red/Auburn
- Smoky
- Unknown
- White
*Eyes (please check appropriate box):
- Black
- Blue
- Brown
- Gray
- Green
- Hazel
- Maroon
- Multi-colored
- Pink
- Unknown
**Applicant Home Address**
*Address: 1717 Unknown Street
*City: Madison
*Postal Zip Code: 53658
Phone Number: 608-558-8888
E-Mail: [email protected]
**Mail Results to Address**
C/O Child Care® of America
Address: 1415 N. Courthouse Road, 2nd Floor
City: Arlington
State: Virginia
Postal (Zip) Code: 22201
Phone Number (if different from above): 1800-424-2246, option 4
**Payment Enclosed:** (please check appropriate box)
- [ ] CERTIFIED CHECK
- [ ] MONEY ORDER
- [ ] CREDIT CARD FORM
**Reason for Request:**
- [ ] Personal review
- [ ] International adoption
- [ ] Challenge information on your record
- [ ] Live, work, or travel in a foreign country
- [ ] Adoption of a child in the U.S.
- [ ] Other
*APPLICANT SIGNATURE*
DATE:
Mail the signed applicant information form, fingerprint card, and payment of $18 U.S. dollars to the following address:
FBI-CBI Division – Summary Request
1960 Custer Hollow Road
Clarksburg, West Virginia 26306
You may request a copy of your own Identity History Summary to review it or obtain a change, correction, or an update to the summary.
PLEASE FOLLOW ALL THE INSTRUCTIONS BELOW WHEN REQUESTING AN ELECTRONIC FBI BACKGROUND CHECK
1. Mail the required items, listed below (applicant form, fingerprint card and payment), to the following address:
FBI CJIS Division- Summary Request
1000 Custer Hollow Road
Clarksburg, WV 26306
2. Please make sure that you have already submitted an updated staff list to Child Care Aware of America before mailing your application to the FBI. Your updated staff list may be sent to [email protected] or faxed to 571-255-4911.
3. Include 18 U.S. Dollars in the form of a money order or certified check made payable to the Treasury of the United States. Personal checks, cash, or business checks will not be accepted.
- Be sure to sign where required
- Must be exact amount
4. The reason for the request must be “other”.
5. Include your complete contact information (mailing address, email address, and/or telephone number) in case the FBI needs to contact you.
6. Obtain proof of identity, consisting of a set of your fingerprints (original card, NO copies), with your name, date of birth, and place of birth clearly stated at the top of the card.
7. Fingerprints should be placed on a standard fingerprint form FD-258 commonly used for applicant or law enforcement purposes. For a list of fingerprinting locations in your area please visit: http://myfbireport.com/locations/index.php . For the best results, we recommend clicking on your state and then searching by city.
1515 N. Courthouse Rd, 2nd Floor
Arlington, VA 22201
Phone: 1-800-424-2246, option 4
Fax: 571-255-4911
[email protected]
8. Previously processed fingerprint cards will not be accepted.
9. It is recommended to have your fingerprints taken by a fingerprinting technician. (This service may be available at a law enforcement agency).
Credit Card Payment Form
* Denotes Required Fields
Applicant Name [______________________________]
* Name [____________________________________]
(as it appears on credit card)
Company Name (if applicable) [_________________________]
* Billing Address [__________________________________]
Billing Address 2 [__________________________________]
* City [__________________________________________]
* State/Province [__________________________________]
* Postal (ZIP) Code [_______________________________]
* Country [_______________________________________]
* Credit Card #: [______________________________]
* Expiration Date (MM/YYYY) [______________________]
* Total Amount To Be Billed To Credit Card $ [__________]
( x $18 US Dollars Per Request)
* Card Holder Signature [__________________________________]
No Charge Backs or Refunds
All Sales Final
DID YOU REMEMBER TO........?
Please check the boxes to ensure that you have included everything needed to process your request.
- Include a completed application form.
- Sign your application. *Note: If for a couple, family, etc., all must sign the application.
- Include a completed fingerprint card. A completed fingerprint card includes the following:
- 1. Name
- 2. Date of Birth
- 3. Descriptive Data
- 4. All 10 rolled fingerprint impressions.
- 5. The plain impressions including thumbs of both hands.
- 6. Current fingerprint card-no older than 18 months.
- Include a credit card payment form, *certified check, or money order for $15.00 per request. *Note: This amount must be exact.
- If using a credit card, please ensure the credit card payment form is filled out completely. Don’t forget to include the expiration date of the credit card that you are using.
- If paying with a certified check or money order, make it payable to the Treasury of the United States.
CASH OR PERSONAL/BUSINESS CHECKS ARE NOT AN ACCEPTED FORM OF PAYMENT.
- Include a form of contact information (i.e., e-mail, telephone number) in case we need to contact you.
*To issue a certified check, the bank verifies that sufficient funds exist in the requestor’s account to cover the check, and so certifies payment at the time the check is written. Those funds are then set aside in the bank’s internal account until the check is cashed or returned to the payee.
|
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|
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FINANCIAL CRIME POLICY
1. Introduction
Flex LNG Ltd. ("the Company") operates in jurisdictions worldwide where financial crime is a criminal offence.
In the context of our operations at the Company, financial crime is any kind of criminal conduct relating to money including any offence involving:
* Fraud or dishonestly; or
* Handling the proceeds of crime; or
* The financing of terrorism.
2. Purpose
This policy expands on the Company's Code of Business Ethics and Conduct and further details our requirements in relation to financial crime, specifically relating to anti-bribery and anti-corruption ("ABAC").
3. Scope and applicability
This policy applies to all entities controlled by the Company and officers, directors, employees as well as workers and third party consultants of the Company, wherever they are located (together "Employees").
It also applies to representatives, vendors, agents, consultants and other individuals or companies that provide services for or on behalf of the Company (together "Business Partners").
4. Our commitment and responsibilities
The Company will not tolerate any form of financial crime by its employees or Business Partners acting on its behalf and this policy demonstrates our zero-tolerance approach. The Compliance Officer will regularly review and update this policy where necessary as our business environment changes and new threats appear.
5. What's the legislation?
As a global business, there is a growing number of, and changes to, laws which apply to jurisdictions in which we operate. The regulatory landscape has become more dynamic and complex. This policy makes reference to some of the key global legislative requirements, however is not intended to be an exhaustive list of all relevant legislation. Instead, this policy aims to communicate the spirit of the relevant laws and regulations with particular reference to the following:
* Foreign Corrupt Practices Act (FCPA) 1997 (as amended) and UK Bribery Act 2010
* Office of Foreign Assets Control (OFAC) sanctions, US Economic Sanctions Laws, European Union (EU) sanctions, United Nations (UN) Security Council sanctions and HM Treasury (UK) sanctions
* EU 4 th Directive on anti-money laundering (AML) and counter terrorist financing (CTF)
* The Norwegian Competition Act, Treaty on the functioning of the European Union (TFEU), articles 101 and 102, The Sherman Act (US), The Federal Trade Commission Act (US), The Clayton Act (US), The Competition Act 1998 (UK) and The Enterprise Act 2002 (UK)]
6. Competition law and anti-trust
6.1 What are competition laws and anti-trust laws?
Competition regulations exist to maintain or promote healthy competition between private companies to ultimately benefit consumers. The reasoning is that when companies compete for customers, they are encouraged to produce the best quality services at the best price.
6.2 Who is a competitor?
A competitor is a company that can compete with another company directly or indirectly in the relevant market. That means that a competitor either provides the same services we do or could offer the same services by either acquiring a vessel within our segments or use existing vessels for cargo that is usually carried by other types of vessels. A potential competitor could also be a shipowner – or operator that is currently active in another geographical market but decides to switch to the geographical markets where we operate. Agreements between competitors or potential competitors are called horizontal agreements.
There are also vertical agreements whereby agreements are entered into between companies operating on different levels of the distribution chain. For example, when a vessel is chartered out from a shipowner to an operator. In these situations, the companies are not generally considered competitors.
6.3 What is the relevant market?
The relevant market is defined as the product (services) market, the geographical market and in some instances the temporal market. The services market is where we provide our services for certain customers and certain goods and where we compete with other carriers for the same customers and goods. The geographical market can often be divided into trades, or sometimes areas. It is rarely global. The temporal market only applies if some goods are very seasonal.
6.4 What is prohibited?
Agreements that have as their object or effect to distort competition.
* You cannot agree on prices with a competitor or end-prices with a sub-contractor towards a customer, so called price-fixing.
* You cannot divide markets (services or geographical) with your competitors, so called market sharing.
* You cannot cooperate with your competitors on bids, so called bid-rigging.
* Should you have a dominant position in the market, you cannot abuse it by e.g., tying arrangements or predatory pricing.
* You cannot share business sensitive information with a competitor, so called illegal information exchange.
This type of behaviour is also prohibited if they are facilitated through a third party, such as an industry organisation.
6.5 What is an agreement?
An agreement is not only a written agreement between two parties, but it can be a mutual agreement or a nod in a meeting. In fact, if during a meeting something illegal is discussed or agreed, you will be considered a party to that agreement or collusive behaviour if you do not explicitly state that the discussion or agreement is illegal, leave the meeting and ensure that the minutes reflect your stance and your exit.
6.6 What is business sensitive information?
Business sensitive information is typically non-public information you otherwise would not share such as rates, customers, commercial terms, costs, discounts, strategy, new business initiatives, acquisitions, upcoming tenders and whether and how you will participate in those tenders. In short, any information that reduces strategic uncertainty in the market and is likely to affect competitors' market conduct.
Non-sensitive information is typically public information that concerns new rules or legislation, environmental initiatives, broker reports, industry standards, common problems of a general nature or topics at industry conferences. Historical information also falls under this category. The definition of historical has to be made on a case-by-case basis.
Information is considered public if it is accessible to everyone and free to use. Arguably, broker report and news clippings from shipping newspapers would also be considered public.
6.7 When should you reach out to the Compliance Officer?
Always report to the Compliance Officer if you have had an interaction with a competitor that you are uncertain about, be it in a meeting or through some sort of communication, electronic or otherwise. If you consider a joint bid, joint selling, joint purchasing, or other joint activities with a competitor, reach out for advice. It may be pro-competitive but check first.
6.8 How should you communicate?
Ensure that you use clear language that do not contain speculations that can be used against you at a later stage. When taking decisions, make sure to document the business rationale behind them. Remember that competition authorities and the courts can request disclosure of all documents, e-mails and other types of communication relevant to their case.
6.9 What can the consequences be?
Breaches of competition law can result in significant fines for both the company and its employees in certain jurisdictions, in particular in the US. Employees also risk imprisonment in several jurisdictions, including the US. It is also likely that the company will be exposed to civil claims from customers. There will also be substantial costs for external lawyers and others, in addition to reputational damage.
7. Bribery and Corruption
7.1 What is Bribery?
Bribery is an improper advantage offered, promised or provided in connection with a person's position, office or assignment in either the public or private sector.
Bribery includes offering, promising or giving an advantage to another person with the intention to (i) induce a person to perform improperly a relevant function or activity, or (ii) in order to reward a person for the improper performance of such a function or activity.
Further, it is prohibited offering to pay, paying or authorizing the payment of money or anything of value to a public official in order to influence any act or decision of the public official in his or her official capacity or to secure any other improper advantage in order to obtain or retain business.
Bribery may involve government officials, companies or private individuals and may occur directly or indirectly through third parties.
Both paying a bribe and receiving a bribe is strictly prohibited. You should be aware that presenting an offer is sufficient to be held liable under applicable anti-corruption laws. No actual transfer has to be made.
Examples of benefits that may constitute bribery is cash, loans, gifts, entertainment, travel, services, donating to charity for improper reasons and scholarships.
The company prohibits the following acts being undertaken by any Employee or Business Partner acting on the company's behalf:
* Offering, promising or giving a bribe;
* Requesting, agreeing to receive or receiving a bribe;
* Bribing a Public Official in order to obtain or retain a business advantage
7.2 What is trading in influence?
Trading in influence is a concept from the European Council Criminal Law Convention on Corruption from 1999. Trading in influence is accordingly made a criminal offence under many applicable anti-corruption laws.
We prohibit the offering or giving of an improper advantage to a third party in exchange for this person trying to influence the conduct of someone else.
If we ever engage lobbyists or agents to influence a public office or political decisions, certain precautions must be made, namely:
* We must attempt to identify any links between the lobbyist/agent and a politically exposed person;
* The lobbyist or agent must be open about his assignment for our company in contact with the decision makers;
* The fee must be reasonable based on the service provided by the lobbyist or agent.
7.3 Public Officials
The term "Public Official" includes elected or appointed officials at all levels of government as well as anyone who is employed by a national, regional or local government or a government-owned or controlled entity, employees of public international organizations, political parties, officials of political parties and candidates for public office.
7.4 Facilitation Payments
The Company prohibits facilitation payments (also called "grease payments"). A facilitation payment is a payment made to a public official to expedite or secure performance of a routine duty which that person is already obliged to perform and where such payment would exceed what is properly due.
Typical examples of facilitation payments:
* Paying a small sum to a public official to obtain certain approvals which are needed to conduct business in that country;
* Paying a small sum or giving a small gift (as a money substitute) to port authority officials to be given priority in the harbor;
* Making cash payments to customs officials to release goods held in customs;
* Paying a small sum in unofficial fees to obtain visas or work permits or to get through immigration/customs at the airport.
The only exception to this is where an employee or Business Partner has reasonable belief that their personal safety is at risk. In such situations the employee must report the details of the payment to the Compliance Officer within 48 hours of making such a payment.
7.5 Gifts, entertainment and hospitality
Employees or Business Partners should not provide gifts to or receive them from any Public Official (or their close families and business associates). Employees should never solicit a gift or favor from those with whom The Company does business.
Only gifts, entertainment and hospitality that are reasonable, proportionate and transparent, that do not influence business decisions and are not prohibited by law or otherwise may be offered or accepted. If in doubt, contact the Compliance Officer or the CEO.
Cash or cash equivalents, such as bonuses, gift certificates redeemable for merchandise, tickets (except as permitted herein) or services, the payment of credit card charges, or the like regardless of the amount may not be offered, given or received without the written approval from the CEO.
7.6 Political and Charitable donations
The company does not make contributions of any kind to political parties. We must always ensure that social projects, donations and grants are awarded according to objective criteria and in order to improve our overall image and reputation. No charitable
donations will made by the company with the intent to gain a commercial advantage.
7.7 Conflicts of interest
A conflict of interest exists if actions by an employee are or could reasonably appear to be influenced directly or indirectly by personal considerations, duties owed to persons or entities other than the Company, or by actual or potential personal benefit or gain. Conflicts of interest do not necessarily have to result in unethical or illegal acts.
Employees and Business Partners must avoid conflicts of interests, including potential conflicts of interest that could create the perception that they may be improperly influenced in their decision making.
If an employee or Business Partner acting on the company's behalf have an actual, perceived or potential conflict of interest they should notify this immediately to their manager and the CCO and adhere to any instructions provided on how to address such conflict of interest.
7.8 Engaging Business Partners
We choose our Business Partners carefully. This involves mapping relevant information relating to the legality of their activities, reputation, experience, technical knowledge, history and potential risks or liabilities. All Business Partners shall be onboarded to the Dow Jones RiskCenter in accordance with our Know Your Business Partner Policy.
All contracts with Business Partners must be in writing. We will do our best to include anti-corruption clauses in our contracts to ensure that our Business Partners are committed to following our standards. If any of our Business Partners are suspected of anticorruption law violations in connection with work performed under our contract, the contract must be rescinded immediately, and further payments suspended.
Agents or intermediaries function as a liaison between our company and a third party. Working with agents represents a corruption risk and requires due care and attention. If any of our agents pay a bribe, this may result in liability for our business for anticorruption law violations. When engaging an agent, you must ensure that a written agreement with anti-corruption clauses is concluded, that the fee is in proportion with the service provided, and that you monitor the agent's work.
8. Anti-Money Laundering
8.1
What is money laundering?
Money laundering is a term used to describe the process of hiding the criminal origins of money or property which are proceeds of crime within legitimate business activities. It can also be the use of money of a legitimate origin that supports terrorism.
8.2 What are your responsibilities?
The Company prohibits the following acts being undertaken by an employee or Business Partner:
* concealing, disguising, converting, transferring criminal money or property;
* entering into or becoming concerned in an arrangement that a person knows or suspects facilitates, by whatever means, the acquisition, retention, use or control of criminal money or property by or on behalf of another person; and
* acquiring, using or possessing criminal money or property
Employees of the Company should undertake appropriate due diligence to assess the integrity and identity of our Business Partners and third parties by the use of the Dow Jones RiskCenter. The screening includes sanctions lists, Politically Exposed Persons (PEP) and adverse media. For further guidance, please see the Know Your Business Partner Policy.
Should any employee of the Company have any knowledge or suspicion of money laundering they should report this to the Compliance Officer.
9. Sanctions and Export control laws
9.1 What are sanctions and export control?
Sanctions are economic or trade penalties which governments may impose against foreign countries, entities, organisations, or individuals who engage in acts contrary to international law or against the government's national security interests.
As well as restrictions in activities with certain individuals, groups and/or countries, there are also sanction requirements relating to interacting/using some Ships. Appropriate checks should be carried out to make sure these requirements are not being breached.
Export controls are restrictions on importing or exporting "controlled items", including certain goods, raw materials, services, or technologies.
These restrictions and prohibitions may depend on the nature of the items, the country of origin, the end-use, or on the identity and activities of the counterparty.
9.2 What are your responsibilities?
Employees and Business Partners must observe and comply with applicable local and extraterritorial sanctions and export controls requirements.
Any third party, including but not limited to, agents, suppliers, service providers, distributors, vendors, consultants, banks or other financial service providers should have appropriate due diligence carried out to make sure they are not under any sanction and/or trade controls restrictions.
Should any Employee or Business Partner suspect a violation of trade controls they must inform the Compliance Officer. For further guidance, please see the Sanctions Policy.
10. Managing incidents and reporting a concern
10.1 Reporting a concern
Should any employee or Business Partner acting on behalf of the Company have a concern or know or suspect a violation of this Financial Crime Policy they can either report the matter:
* Directly to your line manager or Compliance Officer as appropriate.
* Via the third-party compliance hotline available on the online link http://flexlng.ethicspoint.com or by submitting a report in writing on the same link.
Any reports will be handled confidentially, impartially and in a timely manner and in accordance with the Company's Complaints Procedure.
10.2 Maritime Anti-Corruption Network (MACN)
As part of our continued commitment to combatting financial crime, the Company is a member of the Maritime Anti-Corruption Network (MACN). MACN is a global business network working towards the vision of a maritime industry free of corruption that enables fair trade to the benefit of society at large.
The Company distributes leaflets and posters to be places on-board the vessels to demonstrate the membership and zero tolerance approach to bribery and corruption, including facilitation payments.
In the event that a ship manager or any crew member or third party that the ship manager engage with receive a demand for a facilitation payment, ship managers are required to follow a step-by-step process and reporting incidents.
All demands for facilitation payments shall be recorded in an excel spreadsheet. The Company reports incidents to the MACN (MACN Incident Reporting) and the Flag State on an anonymous and quarterly basis.
11. Disciplinary action
Financial crime such as bribery, money laundering and breaching international sanctions are offences which can lead to criminal penalties for you as an individual as well as the Company. In addition to this, breaches to this policy will result in prompt disciplinary actions, which may include dismissal / termination of contract.
12. Training
Appropriate risk based communication and training will be provided to all employees and Business Partners as part of their on-boarding and ongoing development programme. Certain business units and functions may require more extensive training than what is required for employees in general. If you have any questions regarding your training please contact your line manager or the Compliance Officer.
13. Monitoring and review
The Compliance Officer is responsible for conducting an annual assessment of the corruption risk associated with our activities. The result of the risk assessment and any recommended risk mitigating actions shall be presented to the Board of Directors.
The Compliance Officer is responsible for monitoring the implementation of the Financial Crime Policy and supplementary procedures. Compliance with policies and procedures must be subject to internal control and supervision. A review of certain activities and expenses must be made to identify potential non-conformances.
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Dirac fermion time-Floquet crystal: manipulating Dirac points
PLEASE CITE THE PUBLISHED VERSION
http://dx.doi.org/10.1103/PhysRevB.89.155132
PUBLISHER
© American Physical Society
VERSION
AM (Accepted Manuscript)
PUBLISHER STATEMENT
This work is made available according to the conditions of the Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International (CC BY-NC-ND 4.0) licence. Full details of this licence are available at: https://creativecommons.org/licenses/by-nc-nd/4.0/
LICENCE
CC BY-NC-ND 4.0
REPOSITORY RECORD
Rodriguez-Lopez, Pablo, Joseph J. Betouras, and Sergey Savel'ev. 2019. "Dirac Fermion Time-floquet Crystal: Manipulating Dirac Points". figshare. https://hdl.handle.net/2134/18325.
Dirac fermion time-Floquet crystal: manipulating Dirac points
Pablo Rodriguez-Lopez, Joseph J. Betouras, and Sergey E. Savel’ev
Department of Physics, Loughborough University, Loughborough LE11 3TU, UK
We demonstrate how to control the spectra and current flow of Dirac electrons in both a graphene sheet and a topological insulator by applying either two linearly polarized laser fields with frequencies $\omega$ and $2\omega$ or a monochromatic (one-frequency) laser field together with a spatially periodic static potential (graphene/TI superlattice). Using the Floquet theory and the resonance approximation, we show that a Dirac point in the electron spectrum can be split into several Dirac points whose relative location in momentum space can be efficiently manipulated by changing the characteristics of the laser fields. In addition, the laser-field controlled Dirac point splitting in a graphene sheet or a topological insulator time-Floquet crystal allows the manipulation of the electron currents in graphene and topological insulators. Furthermore, the generation of dc currents of desirable intensity in a chosen direction occurs when applying the bi-harmonic laser field which can provide a straightforward experimental test of the predicted phenomena.
I. INTRODUCTION
A huge surge of interest for both graphene (e.g. [1–2] and references therein), and three dimensional topological insulators (TIs) with two-dimensional topologically protected surface (e.g. [3] and references therein), has been stimulated by many unusual and sometimes counterintuitive properties of these materials. Indeed, in both graphene and the surface states of TIs, the effective Hamiltonians describing an evolution of wave functions of electron elementary excitations are linear in the momentum, resulting in pseudo-relativistic phenomena (e.g., the Klein tunnelling [4–5], the unconventional Hall effect [6] or the nonlinear magnetization [7]).
In contrast to true relativistic particles which are difficult to manipulate, pseudo-relativistic Dirac fermions e.g. in graphene, can be controlled by static periodic electric and/or magnetic fields, known as graphene superlattices (see, e.g., [8–9]). Such nano-structures can be experimentally implemented to control both spectrum and transport properties of Dirac electrons in graphene. Similar kind of structures have been proposed and made in TIs [10–13].
Alternatively, one can control the electron band structure and electron current both in graphene and in a topological insulator by applying a time-dependent laser field (see, e.g., [14–15] for graphene). It has been shown [15] that a monochromatic laser field splits Dirac cone energy spectrum into mini-zones which can either touch each other in several Dirac points or be separated by gaps depending on electromagnetic field polarization. Analogous techniques can be applied for TIs. The fact that laser controlled graphene/TIs electron band manipulation is quite promising for applications [15] as well as the search for new physics, created much recent activity [16–19], while very recently the Floquet-Bloch states were observed on the surface of a TI [20] and a photonic Floquet crystal has been also proposed [21].
Even more intriguing Dirac fermion dynamics can occur when a laser field is applied to graphene/TI superlattices resulting in acquiring an effective mass by the fermions [5,22]. This situation has not been well studied yet due to a complex space-time dynamics described by the partial differential equation which cannot be reduced to a set of ordinary differential equations as for the case when either only laser field or only 1D periodic potential is applied. Recently, a new method for dealing with such a situation has been proposed [23] and giant backscattering resonances for electrons with small incident angles with respect to a 1D potential barrier has been predicted. This makes any further research in the field of laser-driven graphene/TI superlattices very timely.
In the present study, we first show that the Hamiltonian for a TI in external electromagnetic fields can be transformed to the Dirac graphene Hamiltonian by multiplying the second component of the corresponding spinor by an imaginary unit $i$, if the component of the vector potential in the perpendicular direction $A_z$ is zero. This makes both problems for graphene and TIs in electromagnetic fields mathematically equivalent and allows to unify all the developed techniques for the manipulation of electrons in both materials.
Then we focus on new unexplored phenomena, studying the manipulation of the Dirac energy cone by varying the characteristics of the field of two linearly polarized monochromatic lasers, one with frequency $\omega$ and the other with double frequency (i.e., $2\omega$). We demonstrate, using the first order resonance approximation (FORA), that the Dirac point of the original energy cone can be split into several Dirac points whose location in momentum space and even their number can be readily controlled by the angle between the two oscillating fields as well as the amplitudes and time-phase shift of the electric fields of two lasers.
Moreover, our approach allows to estimate the time evolution of a wave function of Dirac fermions, and, thus, calculate the fermion current at each state with certain momentum (or wave number $k$). This resulting current is similar for both graphene and TIs and can be controlled by the time phase shift or the relative angle of two laser fields, allowing even to generate a dc current in a desirable direction due to the effect of harmonic mixing. We also consider a graphene/TI superlattice driven by a monochromatic (one-frequency) laser field and show that the number and location of the Dirac points can be controlled by the relative angle between the laser and the static electric fields as well as their spatial and time periods of oscillations.
Finally, we go beyond the first order resonance approximation, for a simple case, to illustrate the validity of this approximation in the conclusions we arrive at.
II. BI-HARMONIC LASER FOR PRISTINE SAMPLES
In the low-energy limit, the behavior of the charge carriers in electric field in graphene is described by the standard two-dimensional (2D) Dirac equation where we set the electron charge $e = -1$.
$$i\partial_t \psi = \sigma \cdot (\mathbf{p} - \mathbf{A}(t)) \psi,$$
with the two-component wave function $\psi = (\psi_A, \psi_B)$ for electrons in the two triangular sublattices, $\mathbf{p} = (-i\partial/\partial x, -i\partial/\partial y)$ is the momentum operator, $\mathbf{A}$ is the vector potential and the vector $\sigma$ represents the Pauli matrices $\sigma_x$ and $\sigma_y$ (hereafter, we set $\hbar = 1$, $v_F = 1$ where $v_F$ is the Fermi velocity). For the case of a topological insulator, the equation for evolution of a wave function $\phi$ is the same if we replace the operator $\sigma \cdot (\mathbf{p} - \mathbf{A}(t))$ by $\hat{z}, \sigma \times (\mathbf{p} - \mathbf{A}(t))$, where $\hat{z}$ is a unit vector pointed perpendicular to the 2D plane. However, both equations for the Dirac-like fermions in both graphene and a TIs coincide, if we use the following substitution $(\phi_A, \psi_B) = (\phi_A, i\phi_B)$ in the equation for TIs. Similar analysis shows that fermion currents for graphene and TIs completely coincide if these are calculated for the corresponding states (e.g. states with a certain momentum). The reason is that one simply rotates the electron spin by multiplying the bottom component of a spinor by $i$, but this procedure does not affect the charge degrees of freedom. Thus, the calculations of the spectrum and single-particle currents described below are applicable for both TIs and graphene. In the following, we focus on the Eq. (1) only.
As a driving field $\mathbf{A} = (A_x(t), A_y(t))$ in Eq. (1), we consider the superposition of two linear polarized electric fields having frequency $\omega$ and $2\omega$; namely:
$$A_x = A_1 \cos(\omega t) + A_2 \cos(\theta) \cos(2\omega t + \alpha),$$
$$A_y = A_2 \sin(\theta) \cos(2\omega t + \alpha),$$
where $\mathbf{A}_1$ is oriented along the $x$ axis, without loss of generality. The angle $\theta$ is the one between the two oscillating fields with amplitudes proportional to $A_1$ and $A_2$, while $\alpha$ is a phase shift of the two ac drives at time $t = 0$. Such a driving field can be generated by two monochromatic lasers with a wave length much longer than the graphene (or TI) sample size projection on the wave propagation direction (in worst scenario the sample size should be smaller than laser wave length if wave propagates along the sample plane or just the sample thickness (several atomic layers) if the laser field propagates across the sample). The time evolution of a wave function with a certain momentum $\mathbf{k}$ can be described by $\psi = \psi_0(t) \exp(i\mathbf{k} \cdot x + ik_y y)$ and the Dirac equation (1) can be reduced to a set of two ordinary differential equations for the two components $\psi_{0,A}(t)$ and $\psi_{0,B}(t)$ of the spinor $\psi_0(t)$. Since the coefficients of the ordinary differential equations are periodic functions in time due to periodicity of $\mathbf{A}$, we can use the Floquet theory searching for a solution in the form $\psi_0(t) = \exp(i\varepsilon t)\tilde{\psi}_0(t)$ where $\tilde{\psi}_0(t)$ is the periodic function, which can be expanded in Fourier series, and $\varepsilon$ is the quasi-energy. In the resonance approximation (see, e.g. [5]) we keep only the first lowest harmonics in the Fourier expansion which are directly linked by the bi-frequency laser field. Substituting the following expression
$$\psi_0 = e^{-i\varepsilon t} \left[ \begin{array}{c}
\psi_A^{++} \\
\psi_A^{+-} \\
\psi_B^{++} \\
\psi_B^{+-}
\end{array} \right] e^{+i\frac{3\omega}{2} t} + \left( \begin{array}{c}
\psi_A^{+-} \\
\psi_A^{--} \\
\psi_B^{+-} \\
\psi_B^{--}
\end{array} \right) e^{+i\frac{\omega}{2} t} + \left( \begin{array}{c}
\psi_A^{--} \\
\psi_A^{+-} \\
\psi_B^{--} \\
\psi_B^{+-}
\end{array} \right) e^{-i\frac{\omega}{2} t} + \left( \begin{array}{c}
\psi_A^{+-} \\
\psi_A^{--} \\
\psi_B^{+-} \\
\psi_B^{--}
\end{array} \right) e^{-i\frac{3\omega}{2} t} \right],$$
into eq. (1) and equating the amplitudes that multiply $e^{-3i\omega t/2}$, $e^{-i\omega t/2}$, $e^{i\omega t/2}$ and $e^{3i\omega t/2}$ separately while ignoring higher harmonics, we arrive at a simple linear matrix equation
$$\varepsilon \tilde{\psi} = L \tilde{\psi}$$
with $L$ a matrix that has constant elements and $\tilde{\psi} = (\psi_A^{++}, \psi_A^{+-}, \psi_A^{--}, \psi_B^{++}, \psi_B^{+-}, \psi_B^{--})$ consisting of the time-independent amplitudes in Fourier series. This eigenvalue-eigenvector problem can be solved numerically for each set of $k_x$ and $k_y$ allowing to construct both the electron pseudo-spectrum $\varepsilon(k_x, k_y)$ (see Fig.1 for the two lowest energy zones) and an approximate wave function $\psi = \psi_0(t) \exp(i\mathbf{k}_x x + ik_y y)$ for the Dirac fermions driven by the laser fields (eq.2). Moreover, the calculated approximate wave functions can be used to estimate the Dirac fermion one-particle currents (Fig. 2) at states corresponding to different values of momentum.
Numerically, the calculated spectrum contains the first eight sub-bands. In order to consider the other sub-bands corresponding to higher energies, the use of a higher order resonance approximation is needed, keeping higher order harmonics in the $\psi_0$-expansion. In this section we focus on the first two sub-bands touching each other in several Dirac points. One main result is that the number and location (in momentum space) of these points are controlled by the bi-harmonic laser field and can be manipulated by any one of three methods, by changing: (i) the relative orientation $\theta$ of the electric fields of the first and second laser harmonics, (ii) the relative time shift $\alpha$ of these drives, (iii) the drive amplitudes $A_1$ and $A_2$. These Dirac points originate from the splitting of the initial Dirac point connecting the positive energy Dirac cone with the negative energy Dirac cone, if the laser field is switched off.
Fig. 1(a) shows a representative 3D plot of the two lowest pseudo-energy zones $\varepsilon(k_x, k_y)$ touching in five Dirac points when the relative angle between two electric fields corresponding to the lasers with frequency $\omega$ and $2\omega$ is $\pi/10$ while these fields have the same amplitudes and zero time shift $\alpha$. In order to clearly see the Dirac points we replot (Fig. 1(b)) the same data for upper zone calculating $F = -\ln(\varepsilon)$ since the region of small values of $\varepsilon$ near the points $\varepsilon = 0$ is highlighted in this representation. By changing the relative orientation of the laser fields we can move the location of Dirac points in the momentum space. Figure 1(c) shows the example of such a motion where different dots with different colours correspond to the positions $(k_x^D, k_y^D)$ of Dirac points (where $\varepsilon(k_x^D, k_y^D) = 0$) for different orientations $\theta$ (video 1 can be provided upon request for an illustration). Tracing the
Figure 1. (color online) (a) The two lowest zones of the quasi-energy spectrum $\varepsilon(k_x, k_y)$ when applying two-frequency laser field (2) with amplitudes $A_1 = A_2 = 1$, time phase shift $\alpha = 0$, and relative angle $\theta = \pi/10$. To highlight five Dirac points where $\varepsilon = 0$, we plot $F = -\ln[\varepsilon(k_x, k_y)]$ for the top energy zone in (b). Panel (c) shows the evolution of the locations of the Dirac points when changing the relative angle $\theta$ of the electric fields, i.e., the angle between $\mathbf{A}_1$ and $\mathbf{A}_2$; different colours code different angles from blue for $\theta = 0$ to yellow for $\theta = 2\pi$; all other parameters are the same as in panel (a). Panel (d) is the same as panel (c) for the same set of parameters except for the weaker second field amplitude $A_2 = 0.5$.
Figure 2. (color online) Distribution of the single-particle currents $j_x(k_x, k_y)$ (the left column) and $j_y(k_x, k_y)$ (the right column) for the states with a fixed momentum $(k_x, k_y)$ when the harmonic field (2) with $A_1 = A_2 = 1$ is applied. Four different cases are considered: (a,b) $\theta = 0$, $\alpha = 0$; (c,d) $\theta = \pi$, $\alpha = 0$; (e,f) $\theta = \pi/2$, $\alpha = 0$; (g,h) $\theta = 0$, $\alpha = \pi/2$. Depending on the relative angle $\theta$ and the time shift $\alpha$ of electric fields, one can expect different symmetry of the current distributions and a possible generation of the DC electric current (see discussion in the text). The colors run from light blue when $j_i = 1$ to dark red when $j_i = -1$ and the thick dark curves are the points $(k_x, k_y)$ with $j_i = 0$.
The location of Dirac points we conclude that even the number of Dirac points can be changed by varying $\theta$ (e.g., from six Dirac points at $\theta = 0$ to five Dirac points at $\theta$ near $\pi/10$ and then back to six Dirac points with further increasing $\theta$). The dynamics of the Dirac points with varying laser field parameters is quite rich and rather complicated. By decreasing the amplitude of the second laser field, the dynamics of the Dirac points become less complex (Fig. 1 (d)) with a tendency towards a simple rotation of the Dirac points when the second laser is switched off, as already anticipated.\textsuperscript{1,5}
Such rich dynamics of the Dirac points (especially when both amplitudes of laser fields, $A_1$ and $A_2$, are strong enough) has to significantly affect the transport properties of Dirac fermions at least at low energies. In order to prove this, we calculate the $x$ and $y$ components of the single-particle currents $j_i = \langle \psi | \partial_{k_i} H | \psi \rangle$ at each state with certain value of the wave vector $\mathbf{k} = (k_x, k_y)$ ($i_x = \psi^+ \sigma_x \psi$ for graphene and $j_i = \phi^+ e^{i\lambda} \sigma_y \phi$ for TIs, where $e^{i\lambda}$ is the Levi-Civita symbol in 2D). As demonstrated above, we obtain the same results for graphene and TIs, thus we focus on the case of graphene here. Several representative contour-plots of $j_x(k_x, k_y)$ (the left column) and $j_y(k_x, k_y)$ (the right column) is shown in Fig. 2. Figures 2(a,b) show the case when both electric fields are oriented along the $x$-axis destroying the reflection symmetry with respect to the $y$-axis. Therefore, the condition $j_x(k_x, k_y) \neq -j_x(-k_x, k_y)$ would lead to a measurable DC current along the $x$-axis even within a proper many-body kinetic description (of course, an experimentally measured current should also depend on the distribution function which is beyond our simple single-particle consideration, but the qualitative result that we describe here will be observed). In contrast, the symmetry $j_y(k_x, k_y) = -j_y(k_x, -k_y)$ should preFigure 3. (color online) The mean currents $\bar{j}_{x,y}$ for a certain magnitude of the momentum $k$, but averaged with respect to k orientations (see text). (a) Red and black dots correspond to $\bar{j}_x(\alpha)$ and $\bar{j}_y(\alpha)$ current components respectively, calculated for $A_1 = A_2 = 1$, $k = 0.25$, $\theta = \pi/4$ and $\alpha$ changing from 0 to $2\pi$; note that the nodes $\bar{j}_x(\alpha) = 0$ and $\bar{j}_y(\alpha) = 0$ coincide, giving $\theta = \pi/2 + \pi n$ with integer $n$. (b) Red and black dots show the $\bar{j}_x(\theta)$ and $\bar{j}_y(\theta)$ dependence calculated for $A_1 = A_2 = 1$, $k = 0$, $\alpha = 0$; the nodes $\bar{j}_x(\theta) = 0$ and $\bar{j}_y(\theta) = 0$ are shifted by $\pi/2$ giving the possibility to have a nonzero $\alpha$-dependence of one current component and zero value of the other component at the points $\theta = \pi n/2$ with integer $n$. Example of such a case is shown in (c) where $\bar{j}_x(\alpha) \neq 0$ and $\bar{j}_y(\alpha) = 0$ for $A_1 = A_2 = 1$, $k = 0.25$, $\theta = 0$.
Figure 4. (color online) (a) The two lowest zones of the quasi-energy spectrum $\varepsilon(k_x, k_y)$ for graphene/TI superlattice (eq.(6)) with $U_0 = 1$ and spatial period $L = 2\pi/\mu = 4\pi/3$, i.e., $\mu = 1.5$, when applying monochromatic laser field (7) along the x-axis ($\theta = 0$) with amplitudes $A_1 = 1$. To highlight the four Dirac points where $\varepsilon = 0$, we plot $F = -\ln[\varepsilon(k_x, k_y)]$ for the top energy zone in (b) for the same parameters as in (a) and in (c) for the same parameters as in (a) except the laser field orientation ($\theta = \pi/2$).
vent any DC current along the y-axis. When rotating the $2\omega$ laser field by $\pi$ with respect to the x-axis, the x-current distribution also turns by 180° degrees indicating the change of sign of the x-axis DC current while the y-axis current is still zero, due to the survived relation $j_y(k_x, k_y) = -j_y(k_x, -k_y)$ (see Fig. 2(c,d)). It is interesting to note that the same current distributions can be obtained by either changing $A_2 \rightarrow -A_2$ or $\alpha \rightarrow \alpha + \pi$. In other words, by adding $\pi$ either to $\theta$ (actual rotation of the electric field of the $2\omega$ laser) or to $\alpha$ (additional phase shift in the laser time dependence) the changes of the currents are the same. In order to see the difference in the current distributions between the spatial rotation and the time shift of the laser fields, an extra $\pi/2$ can be added to either $\theta$ (Fig. 2(e,f)) or $\alpha$ (Fig. 2(g,h)). For a spatial rotation (Fig. 2(e,f)) the pattern in the $k$ space is rotated by 90° degrees, resulting in the zero DC x-current due to the condition $j_x(k_x, k_y) = -j_x(-k_x, k_y)$ and a nonzero DC y-current since $j_y(k_x, k_y) \neq -j_y(k_x, -k_y)$. By shifting the time dependence by $\pi/2$ (Fig. 2(g,h)), while keeping $\theta = 0$, both (x– and y–) DC currents should become zero due to high symmetry of the obtained current distributions: $j_x(k_x, k_y) = -j_x(-k_x, k_y)$ and $j_y(k_x, k_y) = -j_y(k_x, -k_y)$.
All the above properties can be clearly seen, if we introduce a mean current for a certain magnitude $k$ of the momentum while averaged with respect to the momentum orientation:
$$\bar{j}_{x,y}(k) = \int_0^{2\pi} (d\gamma/2\pi) j_{x,y}(k \cos \gamma, k \sin \gamma)$$
Such current represents the property of harmonic mixing of the electric current in graphene, driven by two frequency laser field (Eq.(2), see Fig. 3). Interestingly, the nodes $\bar{j}_x(\alpha) = 0$ and $\bar{j}_y(\alpha) = 0$ coincide resulting in zero of both the $x-$ and $y-$ components of the mean current at $\pi/2 + \pi n$ with inteFigure 5. (color online) Panels (a,b) show the evolution of the locations of the Dirac points for graphene/TI superlattice when changing the relative angle $\theta$ of the monochromatic electric laser field (eq. 7) and electrostatic field $\nabla U$. Other parameters are: $A_1 = 1$, $U_0 = 1$, $\mu = 1.5$ for (a) and $\mu = 0.5$ for (b); different colors code different angles from blue for $\theta = 0$ to yellow for $\theta = 2\pi$. (c-f) Distribution of the single-particle currents $j_x(k_x, k_y)$ (the left column) and $j_y(k_x, k_y)$ (the right column) for the states with a fixed momentum $(k_x, k_y)$ when the monochromatic laser field (7) is applied to a graphene/TI superlattice for all parameters as in (a) while $\theta = 0$ for (c,d) and $\theta = \pi/2$ for (e,f).
Integer $n$ for any $\theta$. In contrast, the nodes of $\tilde{j}_x(\theta)$ and $\tilde{j}_y(\theta)$ are shifted by $\pi/2$, thus, resulting in $\tilde{j}_x(\theta = \pi/2 + \pi n) = 0$ and $\tilde{j}_y(\theta = \pi n) = 0$ for any $\alpha$ and $k$. Note that such an unprecedented level of the DC current control by varying parameters of the two frequency drive is remarkable and provides further analogy with the classical\textsuperscript{24,25}, semi-classical\textsuperscript{26} and quantum\textsuperscript{27} harmonic mixing. Recently, it was shown\textsuperscript{23} that a superposition of scalar potential barriers and time dependent laser fields can produce a resonant amplification of reflections of the Dirac fermions. This effect should also strongly amplify the harmonic mixing discussed here, allowing its experimental verification. A full kinetic description as well as consideration of damping and many body effects can partly hide the property described here, of single-particle currents, which should be weighted with a proper non-equilibrium distribution function. Nevertheless, we believe that all the symmetrical properties of the currents $\tilde{j}_{x,y}$ that are described, should survive even in the proper kinetic description.
III. MONOCHROMATIC LASER FOR SUPERLATTICES
Here we consider a so-called graphene/TI superlattice where a pristine graphene/TI sample is modulated by a static periodic electrical field with a potential
$$U(x) = U_0 \cos(\mu x)$$
To manipulate the Dirac points and one particle currents in this superlattice we can apply a monochromatic laser field
$$A_x = A_1 \cos(\theta) \cos(\omega t), \quad A_y = A_1 \sin(\theta) \cos(\omega t),$$
where the angle $\theta$ is between the laser field $\mathbf{A}(t)$ and the electrostatic field $\nabla U$ with the standard definition $\nabla = (\partial/\partial x, \partial/\partial y)$.
For the case of graphene superlattices in a laser field (see e.g.\textsuperscript{15}), the $y$-component of momentum conserves and the solution of the Dirac equation
$$i\partial_t \psi = [\sigma \cdot (\mathbf{p} - \mathbf{A}(t)) + U(x)]\psi.$$
can be written in the form $\psi = \psi_0(x,t) \exp(ik_y y)$. As in previous section, we can introduce quasi-energy and quasimomentum by using Floquet-Bloch theory searching solutions $\psi_0$ in the form $\psi_0 = \exp(i\epsilon t + ik_x x)u(x,t)$ with $u$ being periodic in both time and space. Therefore, we can again introduce a resonance approximation by expanding $u$ in the Fourier series with respect to both $t$ and $x$ and restricting the expression to several lowest harmonics directly linked via either the laser field or the electrostatic potential. In other words, we can search for $\psi_0(x,t)$ in the form:
$$\psi_0 = e^{-i\epsilon t + i k_x x} \times$$
$$\left[ \begin{array}{c}
\psi_{A+}^{++} \\
\psi_{B+}^{++}
\end{array} \right] e^{+\frac{\alpha}{2} t + i \frac{k_y}{2} x} + \left[ \begin{array}{c}
\psi_{A-}^{+-} \\
\psi_{B-}^{+-}
\end{array} \right] e^{+\frac{\alpha}{2} t - i \frac{k_y}{2} x} +$$
$$+ \left[ \begin{array}{c}
\psi_{A+}^{-+} \\
\psi_{B+}^{-+}
\end{array} \right] e^{-\frac{\alpha}{2} t + i \frac{k_y}{2} x} + \left[ \begin{array}{c}
\psi_{A-}^{--} \\
\psi_{B-}^{--}
\end{array} \right] e^{-\frac{\alpha}{2} t - i \frac{k_y}{2} x} \right]$$
Substituting this expression in the Dirac equation (8), the problem is reduced to the matrix equation (10) with simply different matrix elements comparing to the case studied in the previous section. Therefore, we can again solve the eigenvector-eigenvalue problem numerically and derive an approximate quasi-energy spectrum as well as the corresponding approximate wave function $\psi$, which can be used to estimate the single-particle currents $j_x(k_x, k_y)$ and $j_y(k_x, k_y)$.
Figure 4a shows the two lowest energy zone touching in the four Dirac points when the static periodic $\propto \nabla U$ and monochromatic laser $\mathbf{A}_1$ electric fields are both oriented along the $x-$axis. In this case (see also the highlighted representation of the Dirac point structure in Fig. 4b where $F = -\ln(\varepsilon)$ is plotted), all the Dirac points are located on the $k_x$-axis. The rotation of the laser field by 90° results in a
shift of these Dirac points away from the $k_x$-axis (see Fig. 4c) [detailed dynamics can be seen upon request in video 2 which shows the motion and change of number of the Dirac points when gradually changing the angle $\theta$].
By changing the spatial period $L = 2\pi/\mu$ of the superlattice potential $U$ compared with the corresponding scale $2\pi v_F/\omega$ [note that $v_F = 1$ in the unit system we use here] of the monochromatic laser field, the different Dirac point dynamics can be observed (Fig. 5 a,b and the corresponding videos). For a short spatial period, $\mu > \omega$, of $U$, the two Dirac points moves along two well-separated almost-circle trajectories with no intersections. Increasing the space period of $U$ results in touching trajectories for $\mu = \omega$ as well as more complicated, interconnected trajectories (Fig. 5b) for $\mu < \omega$. For the last case, even number of the Dirac points can vary from 4 to 8 as seen in the available video.
Regarding the one-particle current distribution $j_{x,y}(k_x,k_y)$ (see Fig. 5c-f), the obtained patterns are highly symmetric, $j_x(-k_x,k_y) = -j_x(k_x,k_y)$ and $j_y(k_x,-k_y) = -j_y(k_x,k_y)$, resulting in the zero dc-currents for any $\theta$. Nevertheless, the obtained patterns have a peculiar structure which can affect some transport properties which are sensitive to the states with different fermion momentum. Also, the obtained patterns can be readily controlled by rotating the electric laser field with respect to the static field (compare Fig. 5(c,d) with Fig 5(e,f)).
IV. BEYOND THE FIRST ORDER RESONANCE APPROXIMATION
A. Temporal second order resonance approximation for graphene in monochromatic laser field
One of the simplest ways to assess the validity of the resonance approximation used above, is to calculate the Dirac points in a higher order resonance approximation keeping more harmonics in the expansion of $\psi_0(t)$ and observe the differences. Here we consider the simplest possible case, with a single monochromatic laser field $\mathbf{A} = (0, A_1 \cos \omega t)$ and no spatial modulations $U = 0$. In the first order resonance approximation we search for $\psi = \psi_0(t) \exp(ik_x x + ik_y y)$ with
$$\psi_0^{(1)} = e^{-i\varepsilon t} \left[ \begin{array}{c}
\psi_A^{(1),+} \\
\psi_B^{(1),+}
\end{array} \right] e^{+i\frac{\omega}{2}t} + \left[ \begin{array}{c}
\psi_A^{(1),-} \\
\psi_B^{(1),-}
\end{array} \right] e^{-i\frac{\omega}{2}t},$$
where the upper sub-index (1) refers to the first order resonance approximation. Following exactly the same approach as we used above, that is substituting (10) into eq. (1) and equating the amplitudes that multiply $e^{-i\omega t/2}$ and $e^{i\omega t/2}$ separately, while ignoring higher harmonics, we arrive at a simple linear matrix equation
$$\varepsilon^{(1)} \vec{\psi}^{(1)} = L^{(1)} \vec{\psi}^{(1)}$$
with a $4 \times 4$ matrix $L^{(1)}$ and a time-independent ‘vector’ $\vec{\psi}^{(1)} = (\psi_A^{(1),+}, \psi_A^{(1),-}, \psi_B^{(1),+}, \psi_B^{(1),-})$. Solving this simple eigenvalue-eigenvector problem results in the spectrum $\varepsilon = \varepsilon^{(1)}(k_x,k_y)$ which has two Dirac points (see Fig. 6c, red points) at $k = \sqrt{k_x^2 + k_y^2} \approx \omega/2$ in the first order approximation.
In the second order approximation, in addition to the harmonics that correspond to $\pm \omega/2$ we keep the $\pm 3\omega/2$ harmonics; thus, searching for $\psi_0$ in the form
$$\psi_0^{(2)} = e^{-i\varepsilon t} \left[ \begin{array}{c}
\psi_A^{(2),++} \\
\psi_B^{(2),++}
\end{array} \right] e^{+i\frac{3\omega}{2}t} + \left[ \begin{array}{c}
\psi_A^{(2),+-} \\
\psi_B^{(2),+-}
\end{array} \right] e^{+i\frac{\omega}{2}t} + \left[ \begin{array}{c}
\psi_A^{(2),-+} \\
\psi_B^{(2),-+}
\end{array} \right] e^{-i\frac{\omega}{2}t} + \left[ \begin{array}{c}
\psi_A^{(2),--} \\
\psi_B^{(2),--}
\end{array} \right] e^{-i\frac{3\omega}{2}t},$$
with sub-index (2) referring into the second order resonance approximation. This problem reduces to the eigenvalue-eigenvector problem
$$\varepsilon^{(2)} \vec{\psi}^{(2)} = L^{(2)} \vec{\psi}^{(2)}$$
with an $8 \times 8$ matrix $L^{(2)}$ and a vector $\vec{\psi}^{(2)} = (\psi_A^{(2),++}, \psi_A^{(2),+-}, \psi_A^{(2),-+}, \psi_A^{(2),--}, \psi_B^{(2),++}, \psi_B^{(2),+-}, \psi_B^{(2),-+}, \psi_B^{(2),--})$. The spectrum $\varepsilon = \varepsilon^{(2)}(k_x,k_y)$ is shown in Fig. 6d which has two Dirac points at $k = \sqrt{k_x^2 + k_y^2} \approx \omega/2$ and six more Dirac points at $k = \sqrt{k_x^2 + k_y^2} \approx 3\omega/2$. These Dirac points are shown in blue on Fig. 6c. The two Dirac points at $k = \sqrt{k_x^2 + k_y^2} \approx \omega/2$ almost coincide in both the first and the second order resonance approximation, indicating that two spectra are almost the same for $k \lesssim \omega/2$. Moreover, the higher order resonance approximation allows a better calculation of the spectrum at higher momentum resulting in the opening of a gap and the appearance of six more Dirac points at $k = \sqrt{k_x^2 + k_y^2} \approx 3\omega/2$.
The physical meaning of the different spectra obtained in the first and second resonance approximation can be interpreted in the limit of a very low amplitude of laser field. In the first order approximation, instead of the usual Dirac energy cone, we should consider the energy spectrum of a hole and a photon and the spectrum of an electron and an emitted photon. This produces two shifted cones $\varepsilon \pm \omega/2$ (see red and blue energy spectra in fig 6a). As a result, the new low energy zone (black dots in fig. 6(a)) with zero-energy rings at $k = \omega/2$ forms in the limit $A_1 \to 0$. Note that for $A_1 = 0$ this new zone structure is just an alternative way to represent an initial Dirac cone. This situation is similar to the extended and reduced zone representations for infinitesimally weak, spatially periodic potential. At finite $A_1$ two Dirac points of zero energy form instead of the zero energy rings (Fig. 6(c), red points). In the second order approximation we need to consider the initial Dirac cone shifted either by one or by two photons resulting in four shifted cones (Fig. 6(b)) $\varepsilon = \omega/2$ and $\varepsilon \pm 3\omega/2$ producing two zero energy rings at $k = \omega/2$ and $k = 3\omega/2$. Again the final field intensity $A_1 \neq 0$ creates gaps in this energy spectrum and six more Dirac points at $k \approx 3\omega/2$. Obviously, calculation of energy spectrum in higher order approximations will results in formation of other Dirac points at higher momentum.
Figure 6. (color online) Schematic representation of the photon shifted Dirac cones for the case of the first (a) and the second (b) order resonance approximation for monochromatic laser field $\mathbf{A} = (0, A_1 \cos \omega t)$. The black dots represent the lowest energy zone. (c) The Dirac points calculated in the first (red point) and the second (blue points) order resonance approximation for $\omega = 1, A_1 = 0.5$. The points for $k \approx \omega/2$ for the first and second order resonance approximation almost coincide. (d) 3D plot of the logarithm of the lowest energy zone: $-\ln \varepsilon(k_x, k_y)$ for the same parameters as in Fig. 6(c).
From the above analysis, we conclude that the first order resonance approximation for a monochromatic laser field $\mathbf{A} = (0, A_1 \cos \omega t)$ can well describe the Dirac points and spectra for not too high Dirac fermion momentum $k \lesssim \omega/2$. Similar analysis allows the verification of the applicability of the resonance approximation (9) for a bi-harmonic laser field (2) at $k \lesssim 3\omega/2$. This justifies the use of the method to calculate the spectra for low enough momentum $k$ as well as the evolution of the Dirac points with varying laser field parameters.
B. Spatial second order resonance approximation for superlattice
We now consider the spatial second order resonance approximation for graphene superlattice with electrostatic field (6) driven by a monochromatic laser field $\mathbf{A} = (A_1 \cos \omega t \cos \omega t, A_1 \sin \omega t \cos \omega t)$, thus, keeping the exponentials $\exp\{\pm i\omega t/2 \pm i\mu x/2\}$ and $\exp\{\pm i\omega t/2 \pm i3\mu x/2\}$ in the expansion of $\psi_0(t)$. We are looking for the following approximate solution
$$\psi_0 = e^{-i\epsilon t + ik_x x} \times$$
$$\left[ \begin{array}{c}
\psi_A^{2,+++}, \\
\psi_B^{2,+++}
\end{array} \right] e^{+i\frac{\omega}{2}t+i\frac{3\mu}{2}x} + \left[ \begin{array}{c}
\psi_A^{2,+--}, \\
\psi_B^{2,+--}
\end{array} \right] e^{+i\frac{\omega}{2}t-i\frac{3\mu}{2}x} +$$
$$+ \left[ \begin{array}{c}
\psi_A^{2,++-}, \\
\psi_B^{2,++-}
\end{array} \right] e^{+i\frac{\omega}{2}t+i\frac{\mu}{2}x} + \left[ \begin{array}{c}
\psi_A^{2,+-+}, \\
\psi_B^{2,+-+}
\end{array} \right] e^{+i\frac{\omega}{2}t-i\frac{\mu}{2}x} +$$
$$+ \left[ \begin{array}{c}
\psi_A^{2,-+-}, \\
\psi_B^{2,-+-}
\end{array} \right] e^{-i\frac{\omega}{2}t+i\frac{\mu}{2}x} + \left[ \begin{array}{c}
\psi_A^{2,---}, \\
\psi_B^{2,---}
\end{array} \right] e^{-i\frac{\omega}{2}t-i\frac{\mu}{2}x} +$$
$$+ \left[ \begin{array}{c}
\psi_A^{2,+++}, \\
\psi_B^{2,+++}
\end{array} \right] e^{-i\frac{\omega}{2}t+i\frac{3\mu}{2}x} + \left[ \begin{array}{c}
\psi_A^{2,+--}, \\
\psi_B^{2,+--}
\end{array} \right] e^{-i\frac{\omega}{2}t-i\frac{3\mu}{2}x} \right].$$
(13)
Substituting this trial function into the Dirac equation (8) and ignoring all higher harmonics we reduce our system to the eigenvalue-eigenvector problem for
$$e^{(2s)} \tilde{\psi}^{(2s)} = L^{(2s)} \tilde{\psi}^{(2s)}$$
(14)
where upper index $2s$ refers on the spatial second order resonance approximation described above, $L^{(2s)}$ is the corresponding $16 \times 16$ matrix for the following $x-t$-independent “vector” $\tilde{\psi}^{(2s)} = (\psi_A^{2,+++}, \psi_A^{2,++-}, \psi_A^{2,+-+}, \psi_A^{2,-+-}, \psi_A^{2,---}, \psi_B^{2,+++}, \psi_B^{2,++-}, \psi_B^{2,+-+}, \psi_B^{2,-+-}, \psi_B^{2,---})^T$. When increasing the rank of the matrix up to $16 \times 16$, our numerical calculations become much more time consuming but the spectra $e^{(2s)}$ can be calculated and compared with the first resonance approximation described in section III.
Comparing the energy spectra obtained in the first and second spatial resonance approximation (Fig. 7), we conclude that the higher order harmonics have very little effect when the electrostatic field $\nabla U$ and laser field $\propto d\mathbf{A}/dt$ are orthogonal (Fig. 7a). In this case the four low-momentum Dirac points are just slightly shifted from their positions when the higher order resonance approximation is used. It is clear that new (four) Dirac points for higher momentum occur in the second order resonance approximation. For the case when both electrostatic and laser fields are directed along the same ($x-$) axis, the higher harmonics influence the spectrum strongly: in addition to a simple shift of the two very-low momentum Dirac point, we observe splitting of the two higher momentum Dirac points (obtained in the first order approximation) into four Dirac points (in the second approximation). Note that the split Dirac points are located at momentum just slightly below $3\mu/2$, where we can expect the stronger influence of higher harmonics.
V. CONCLUSION
To conclude, in the present study we consider the quasi-energy spectra for both graphene and topological insulators and demonstrate that an application of the biharmonic laser field can provide a very useful method to manipulate the number and position of Dirac points in the spectrum where the two lowest energy zones merge.
There are, certainly, many other ways to manipulate the number and position of the Dirac points in both classes of materials. The reason we make this specific proposal is that it is easy to be implemented experimentally and there is a good control, within the calculational scheme we use, of the results. It is evident that there is a strong effect on the single-particle current. We have shown how it manifests itself in the DC electrical current which, in turn, can be manipulated by the laser fields. For the case of graphene/II superlattices, the Dirac points and single-particle current distributions can be well controlled even by a one-frequency (monochromatic) laser field if its electric field is rotated with respect to the gradient of the superlattice potential. However the DC electric current is expected to be zero due to the high symmetry of $j_{x,y}(k_x,k_y)$. This is a prediction that can be tested experimentally, even without invoking details beyond the single-particle picture and a full, more complicated calculation of the current.
ACKNOWLEDGMENTS
This work has been supported by the Engineering and Physical Sciences Research Council under the grant EP/H049797/1, the Leverhulme Trust and the project MOSAICO.
REFERENCES
1. K.S. Novoselov, A.K. Geim, S.V. Morozov, D. Jiang, M.I. Katsnelson, I.V. Grigorieva, S.V. Dubonos, A.A. Firsov, Nature 438, 197 (2005).
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3. M. Z. Hasan and C. L. Kane, Rev. Mod. Phys. 82, 3045 (2010); Xiao-Liang Qi and Shou-Cheng Zhang, Rev. Mod. Phys. 83, 1057 (2011); J. E. Moore, Nature 464, 194 (2010).
4. M.I. Katsnelson, K.S. Novoselov, A.K. Geim, Nature Phys. 2, 620 (2006).
5. N. Stander, B. Huard, D. Goldhaber-Gordon, Phys. Rev. Lett. 102, 026807 (2009); A.F. Young, P. Kim, Nature Phys. 5, 222 (2009).
6. Y. Zhang, Y.-W. Tan, H. L. Stormer, and P. Kim, Nature 438, 201 (2005); V. P. Gusynin, and S. G. Sharapov, Phys. Rev. Lett. 95, 146801 (2005).
7. S. Slazowski and J. J. Betouras, Phys. Rev. B 86, 125440 (2012).
8. C.X. Bai, X.D. Zhang, Phys. Rev. B 76, 075430 (2007); C.H. Park, L. Yang, Y.W. Son, M.L. Cohen, S.G. Louie, Nature Physics 4, 213 (2008); C.H. Park, L. Yang, Y.W. Son, M.L. Cohen, S.G. Louie, Phys. Rev. Lett. 101, 126804 (2008); M. Barbiéri, P. Vasilopoulos, F.M. Peeters, Phys. Rev. B 81, 075438 (2010); L.Z. Tan, C.H. Park, S.G. Louie, Phys. Rev. B 81, 195426 (2010).
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10. A.A. Burkov and L. Balents, Phys. Rev. Lett. 107, 127205 (2011).
11. H. Jin, J. Im, J.-H. Song, and A. J. Freeman, Phys. Rev. B 85, 045307 (2012).
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13 V. Goyal, D. Teweldebrhan, and A. A. Balandin, Appl. Phys. Lett. 97, 133117 (2010).
14 H.L. Calvo, H.M. Pastawski, S. Roche, L.E.F. Foa Torres, Appl. Phys. Lett. 98, 232103 (2011).
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16 T. Kitagawa, T. Oka, A. Brataas, L. Fu, and E. Demler, Phys. Rev. B 84, 235108 (2011); P. M. Perez-Piskunow, G. Usaj, C. A. Baldereschi, and L. E. F. Foa Torres, ibid. 89, 121401(R) (2014); P. Delplace, A. Gomez-Leon, and G. Platero, ibid. 88, 245422 (2013).
17 N. H. Lindner, G. Refael, and V. Galitski, Nat. Phys. 7, 490 (2011); E. Suarez Morell, and L. E. F. Foa Torres Phys. Rev. B 86, 125449 (2012).
18 J. I. Inoue, and A. Tanaka, Phys. Rev. Lett. 105, 017401 (2010).
19 O. V. Yazyev, J. E. Moore, and S. G. Louie, Phys. Rev. Lett. 105, 266806 (2010).
20 Y. H. Wang, H. Steinberg, P. Jarillo-Herrero, and N. Gedik, Science 342, 453 (2013).
21 M.C. Rechtsman, J.M. Zeuner, Y. Plotnik, Y. Lumer, D.J Podolsky, F. Dreisow, S. Nolte, M. Segev, A. Szameit, Nature 496, 196 (2013).
22 M.V. Fistul and K. B. Efetov, Phys. Rev. Lett. 98, 256803 (2007).
23 S.E. Savel’ev, W. Häusler, P. Hänggi, Phys. Rev. Lett. 109, 226602 (2012); Eur. Phys. J. B 86, 433 (2013).
24 F. Marchesoni, Phys. Lett. A 119, 221 (1986).
25 S. Savel’ev, F. Marchesoni, P. Hänggi, F. Nori, Europhys. Lett. 67, 179 (2004); Eur. Phys. J. B 40, 403 (2004).
26 A. Pototsky, F. Marchesoni, F. V. Kusmartsev, P. Hänggi, S. E. Savel’ev, Eur. Phys. J. B 85, 356 (2012).
27 S. E. Savel’ev, Z. Washington, A. M. Zagorski, M. J. Everitt, Phys. Rev. A 86, 065803 (2012); T. D. Clark, J. Diggins, J. F. Ralph, M. Everitt, R. J. Prance, H. Prance, R. Whitteman, Annals of Physics 268, 1 (1998).
|
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Report Printed: 10/24/2006
Report Date: 10/09/2006
Summary Report
Supplemental
Adjusted
Actual Expenditures
Agreement
Supplemental Agreement
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%
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Report Date: 10/09/2006
Summary Report
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2 "Actual Expenditures" is the total amount paid for work as recorded in the Department's Financial Management System and reflects all expenditures against each contract.
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4 "Supplemental Agreement (Including Contingency)" is the total amount allocated within the Department's Construction Reporting System (SiteManager and CRS) for contract changes.
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Report Printed: 10/24/2006
Report Date: 10/09/2006
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Detailed Data
Num
Amount Included
Contract
Quarter
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Present
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Contracts
District
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Num of
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Contract
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<= 1.2%
SA Days
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Delinquent
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CRS Original in Original for
Adjusted Original
Report Printed: 10/24/2006
Report Date: 10/09/2006
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Num
Changed Conditions Work Orders
Contract
Financial
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Contracts
Total CRS
CRS Innovative
Total CRS
(Does Not Include
SA Allocated
District
01
01
01
01
01
01
01
01
01
01
01
01
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
02
CRS Present
Regular Work To
Total CRS
Amount Paid After
Weather
Number
Project ID
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$0
$0
$0
$0
$0
$2,466
$0
$588
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$0
$0
$0
$0
$0
$0
$0
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$0
$0
$0
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$0
$0
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$0
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District
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Construction Cost and Time
Detailed Data
Specification Modification Work Orders
Value Engineering Work Orders
Partnering Work Orders
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CEI Action/InAction Work Orders
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Detailed Data
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Defective Materials Work Orders
Weather Related Damage Work Orders
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Detailed Data
Utility Delays Work Orders
Material Shortage Work Orders
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Contract
Financial
Number
Project ID
Construction Cost and Time
Detailed Data
Num
Year Let/
Original
Present
% Days
Contracts
Amount Included
District
Contract
Financial
Let Date
Quarter
Num of
Number
Contract
Contract
Days
Used of
<= 1.2%
Unused
Delinquent
Days
Time
SA Days
CRS Original in Original for
Adjusted Original
Report Printed: 10/24/2006
Report Date: 10/09/2006
Construction Cost and Time
Detailed Data
Actual Expenditure
Changed Conditions Work Orders
%
Num
Contract
Financial
Amount Paid After
Expend.
Weather
CRS Present
Regular Work To
Total CRS
Premium Cost
3,054
$
$0
$0
$0
$0
-
$
$0
$0
-
$
-
$
$0
$38,905
$0
$0
$0
$0
$0
$0
38,905
$
$0
$0
-
$
38,905
$
$41,381
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
41,381
$
$0
$0
$0
$0
$0
$0
$0
-
$
(Does Not Include
SA Allocated
Contracts
Total CRS
CRS Innovative
Total CRS
District
03
03
03
03
03
03
04
04
04
04
04
04
04
04
04
04
05
05
05
05
05
05
05
05
05
05
05
05
05
05
05
05
05
05
Contract
Contract
Amount Paid to
Innovative Contract
<= 1.1%
Amount (From
Construction Cost and Time
Detailed Data
Plans Modifications Work Orders
Specification Modification Work Orders
Value Engineering Work Orders
Partnering Work Orders
District
Contract
District
CEI Action/InAction Work Orders
Construction Cost and Time
Detailed Data
Minor Changes Work Orders
Defective Materials Work Orders
Weather Related Damage Work Orders
Contract
Construction Cost and Time
Detailed Data
Claims Work Orders
Utility Delays Work Orders
Material Shortage Work Orders
Totals Work Orders
District
Contract
Construction Cost and Time
Detailed Data
Num
Amount Included
Contract
Quarter
Year Let/
Original
Present
% Days
Contracts
District
Let Date
Num of
Contract
Contract
Used of
<= 1.2%
SA Days
Number
Days
Unused
Delinquent
Days
Time
CRS Original in Original for
Adjusted Original
Report Printed: 10/24/2006
Report Date: 10/09/2006
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Detailed Data
Actual Expenditure
%
Num
Changed Conditions Work Orders
Contract
Financial
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CRS Present
Regular Work To
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41,381
$
$0
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-
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$
-
$
$100,320
$2,350
$0
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$0
$0
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102,670
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$0
$0
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-
$
102,670
-
$
$0
-
$
-
$
186,010
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$
186,010
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Total CRS
CRS Innovative
Total CRS
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SA Allocated
District
06
06
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06
06
06
06
06
06
07
07
07
07
07
07
07
07
07
07
07
07
07
07
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Contract
Contract
Amount Paid to
Innovative Contract
<= 1.1%
Amount (From
Construction Cost and Time
Detailed Data
Plans Modifications Work Orders
Specification Modification Work Orders
Value Engineering Work Orders
Partnering Work Orders
District
Contract
District
CEI Action/InAction Work Orders
Construction Cost and Time
Detailed Data
For Contracts Completed First Quarter Fiscal Year 2006/2007
Minor Changes Work Orders
Defective Materials Work Orders
Weather Related Damage Work Orders
Contract
District
Claims Work Orders
Construction Cost and Time
Detailed Data
Utility Delays Work Orders
Material Shortage Work Orders
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Bid Number: GEM/2022/B/2335573
Bid Document
| Bid Details | |
|---|---|
| Bid End Date/Time | 16-08-2022 17:00:00 |
| Bid Opening Date/Time | 16-08-2022 17:30:00 |
| Bid Offer Validity (From End Date) | 65 (Days) |
| Ministry/State Name | Ministry Of Finance |
| Department Name | Department Of Economic Affairs |
| Organisation Name | Security Printing And Minting Corporation Of India Limited (spmcil) |
| Office Name | Janpath |
| Item Category | Manpower Outsourcing Services - Minimum wage - Skilled; Others; Watch and Ward |
| Contract Period | 1 Year(s) |
| Minimum Average Annual Turnover of the bidder (For 3 Years) | 10 Lakh (s) |
| Years of Past Experience Required for same/similar service | 1 Year (s) |
| Past Experience of Similar Services required | Yes |
| MSE Exemption for Years Of Experience and Turnover | Yes |
| Startup Exemption for Years Of Experience and Turnover | Yes |
| Document required from seller | Experience Criteria,Bidder Turnover,Certificate (Requested in ATC) *In case any bidder is seeking exemption from Experience / Turnover Criteria, the supporting documents to prove his eligibility for exemption must be uploaded for evaluation by the buyer |
| Bid to RA enabled | No |
| Time allowed for Technical Clarifications during technical evaluation | 3 Days |
| Estimated Bid Value | 2385792 |
| Evaluation Method | Total value wise evaluation |
EMD Detail
| Advisory Bank | Indusind bank |
|---|---|
| EMD Percentage(%) | 2 |
ePBG Detail
| Advisory Bank | Indusind bank |
|---|---|
| ePBG Percentage(%) | 3 |
| Duration of ePBG required (Months). | 14 |
(a). EMD EXEMPTION: The bidder seeking EMD exemption, must submit the valid supporting document for the relevant category as per GeM GTC with the bid. Under MSE category, only manufacturers for goods and Service Providers for Services are eligible for exemption from EMD. Traders are excluded from the purview of this Policy.
(b). EMD & Performance security should be in favour of Beneficiary, wherever it is applicable.
Beneficiary:
Chief General Manager D-2, SECTOR -1, NOIDA. (India Government Mint)
Splitting
Bid splitting not applied.
MSE Purchase Preference
1. If the bidder is a Micro or Small Enterprise as per latest definitions under MSME rules, the bidder shall be exempted from the requirement of "Bidder Turnover" criteria and "Experience Criteria". If the bidder is OEM of the offered products, it would also be exempted from the "OEM Average Turnover" criteria. In case any bidder is seeking exemption from Turnover / Experience Criteria, the supporting documents to prove his eligibility for exemption must be uploaded for evaluation by the buyer.
2. If the bidder is a Startup, the bidder shall be exempted from the requirement of "Bidder Turnover" criteria and "Experience Criteria". If the bidder is OEM of the offered products, it would also be exempted from the "OEM Average Turnover" criteria. In case any bidder is seeking exemption from Turnover / Experience Criteria, the supporting documents to prove his eligibility for exemption must be uploaded for evaluation by the buyer.
3. The minimum average annual financial turnover of the bidder during the last three years, ending on 31st March of the previous financial year, should be as indicated above in the bid document. Documentary evidence in the form of certified Audited Balance Sheets of relevant periods or a certificate from the Chartered Accountant / Cost Accountant indicating the turnover details for the relevant period shall be uploaded with the bid. In case the date of constitution / incorporation of the bidder is less than 3-year-old, the average turnover in respect of the completed financial years after the date of constitution shall be taken into account for this criteria.
4. Years of Past Experience required: The bidder must have experience for number of years as indicated above in bid data sheet (ending month of March prior to the bid opening) of providing similar type of services to any Central / State Govt Organization / PSU / Public Listed Company. Copies of relevant contracts / orders to be uploaded along with bid in support of having provided services during each of the Financial year.
5. Purchase preference to Micro and Small Enterprises (MSEs): Purchase preference will be given to MSEs as defined in Public Procurement Policy for Micro and Small Enterprises (MSEs) Order, 2012 dated 23.03.2012 issued by Ministry of Micro, Small and Medium Enterprises and its subsequent Orders/Notifications issued by concerned Ministry. If the bidder wants to avail the Purchase preference for services, the bidder must be the Service provider of the offered Service. Relevant documentary evidence in this regard shall be uploaded along with the bid in respect of the offered service. If L-1 is not an MSE and MSE Service Provider (s) has/have quoted price within L-1+ 15% of margin of purchase preference /price band defined in relevant policy, then 100% order
quantity will be awarded to such MSE bidder subject to acceptance of L1 bid price.
6. Estimated Bid Value indicated above is being declared solely for the purpose of guidance on EMD amount and for determining the Eligibility Criteria related to Turn Over, Past Performance and Project / Past Experience etc. This has no relevance or bearing on the price to be quoted by the bidders and is also not going to have any impact on bid participation. Also this is not going to be used as a criteria in determining reasonableness of quoted prices which would be determined by the buyer based on its own assessment of reasonableness and based on competitive prices received in Bid / RA process.
7. Past Experience of Similar Services: The Bidder must have successfully executed / completed at least one single order of 80 % of the Estimated Bid Value or 2 orders each of 50 % of the Estimated Bid Value or 3 orders each of 40 % of the Estimated Bid Value for similar service(s) in last three years to any Central / State Govt Organization / PSU / Public Listed Company. Copies of contracts / work orders and documentary evidence of successful execution / completion in support of Past Experience of Similar Services along with names, address and contact details of clients shall be uploaded with the bid for verification by the Buyer.
Additional Qualification/Data Required
Scope of work & Job description: 1657707506.pdf
Buyer to upload undertaking that Minimum Wages indicated by him during Bid Creation are as per applicable Minimum Wages Act:1657534207.pdf
Buyer to upload Gazette notification for the breakup of ESI/EPF/ELDI etc if required: 1657707520.pdf
Please upload the list of resources alongwith quantity of each type of resource to be continued by the successful bidder/Service Provider under the new contract as per the Terms and Conditions of new contract concluded on the basis of this bid alongwith approval of Competent Authority.:1657707515.pdf
Manpower Outsourcing Services - Minimum Wage - Skilled; Others; Watch And Ward ( 6 )
Technical Specifications
| Specification | Values |
|---|---|
| Core | |
| Skill Category | Skilled |
| Type of Function | Others |
| List of Profiles | Watch and Ward |
| Educational Qualification | Not Required |
| Specialization | Not Required |
| Post Graduation | Not Required |
| Specialization for PG | Not Applicable |
| Experience | 0 to 3 Years |
| State | NA |
| Zipcode | NA |
| District | NA |
| Addon(s) | |
| Additional Details | |
| Designation | SECURITY GUARD (WATCH & WARD) |
| Title for Optional Allowances 1 | 0 |
| Title for Optional Allowances 3 | 0 |
|---|---|
| Title for Optional Allowances 2 | 0 |
Additional Specification Documents
Consignees/Reporting Officer and Quantity
| S.No. | Consignee/Reporti ng Officer | Address | Number of Resources to be hired |
|---|---|---|---|
| 1 | Himanshu | 201301,D-2, Sector-1, India Govt Mint(Taksal) Noida , Uttar Pradesh | 6 |
Buyer Added Bid Specific Terms and Conditions
1. Generic
OPTION CLAUSE: The Purchaser reserves the right to increase or decrease the quantity to be ordered up to 25 percent of bid quantity at the time of placement of contract. The purchaser also reserves the right to increase the ordered quantity by up to 25% of the contracted quantity during the currency of the contract at the contracted rates. Bidders are bound to accept the orders accordingly.
2. Generic
Bidder financial standing: The bidder should not be under liquidation, court receivership or similar proceedings, should not be bankrupt. Bidder to upload undertaking to this effect with bid.
3. Purchase Preference (Centre)
Purchase preference to Micro and Small Enterprises (MSEs): Purchase preference will be given to MSEs as defined in Public Procurement Policy for Micro and Small Enterprises (MSEs) Order, 2012 dated 23.03.2012 issued by Ministry of Micro, Small and Medium Enterprises and its subsequent Orders/Notifications issued by concerned Ministry. If the bidder wants to avail the Purchase preference, the bidder must be the manufacturer of the offered product in case of bid for supply of goods. Traders are excluded from the purview of Public Procurement Policy for Micro and Small Enterprises. In respect of bid for Services, the bidder must be the Service provider of the offered Service. Relevant documentary evidence in this regard shall be uploaded along with the bid in respect of the offered product or service. If L-1 is not an MSE and MSE Seller (s) has/have quoted price within L-1+ 15% of margin of purchase preference /price band defined in relevant policy, such Seller shall be given opportunity to match L-1 price and contract will be awarded for percentage of 25% of total value.
4. Service & Support
Dedicated /toll Free Telephone No. for Service Support : BIDDER/OEM must have Dedicated/toll Free Telephone No. for Service Support.
5. Payment
PAYMENT OF SALARIES AND WAGES: Service Provider is required to pay Salaries / wages of contracted staff deployed at buyer location first i.e. on their own and then claim payment from Buyer alongwith all statutory documents like, PF, ESIC etc. as well as the bank statement of payment done to staff.
6. Buyer Added Bid Specific Scope Of Work(SOW)
Text Clause(s)
SCOPE OF WORK FOR HIRING OF SECURITY GUARD
Subject: Bids are invited from eligible and qualified bidders for hiring of agency for providing Hiring of security services round clock (Manpower) at India Govt. Mint, D-2 sector-1, Noida (UP). The details Technical description and quantity demanded for the procurement are mentioned below:
Hiring of Security Services round the clock for a period of 12 months with Terms and Conditions as under :
1. Security agencies providing the security guards need to be having PASARA License.
2. The Security Agency shall operate and provide security personnel to the Mint at its 2 sites on 7 days a week 8 hours shift round the clock. That the responsibility and liability for payment of wages and other emoluments of any person of the Security guard shall be that of the Contractor, similarly the matter of leave and other facility to be given to the Security guards will be a matter between the Security guards and the Contractor.
3. DUTY HOURS: - 24 hours security divided into three shifts (including the night) (one shift = eight hours daily.) The duties of the security guards at a time will change every eight hours in rotation.
4. The location of deployment is Sector-23 Mudra Vihar and Sector 1 Township of the Unit. This shall mean a minimum 1 guard at each location should be deployed at any point of time. Hence for round the clock deployment a minimum 6 security guard (3 shifts * 2 locations) is needed.
5. Six (6) Security guards are required for round the clock for the tenure of 12 months with the estimated cost of Rs.23,85,792/-(Twenty three lakh eighty five thousand seven hundred and ninety two rupees only).
6. If any of the personnel of the Security Agency indulges in theft, negligence or any illegal/irregular activities, misconduct, Chief General Manager Mint decision regarding disciplinary action shall be final.
7. The Security Agency shall keep liaison with the police /Local Authorities and Fire Brigade in order to get timely assistance from them in case of an emergency.
8. All payment made by the Mint shall be after deduction of tax at source wherever applicable as per the provisions of the Income Tax Act,1961
9. The Security Agency shall submit on a monthly basis the bill for the services rendered to enable the Mint to verify and process the same.
10. The Contractor shall also ensure the supervision of the security guards/personnel posted/deployed at the Mint#s premises at regular intervals.
11. The personnel of the Security Agency shall always be tidily dressed in the uniform supplied by the Security Agency at its own cost. The pattern of uniform to be supplied by the Security Agency will be of a different pattern than as given by the Mint to its employees. Further the Security Agency shall issue identity cards on its own name and trading style, to its personnel deputed for rendering the said services,which at Mints option, and would be subject to verification at any time.The Mint may refuse the entry into its premises to any personnel of the Security Agency not bearing such identity card or not being tidily dressed.
12. The Mint shall always have the right and liberty to do surprise inspection at its sites.
13. The services rendered by the Security Agency under this agreement will be under close supervision, coordination & guidance of the Mint. The security agency shall frame appropriate procedure for taking immediate action as may be advised by the Mint from time to time.
14. It is clearly understood by the Security Agency that the person employed by the Security Agency for providing services as mentioned herein, shall be the employees of the Security Agency only and not of the Mint. The individual person to be employed for providing the said services shall be decided by the Security Agency who shall be able to make payments to its said employees towards their monthly wages/salaries and other statutory due like EPF, ESI, minimum wages, bonus, gratuity etc.
15. Mint shall not be liable for any obligations/ responsibilities contractual, legal or otherwise, toward the Security Agencies employees or to the said employees directly and/or indirectly, in any manner whatsoever.
16. The employees/ personnel of Security Agency rendering the services under this contract shall never be
deemed to be the employees of Mint in any manner whatsoever and shall not be entitled for employment, salary/wages, damages compensation or anything arising from their deployment by contractor for rendering the said services.
17. Security Agency shall obtain all registration/permission/license etc. Which are/ may be required under any labour or other legislation(s) for providing the services under this contract.
18. It shall be the Security Agency#s responsibility to ensure compliance of all the Central and state Government Rules and Regulations & all applicable labour laws with regard to the provisions of the Services. Under this contract The Security Agency indemnifies and shall always keep Mint indemnified against all losses, damages, claims actions taken against in any Authority/ office in this regard.
19. The Security Agency shall comply with the applicable provisions of all welfare legislations and more particularly with the contract Labour (Regulation and Abolition) Act, 1970. if applicable, for carrying out the purpose of this contract the Security Agency shall further observe and comply with all Government laws concerning employment by the Security Agency and shall duly pay all sums of money to such staff as may be required to be paid under such laws. Security Agency is fully responsible to ascertain understand the applicability of various Act, and take necessary action to comply with the requirements of law.
20. The Security Agency shall give an undertaking by the 22nd of preceding month in favour of the Mint that he has complied with all his statutory obligations.
21. The Security Agency shall at its own expenses make good any loss or damage suffered by the Mint as a result of the acts of commission or omission, negligently or otherwise of its personnel while providing the said services at any of the premises of the Mint or otherwise.
22. The security agency shall at all times indemnify and keep indemnified the Mint against any claim on account of disability/ death of any of its personnel caused while providing the security services within/outside the site or other premises of the Mint which may be made under the Workmen Compensation Act, 1923 or any other Acts or any other statutory Modifications thereof or otherwise for or in respect of any claim for damage or compensation payable in consequence of any accident or injury sustained by any working or other personnel of the Security Agency or in respect of any claim, damage or compensation under labour laws or other laws or rules made there under by any person whether in the employment of the Security Agency or not, who provided or provides the services at the site or any other premises of the Mint as provided hereinbefore.
23. The Security Agency shall at all times indemnify and keep indemnified the Mint against any claim by any third party for any inju5 ry, damage to the property or person of the third party or for any other claims whatsoever for any acts of commission or omission of its employees or personnel during the hours of providing the services at Mint#s premises or before and after that.
24. The Security Agency shall not claim any damages, costs, charges, expenses, liabilities arising out of performance/non-performance of services, which it may suffer or otherwise incur by reason of any act/omission, negligence, default or error in judgment on part of itself and/or its personnel in rendering or non-rendering the services under this contract.
Note: If any of the terms &conditions above is not found fulfilled during the work contract, I.G. Mint NOIDA reserves the right to discontinue the contract without assigning any reasons thereof by providing a hearing to the contractor, if he wants so.
Additional Terms And Conditions
1. Delivery Period: Hiring of Agency for providing manpower services in on daily basis at India Govt. Mint, Noida Sector-23 Mudra Vihar and Sector 1 Township of the Unit for a period of one year (12 months).
2. The firm must have a functional office at any location of NCR, so as to have smooth coordination with deployed employees. In case the firm currently does not have a functional office in NCR, then it must give a declaration that it will establish a functional office /deploy a firm's representative in NCR.
3. The firm may be asked to raise the Invoice with GST under category of B to B for availing input credit.
4. In case of increase in minimum wages of Central Govt. subsequent to opening of the tender, then the increase amount of the wages including the corresponding PF/ESI share shall be revised in the contract by India Government. Mint, Noida.
5. Option clause: The order may be extended on same rate for 25% of total quantity.
(NOTE: Quantities mentioned above are illustrative / indicative and not exhaustive; the actual requirement may vary (increase / decrease) as per the need).
6. Age Limit: The Manpower deployed shall be between 18 years of age to 55 Years for all categories.
7. Estimated Price: The estimated price of the above procurement is Rs. 2385792/- including 18% GST.
8. Taxes and Duties Supplier shall be entirely responsible for all taxes, duties, fees, levies etc. incurred until completion of contracted period to India Govt. Mint, Noida. If the tenderer fails to include taxes and duties as per law of the land in the tender, no claim thereof will be considered by purchaser at a later stage.
9. Terms and Mode of payments Payment shall be made as per GEM GTC after satisfactory completion of contractual obligation.
10. Please Provide scanned copy of cancelled cheque of Account in which payment is to be made & E-mail address also.
11. If found, any security breach by the contractor, will lead to:
a. Termination of Contract.
b. Payment of Damages
12. Quantum of LD: If the supplier fails to deliver any or all of the goods or fails to perform the services within the time frame(s) incorporated in the contract, SPMCIL shall, without prejudice to other rights and remedies available to SPMCIL under the contract, deduct from the contract price, as liquidated damages, a sum equivalent to the ½% percent of the delivered price of the delayed goods and/ or services for each week of delay or part thereof until actual delivery or performance, subject to a maximum deduction of the 10% of the delayed goods' or services' contract price(s). During the above-mentioned delayed period of supply and / or performance, the conditions incorporated under GCC sub-clause 23.4 above shall also apply. In all such cases GST would also be applicable on LD.
13. Performance Bond/ Security: The successful bidder shall furnish Security Deposit within 21 days of issue purchase order in the form of unconditional Bank Guarantee/ Account Payee Demand Draft, from any scheduled commercial Bank of India in favor of the "India Government Mint, Noida", for 3% value of the purchase order valid upto 60 days beyond the date of completion of all contractual obligations by the supplier, including the warranty obligations. Further, if bidder fails to furnish the required performance security within the specified period, he shall be liable to face suspension from participating in Tenders invited by any of the unit of SPMCIL for a period of one year from the time of such suspension.
14. Earnest Money deposit (EMD): The firms who are traders will not get exemption (EMD, Past Experience and Turnover) allowed for MSE firms under Public Procurement Policy (PPP) 2012. Further it is to clarify that Manufacturers/ Service providers who have valid MSME/NSIC (or any other designated agency authorized by GOI) Certificates are considered for exemption only if they are having valid registration for the primary category of products/services of the subject bid. Otherwise, they will be considered at par with non-MSE suppliers for all the purposes.
15. It may also be noted that only Micro and Small enterprises are eligible for exemption (EMD, Past Experience and Turnover) whereas Medium enterprises are out of purview of exemptions under PPP 2012. Hence, all the firms not covered for exemption under PPP 2012 are requested to submit the EMD preferably through account transfer to I.G Mint Noida Account (Account details are given below), though other mode of EMD submission as per GeM guidelines are also applicable, if firm is submitting BG, FDR etc. then it should reach physically to our address i.e., India Government Mint Noida, Block- D-2, Sector-1, Noida, UP-201301 within 5 days of bid opening else their offer is liable to be rejected.
Payee Name: India Government Mint Noida (A UNIT OF SPMCIL) COLLECTION ACCOUNT
A/C No.: 201003509051
IFSC CODE: INDB0000036
Bank Name: INDUSIND BANK LIMITED NOIDA BRANCH
Bank Address: N-10-11, SECTOR-18, NOIDA-201301
Note: If EMD is not applicable for any bid then also the above details will be of concern to the firms as Past Experience and Turnover are exempted only to valid MSE firms.
15. Kindly fill the attached Annexure C for evaluation of the bid.
Annexure - C
(Name of the firm)
FINANCIAL STANDING OF THE FIRM
The bidder should intimate their financial standing in the following format duly certified by a Chartered Accountant / cost Accountant
a) Average Annual turnover of the firm during last three years ending 31.03.2021. (Exempted for MSME firms)
Sl. No.
Financial Year
Turnover (in lakh)
1.
2018-2019
2.
2019-2020
3.
2020-2021
b) Profit and Loss Account of the firm during last three years ending 31.03.2021.
Sl. No.
Financial Year
Profit/Loss (in
lakh)
1.
2018-2019
2.
2019-2020
3.
2020-2021
c)
Net worth of the firm during last three years ending 31.03.2021.
Sl. No.
Financial Year
Net Worth (in
lakh)
1.
2018-2019
2.
2019-2020
3.
2020-2021
10 / 11
Disclaimer
The additional terms and conditions have been incorporated by the Buyer after approval of the Competent Authority in Buyer Organization. Buyer organization is solely responsible for the impact of these clauses on the bidding process, its outcome, and consequences thereof including any eccentricity/restriction arising in the bidding process due to these ATCs and due to modification of technical specifications and/or terms and conditions governing the bid. Any clause incorporated by the Buyer such as demanding Tender Sample, incorporating any clause against the MSME policy and Preference to make in India Policy, mandating any Brand names or Foreign Certification, changing the default time period for Acceptance of material or payment timeline governed by OM of Department of Expenditure shall be null and void and would not be considered part of bid. Further any reference of conditions published on any external site or reference to external documents/clauses shall also be null and void. If any seller has any objection/grievance against these additional clauses or otherwise on any aspect of this bid, they can raise their representation against the same by using the Representation window provided in the bid details field in Seller dashboard after logging in as a seller within 4 days of bid publication on GeM. Buyer is duty bound to reply to all such representations and would not be allowed to open bids if he fails to reply to such representations. Also, GeM does not permit collection of Tender fee / Auction fee in case of Bids / Forward Auction as the case may be. Any stipulation by the Buyer seeking payment of Tender Fee / Auction fee through ATC clauses would be treated as null and void.
This Bid is governed by the General Terms and Conditions, conditons stipulated in Bid and Service Level Agreement specific to this Service as provided in the Marketplace. However in case if any condition specified in General Terms and Conditions is contradicted by the conditions stipulated in Service Level Agreement, then it will over ride the conditions in the General Terms and Conditions.
In terms of GeM GTC clause 26 regarding Restrictions on procurement from a bidder of a country which shares a land border with India, any bidder from a country which shares a land border with India will be eligible to bid in this tender only if the bidder is registered with the Competent Authority. While participating in bid, Bidder has to undertake compliance of this and any false declaration and non-compliance of this would be a ground for immediate termination of the contract and further legal action in accordance with the laws.
---Thank You---
11 / 11
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BRUSCHETTA CHICKEN SANDWICH
Grilled Chicken topped with Bruschetta Tomatoes, Pesto Aioli, and Fresh Mozzarella Cheese on Toasted Ciabatta Bread. $7.50
CHICKEN SANDWICH
Mesquite Grilled or Fried Chicken Strips, Cheese of Choice, Lettuce, Tomato, Pickles, Mayonnaise and Bacon. Served on Toasted Ciabatta Bread. $7.50
FRENCH DIP
Hand Carved Roast Beef & Swiss Cheese. Served on a Sub Roll with a Side of Au Jus for Dipping. $7.50
GRILLED CHEESE *
White, Wheat, Rye, Sourdough, or Jalapeño Bread with American, Cheddar, Havarti, Gouda, Muenster, Pepper jack, Provolone, or Swiss Cheese. $6.00
Fresh Baked Croissant $1.50 Extra Add Bacon $1.25 Add Avocado $1.25
GRILLED HOT PASTRAMI SANDWICH *
Hand Shaved Pastrami, Melted Provolone Cheese, Dijon Mustard, and Grilled Onions. Served on Toasted Rye Bread. $7.50
DESIGN YOUR OWN SANDWICH $7.50
CHICKEN SALAD *
* Apple Pecan Cranberry Chicken Salad Sandwich
Choice of Bread, or on a Bed of Lettuce. $7.50
Wrap add $1.00
* Avocado Chicken Salad $7.50
CLASSIC BLT *
Bacon, Lettuce, Tomato and Mayonnaise on Bread of Choice. $7.50
TUNA SALAD *
* Classic: Mayonnaise and Celery
* Lemon Dill
$6.75
GRILLED PB&J *
Grilled Peanut Butter and Jelly (Strawberry or Grape). Served on Toasted White or Wheat Bread. $6.00
HOT HAM & SWISS SANDWICH
Hand Carved Black Forest Ham, Melted Swiss Cheese and Dijon Mustard on a Fresh Baked Croissant. $7.50
PIZZA GRILLED CHEESE *
Grilled Sourdough Bread, Fresh Mozzarella Cheese, Thick Slices of Pepperoni, and Pizza Sauce. $7.50
PULLED PORK SANDWICH
BBQ Pulled Pork topped with a Crunchy Slaw & Provolone Cheese. Served on a Toasty Hawaiian Roll. $7.50
REUBEN *
JALAPEÑO POPPER GRILLED CHEESE *
Our Signature Jalapeño Popper Mix, Melted Cheddar Cheese, and Crispy Bacon. Served on Grilled White Bread. $7.50
Hand Shaved Corned Beef, Sauerkraut, Thousand Island Dressing and Swiss Cheese on Grilled Rye Bread. $7.50
Add Smoked Sausage $1.00
ROASTED TOMATO CAPRESE GRILLED CHEESE *
PATTY MELT
Two all Beef Patties, Grilled Onions and Swiss Cheese. Served on Sourdough Bread with Patty Melt Sauce. $7.75
PHILLY CHEESESTEAK
Shaved Beef or Chicken, Grilled Peppers, Onions, Mushrooms, and Provolone Cheese. Served on a Sub Bun. $7.50
CLUB SANDWICH *
Triple layers of Bread, Ham, Turkey, Swiss and American Cheese, Lettuce, Tomato, Bacon, & Mayonnaise. $8.50
EGG SALAD SANDWICH *
* Bistro Egg Salad Our Egg Salad on a Fresh Baked Buttery Croissant with Lettuce, Tomato, Bacon, and Avocado. $8.00
$6.00
ITALIAN SUB SANDWICH
Ham, Salami, Pastrami, Mozzarella Cheese, Lettuce, Tomato, Purple Onion & Banana Peppers, served on a White Sub Bun. Topped with a Creamy Italian Dressing. $7.50
Ask About our Sandwich of the Month!
.
Add Grilled Chicken $1.75
Roasted Tomatoes, Fresh Mozzarella Cheese, Fresh Basil on Grilled White Bread. Drizzled with Balsamic Glaze $7.00
SMOKED SAUSAGE HOAGIE
Grilled Peppers and Onions with Smoked Sausage, Mixed Cheese, and Spicy Mustard on a Grilled Hoagie Roll $7.50
THE SPICY MELT
Hamburger Patty topped with Grilled Jalapeños and Onions, Habanero Cheese, Chipotle Aioli. Served on Grilled Cornmeal Crusted Jalapeño Bread. $7.75
TUNA MELT *
Grilled Rye Bread, Classic Tuna Salad and Cheese of Choice. $6.50
TURKEY, BACON, AVOCADO PANINI *
With Swiss Cheese. $7.50
REGULAR SIDES:
Fruit Cup, House Chips, Pasta Salad, Potato Salad, Side Salad, or Yogurt Parfait
PREMIUM SIDES $1.00 more: Fries, Onion Rings or Soup of the Day
ASIAN SALAD
Panko Crusted Chicken, Shredded Carrots, Green Onion, Mandarin Oranges, Wonton Strips, Water Chestnuts and Shredded Cabbage. Topped with Slivered Almonds. Served on Romaine Lettuce with a Sesame Vinaigrette on the side. $7.50
BERRY FETA SALAD
Grilled Balsamic Chicken, Strawberries, Blueberries, Raspberries, Blackberries and Apples with Purple Onion, Glazed Pecans and Feta Cheese. Served on a bed of Spinach with a Strawberry Poppy Seed Dressing on the side. $8.00
BBQ CHICKEN SALAD
Mesquite Grilled Chicken, Roasted Corn & Black Beans, Red Onion, Cheddar Cheese, Bacon, Tomato, & Avocado on a Bed of Mixed Greens, Topped with Crispy Tortilla Strips. Served with a BBQ Ranch Dressing on the side. $7.50
CHEF SALAD
Design Your Own $7.75
CHICKEN CAESAR SALAD
Parmesan Grilled Chicken, Parmesan Cheese & Croutons. Served on Romaine Lettuce with Creamy Caesar Dressing on the side. $7.00
GARDEN SALAD
CHICKEN STRIP SALAD
Mixed Greens, Diced Tomato, Cucumber, Shredded Cheese, Croutons, Shredded Carrots and Choice of Dressing on the side. $6.50
Romaine Lettuce, Crispy Fried Chicken Strips, Shredded Cheddar Cheese, Tomato, Bacon, Shredded Carrots, Avocado, Cucumber, Purple Onion, and Croutons. Served on a bed of Romaine Lettuce and Honey Mustard Dressing on the side. $7.50
COBB SALAD
Romaine Lettuce, Tomato, Bacon, Green Onion, Cucumber, Avocado, and Hard Boiled Egg, Topped with Blue Cheese and Croutons. Served with a Choice of Dressing on the side. $7.25
Add Grilled Chicken $1.75
FALL HARVEST SALAD
Romaine Lettuce, Bacon, Apple, Pear, Boiled Egg, Pecans, Cranberries, Topped with Goat Cheese and Balsamic Grilled Chicken. Served with a Creamy Poppy Seed Dressing on the side. $7.50
Ask About our SALAD of the Month!
Diced Black Forest Ham & Roasted Turkey, Tomato, Shredded Cheddar Cheese, Hard Boiled Egg, Cucumber, Green Onion & Croutons on a bed of Mixed Greens with a Choice of Dressing on the side. $7.50
CALIFORNIA WRAP
~In honor of Madison~ Shaved Philly Steak, French Fries, Cheddar Cheese, Onion, Romaine Lettuce, Tomato, Pickles, Mayonnaise, Mustard & Ketchup. Served in a Flour Tortilla Wrap. $6.75
CHICKEN BACON RANCH WRAP
Grilled Chicken, Bacon, Romaine Lettuce, Cheddar Cheese and Ranch Dressing. Served in a Flour Tortilla Wrap. $6.50
GRILLED VEGGIE WRAP
A Mixture of Grilled Seasonal Veggies, Romaine Lettuce, Cheddar Cheese and Creamy Parmesan Sauce. Served in a Flour Tortilla Wrap. $6.50 Add Grilled Chicken $1.75
HUMMUS WRAP
Hummus, Roasted Red Peppers, Spinach, Grilled Purple Onions, Artichokes, Feta Cheese, and Ranch Dressing. Served in a Spinach Tortilla Wrap. $6.50
SOUTHWEST CHICKEN WRAP
Grilled Chicken, Romaine Lettuce, Roasted Corn and Black Beans, Cheese, Green Onion, Tomato & Tortilla Strips. Served with Mixed Greens and Jalapeño Ranch or Avocado Ranch Dressing in a Flour Tortilla Wrap. $6.50
SPICY BUFFALO CHICKEN WRAP
Grilled Buffalo Chicken or Crispy Fried Buffalo Chicken Strips, Shredded Cheddar Cheese, Blue Cheese Chunks and Ranch Dressing. Served in a Flour Tortilla Wrap. $6.50
Ask ABOUT OUR WRAP of the Month!
GREEK SALAD
Romaine Lettuce, Black Olives, Capers, Tomato, Cucumber, Red Onion, Feta Cheese, Kalamata Olives & Grilled Chicken. Served with Greek Vinaigrette on the side with Pita Bread Slices. $7.50
SOUTHWEST SALAD
Grilled Chicken, Diced Tomato, Roasted Corn & Black Beans, Colby Jack Cheese, Avocado & Green Onion on a Bed of Mixed Greens. Topped with Crispy Tortilla Strips. Served with a Jalapeño Ranch or Avocado Ranch Dressing on the side. $7.50
SPICY BUFFALO CHICKEN SALAD
Grilled Buffalo Chicken or Crispy Fried Buffalo Chicken Strips, Romaine Lettuce, Celery, Shredded Carrots, Corn, Cucumber and Avocado. Topped with Blue Cheese Crumbles and Croutons. Served with Blue Cheese Dressing and Buffalo Sauce on the
side.
$7.50
~All soups made from scratch~
*
Cup $2.95
* Bowl $4.25
Monday:
Tuesday:
Wednesday:
Thursday:
Friday:
CHICKEN TORTILLA AND CHICKEN NOODLE
CREAMY TOMATO BASIL AND
CHICKEN & DUMPLINGS
BROCCOLI CHEESE AND
CAST IRON CHILI
JALAPEÑO POPPER AND
VEGETABLE BEEF
CHICKEN & WILD RICE AND
CHEF'S CHOICE
(K)
(K)
BROCCOLI CHEESE BAKED POTATO $6.50
LOADED BAKED POTATO
Butter, Cheese, Bacon, Sour Cream, and Green Onion $6.00
Add Grilled Chicken $1.75
10:31 BAKED POTATO
Butter, Cheese, Turkey, Ham, Black Olives, Bacon, Green Onions, and Ranch Dressing $6.50
PULLED PORK BAKED POTATO
Butter, Cheese, and Pulled Pork $7.00
~No Substitutions~
MONDAY: Quesadilla, Chips and Salsa or Street Corn Salad, and a Drink $7.50
TUESDAY: Classic Grilled Cheese, a Small Tomato Soup, and a Drink $6.50
WEDNESDAY: Chef's Choice
THURSDAY: Pulled Pork Sandwich, Regular Side, and a Drink $7.50
FRIDAY: Half Meatloaf Sandwich on a Sub Bun, Regular Side, and a Drink $7.00 Whole Meatloaf Sandwich on a Sub Bun, Regular Side, and a Drink $8.00
Ask us about our catering.
We can also host your event in the Café such as Baby Showers, Rehearsal Dinners, Ladies Groups, City Groups, Church Groups, Etc.
chOOsE 2 FOR $7.50
~No Substitutions~
cHALF ANY SALAD
cHALF LOADED BAKED POTATO
CSMALL CUP OF SOUP
cHALF ANY *STARRED HOT OR COLD SANDWICH
BOTTLED WATER
CHERRY ITALIAN CREAM SODA
COCONUT WATER
COFFEE
FOUNTAIN SODA
HOT CHOCOLATE
JUICE: Apple, Cranberry, Grapefruit, or Orange
MILK: White, Chocolate, or Strawberry
ORGANIC HOT TEA
PELLEGRINO WATER
TEA: SWEET or UNSWEET
TOPO CHICO LIME
Business & Residential
Mon — Fri 8:00am-3:00pm $2.00 Delivery Fee No Minimum 5 Mile Radius
Café 10:31
817-752-2233
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Collaborative project
Large-scale integrating project
Project acronym
BASELINE
Project title
Selection and improving of fit-for-purpose sampling procedures for specific foods and risks
Grant Agreement number
222738
Date of latest version of Annex I 05/07/2010
| Del. No. | Deliverable name | WP no. | Lead participant | Nature | Dissemination Level |
|---|---|---|---|---|---|
| 7.1 | Database to collect the results of the sample analysis in order to compare the theoretical models elaborated by WP 7 with real data | 7 | ISS | O | PU |
Delivery Date
10/04/2012
Project co-ordinator
Prof. Gerardo Manfreda
Alma Mater Studiorum – Università di Bologna
Tel: +39 051 20 9 785
E-mail: [email protected]
Project website address
www.baselineeurope.eu
TABLE OF CONTENTS
SUMMARY
This report is only intended to give a brief overview of the Database that was created within the baseline project.
The purpose of the database was to have one collection of all data that were collected from different experiments for both microbial and chemical data within the Workpackages WP1 toWP1. Initially, two templates in Excel; one for the microbial data and one for the chemical data were proposed for the WP1 to WP5. Both data for modeling distributions of risk agents (natural data) as well as other more experimental data have been collected and collapsed into this database.
During the process of receiving data both from prevalence studies as well as from experiments, the number and names of the original proposed templates have been changed.
The database of Microbial risk agents at MONTH 30 contained 9403 observations, with 49 individual variables.
The database of Chemical risk agents at MONTH 30 contained 18 284 observations, with 38 individual variables.
In addition datasheets containing information of the content of the variables as well as information regarding sampling procedures, flowcharts and the analytical methodology used have been included where it was available and appropriate.
For the further work, this database will serve to include all the future experimental data within WP1 to WP5. However, to ensure a common format and content for future data collection it will be of importance to read this document as well as to study the descriptive information in the database itself. For all eventually, totally new datasets that could not be combined with an existing dataset a new Dataset has to be created; named Baseline_X, where X is a new number not used before. This could begiven by request to the taskleader of 7.1. The data will then be read in by SAS v 9.1 (SAS Institute Inc., Cary, NC, USA) and collapsed with previous data into either the MICROBIAL or the CHEMICAL sheet, respectively.
DESCRIPTION OF THE DATABASE STRUCTURE
The database was created in Excel (version 97, 2003). However, all the database management has been performed using SAS v 9.1 (SAS Institute Inc., Cary, NC, USA). The final database at the present stage has been exported into one final database "Deliverable 7.1.
To be able to include both Microbial data and Chemical data into one common database, it was decided to make two separate excel sheets, one for the microbial data (MICROBIAL) and one for the chemical data(CHEMICAL).
Name of the Sheets
The name and the links between the datasheets are described in Figure 1 and in the following text.The database contains one sheet with all the microbial data which was named MICROBIAL and one sheet for all the chemical data named CHEMICAL, with one sheet for each with explanations of the variables included named Info_MICROBIAL and Info_CHEMICAL. Each received dataset was numbered continuously given the names Baseline_1, Baseline_2 and so on. An additional variable was given to the dataset to describe which dataset the data belonged to.
The variables were given an abbreviation of Baseline_1 =B1, Baseline_2=B2.
Additionally sheets called INFO_Dataset_name from B1_B37 were created to contain flowcharts where the sampling points for each sample could be shown and further as a reference to the different datasets for further description of how the sampling was performed.
The description of the variables included are described in two separate sheets
Templates for new data one for MICROBIAL one for CHEMICAL are provided as two separate sheets for adding new data to the database;TEMPLATE_MICROBIAL and TEMPLATE_CHEMICAL.
Figure 1. Structure of the Database showing the name of the sheets for the collection of data from experiments
METADATA
Metadata describes the Variable names, the type character or numerical, the length, the format and the informat as well as the label of the varianles.
Metadata of the variables included in the sheet MICROBIAL
The metadata of the variables included in the sheet MICROBIAL are described in Table 1.
All variables except for the variables referring to dates; Nr 1, 33 and 34, have been defined to be in text format= character. This was done because several of the entries in variables that naturally would have been defined as numerical contained characters in some of the datasets. First after cleaning up the data, by using the character format it can be transformed to numerical variables. However, because new datasets also may contain characters in those variables it was decided to keep the character format. For separate analyses, new numerical variables have to be created from those variables where this could be an option.
Table 1. Metadata of the variables included in the sheet MICROBIAL of the database
Metadata of the variables included in the sheet CHEMICAL
The metadata of the variables included in the sheet CHEMICAL are described in Table 2.
All variables except for the variables referring to dates; Nr 4and 17, have been defined to be in text format= character. This was done because several of the entries in variables that naturally would have been defined as numerical contained characters in some of the datasets. First after cleaning up the data, by using the character format it can be transformed to numerical variables. However, because new datasets also may contain characters in those variables it was decided to keep the character format. For separate analyses, new numerical variables have to be created from those variables where this could be an option.
Table 2. Metadata of the variables included in the sheet CHEMICAL of the database
DESCRIPTION OF THE VARIABLES
The description of the variables describes the content that should be included in the unique variables.
Description of the variables in the sheet MICROBIAL
The description of variables in the sheet MICROBIAL is presented in Table 3, which also have been included as a sheet in the final database (Info_MICROBIAL).
Table 3 Description of variables in the sheet MICROBIAL of the database
Description of the variables in the sheet CHEMICAL
The description of variables in the sheet CHEMICALis described in table 4 which also have been included as a sheet in the final database.
Table 4 Description of variables in the sheet CHEMICAL of the database
Example of the links between the Datasheets (MICROBIAL and CHEMICAL) and the Infosheets.
The link between the different Datasets (B1-B37) and the datasheets; Info_B1 to Info_B37 is described below with an example (Figure 1).
In the Info_B10 the Flowchart diagram of both production of cabbage, apple and Lettuce are shown. Because all these data were received as one dataset the Flowchartpoints in the diagram was given a letter and a number to identify which flowchart that belonged to which Food Product.Additionally information regarding the sampling design, have in some datasets been more thoroughly described and are then also included in the same INFO_sheetas the folowcharts.
The analytical methods and their characteristic could also be described within this sheet.
References to previous publications might also be included.
Figure 1 One of the Info sheets (Info_B8) in the database containing a flowchartdiagram and the corresponding Flowchart_ID (1, 2 and 3) which are referred to in the dataset B8.
CONTENT OF THE VARIABLES
Content of the variables (MICROBIAL) by MONTH 30
At Month 30, the content of each of the variableshave been tried to be harmonized as much as possible without losing the information of the data. Mainly such transformations have been performed to have a similar spelling of the same content and to have the same format regardless of which format that were used for the recordings.
The following tables (5-54) describe the content at MONTH 30. For the unique variables and other variables where the number of variables are to long for this report (f.eks (Date of sampling; ID etc.),only the five first recordings are given. The IDs have been given anonymously
All missing recordings were transformed to "." (POINT).
To be able to describe the Qualitative results, all the possible initial recordings were transformed to either Negative; Positive and "."(missing).
To be able to describe the variable Quantitative results only a number was kept in this variable. The measurement unit was recorded in the variable named Analytical unit.
In case the variable Quantitative results was recorded as <100 or <10 etc. the Quantitative Result was given the Quantitative result 0 and the variable Detectionlimit was given the value 100 or 10, respectively. Following that the Quantitative result variable needs to be used together with the Detectionlimit.
Table 5. The first five recordings of the variable "Date of sampling_dd:mm:yyyy" in the MICOBIAL datasheet.
Table 6. The first five recordings of the variable "ID" in the MICOBIAL datasheet.
Table 7. The recordings of the variable "Country" in the MICOBIAL datasheet.
Table 8. The recordings of the variable "Laboratory" in the MICOBIAL datasheet.
Table 9. The recordings of the variable "Sampled material" in the MICOBIAL datasheet.
Table 10. The recordings of the variable "Food Product" in the MICOBIAL datasheet.
Table 11. The recordings of the variable "Risk agent" in the MICOBIAL datasheet.
Table 12. The first five recordings of the variable "Food chain step/Sampling point" in the MICOBIAL datasheet.
Table 13. The first five recordings of the variable "Producer ID" in the MICOBIAL datasheet.
Table 14. The recordings of the variable "Sampling_Strategy" in the MICOBIAL datasheet.
Table 16. The recordings of the variable "Primary/bulksample/number/code" in the MICOBIAL datasheet.
Table 17. The recordings of the variable "Spiked sample: Contamination level cfu/g" in the MICOBIAL datasheet.
Table 18. The first five recordings of the variable "Mass of primary/bulk sample (g)" in the MICOBIAL datasheet.
Table 19. The first five recordings of the variable "Lot number" in the MICOBIAL datasheet.
Table 26. The recordings of the variable "Time after cleaning/desinfection" in the MICOBIAL datasheet.
Table 27. The recordings of the variable "Transport" in the MICOBIAL datasheet.
Table 28. The recordings of the variable "T (°C)" i n the MICOBIAL datasheet.
Table 29. The recordings of the variable "T (°C) po int sale" in the MICOBIAL datasheet.
Table 30. The recordings of the variable "T (ºC) recept# Lab" in the MICOBIAL datasheet.
Table 40. The recordings of the variable "Sample_unit" in the MICOBIAL datasheet.
Table 43. The recordings of the variable "Analytical_Method" in the MICOBIAL datasheet.
Table 44. The recordings of the variable "Analytical unit" in the MICOBIAL datasheet.
vari
Agar
Frequency Percent Cumulative Frequency
ALOA
CT-SMAC/RMAC and
Karm mCCD
Table 46. The recordings
Qualitative results.
Negative
Positive
Table 47. The recordings
Results (PCR of colony)
neg pos
26,17
14,96
29,44
320
503
863
Cumulative Percent
26,17
41,13
70,56
29,44 1223
100
e"Qualitative results" in the MICOBIAL datasheet.
Frequency Percent Cumulative
Frequency
Cumulative
Percent
1534
6257
16,31
66,54
1534
7791
16,31
82,86
1612
17,14
9403
100
e"Results (PCR of colony)" in the MICOBIAL datasheet.
Frequency Percent Cumulative
Frequency
Cumulative
Percent
528
55
528
55
432
45
960
100
Table 48. The first five rec ordings
of
the variable “Quantitative result” in the MICOBIAL datasheet.
Table 49. The first five recordings of the variable "Detectionlimit" in the MICOBIAL datasheet.
Detectionlimit
Frequency Percent Cumulative
Frequency
Cumulative
Percent
-0,3
0,0075
0,04
0,3
10
91
25
5
5
831
2,3
0,63
0,13
0,13
21,03
91
116
121
126
957
2,3
2,94
3,06
3,19
24,22
320
183
360
360
of the ab
of the
l
vari ab
l
Table 50. The recordings of the variable "Species ID" in the MICOBIAL datasheet.
Table 51. The first five recordings of the variable "Flowchartpoint" in the MICOBIAL datasheet.
Table 52. The first five recordings of the variable "Dataset" in the MICOBIAL datasheet.
Table 53. The first five recordings of the variable "Remarks" in the MICOBIAL datasheet.
Content of the variables in the datasheet (CHEMICAL) by MONTH 30
At Month 30, the content of each of the variables have been tried to be harmonized as much as possible without losing the information of the data. Mainly such transformations have been performed to have a similar spelling of the same content and to have the same format regardless of which format that were used for the recordings.
The following tables (54-88) describe the content at MONTH 30. For the unique variables and other variables where the number of variables are to long for this report, f.eks ;Date of sampling; ID etc., only the five first recordings are given. The IDs have been given anonymously
Table 54. The recordings of the variable "Laboratory" in the CHEMICAL datasheet.
Sampling point
Frequency Percent Cumulative Frequency Cumulative Percent
Brand 1
Brand 2
Brand 3
Brand 4
Brand 5
Processing inductry
Processing industry
1
1
1
1
1
10496
32
0,01
0,01
0,01
0,01
0,01
70,68
0,22
1
2
3
4
5
10501
10533
0,01
0,01
0,02
0,03
0,03
70,71
70,92
Retail
4318
29,08 14851
100
Table 57. The recordings of the variable "Date of sampling" in the CHEMICAL datasheet.
Date of sampling Frequency Percent Cumulative Frequency Cumulative Percent
03JAN10:00:00:00
04JAN10:00:00:00
46
38
0,25
0,21
46
84
0,25
0,46
05JAN10:00:00:00 2
0,01
86
0,47
Table 58. The recordings of the variable "Lot number" in the CHEMICAL datasheet.
Table 59. The recordings of the variable "Sampling strategy" in the CHEMICAL datasheet.
Sampling strategy Frequency Percent Cumulative Frequency
Cumulative Percent random
14851
100
14851
100
Table 60. The recordings of the variable "Sampling method" in the CHEMICAL datasheet.
Table 65. The recordings of the variable "Method of sample size reduction" in the CHEMICAL datasheet.
Method of
sample size
reduction
Frequency Percent Cumulative
Frequency
Cumulative Percent
MSD1
Mixing
3342
32
97,35
0,93
3342
3374
97,35
98,28
na
59
1,72 3433
100
Table 66. The recordings of the variable "Sub-sample B code" in the CHEMICAL datasheet.
Sub-sample B code Frequency Percent CumulativeFrequency CumulativePercent
L.8/CS1/SS1/F1
L.8/CS1/SS1/F6
L.8/CS1/SS2/F1
L.8/CS1/SS2/F6
L.8/CS2/SS1/F1
2
2
2
2
2
6,25
6,25
6,25
6,25
6,25
2
4
6
8
10
6,25
12,5
18,75
25
31,25
L.8/CS2/SS1/F6
2
6,25
12
37,5
Table 67. The recordings of the variable "Mass of subsample B, kg" in the CHEMICAL datasheet.
Mass of subsample B, kg Frequency Percent Cumulative Frequency Cumulative Percent
5
32
100 32
100
Table 79. The first four recordings of the variable "Recovery %" in the CHEMICAL datasheet.
Table 80. The recordings of the variable "Result corrected for recovery" in the CHEMICAL datasheet.
Table 81. The recordings of the variable "Relative uncertainty of analysis" in the CHEMICAL
datasheet.
Table 82. The recordings of the variable "Transport" in the CHEMICAL datasheet.
Table 83. The recordings of the variable "Sub-sample A code" in the CHEMICAL datasheet.
Table 84. The recordings of the variable "DATASET" in the CHEMICAL datasheet.
ANNEXES
Deliverable 7.1 database
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VILLAGE OF NELSON REGULAR MEETING - AGENDA
JANUARY 11, 2017 @ 7:00pm
Roll Call Approve Minutes Tony Klein - Garage Permit Corey - Website And Pictures Bruce - Health Insurance Village Payroll Not ACH Baker Tilly Report Candidacy For April Election Clerk/Treasurer Can Be Appointed Any New Business Treasurer's Report Adjournment
Cindy Hanson Village Clerk
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Evolving Specification Engineering
Dusko Pavlovic, Peter Pepper, Doug Smith
Email: {dusko,[email protected], [email protected]
Kestrel Institute and Technische Universität Berlin
Abstract. The motivation for this work is to support a natural separation of concerns during formal system development. In a development-by-refinement context, we would like to be able to first treat basic functionality and normal-case behavior, and then later add in complicating factors such as physical limitations (memory, time, bandwidth, hardware reliability, and so on) and security concerns. Handling these complicating factors often does not result in a refinement, since safety or liveness properties may not be preserved. We extend our earlier work on evolving specifications (1) to allow the preservation of both safety and liveness properties under refinement, and (2) to explore a more general notion of refinement morphism to express the introduction of complicating factors.
1 Introduction
It is natural for developers to initially focus on essential requirements, and to first consider only “normal” behaviors when writing specifications. Gradually, through refinement, the developer can then strengthen the initial optimistic assumptions, and handle the exceptional, unusual and abnormal cases, as well as introduce stronger requirements.
However, this approach presents a conceptual problem for a formal specification framework. Refining a specification by catching some exceptional behavior may not preserve the liveness properties of the system. Refining a specification by explicitly handling some exceptional behavior may not preserve its safety properties. So the question is: which properties should the useful refinement operations preserve?
In the present paper, this problem is formalized and solved in the framework of Evolving Specifications (especs) [8]. In order to express and characterize the conditions under which the relevant safety and liveness properties are preserved, we extend the framework by temporal modalities. In order to capture the specific preservation properties, combining safety and liveness in a way suitable for exception handling, we introduce guard intervals, spanned between the conditions under which an operation may fire, and the conditions under which it must fire.
The capability to separate concerns for normal behavior from the exceptional cases opens an alley towards better understanding and implementing the mechanisms to introduce new safety and security policies in a system, and their semantic effects on a design.
1.1 A simple real-world example.
We illustrate our approach with a running example that is taken from the automotive domain: A modern car contains numerous devices such as radio tuner, CD player, navigation system, mobile phone and so forth. We presume here that all these devices are connected through a MOST bus such that the user interaction with all services can take place over a common microphone, amplifiers and graphical display. The MOST bus architecture [1] provides both synchronous and asynchronous channels (and also command channels) for the interconnection of devices. Throughout this paper we will use (admittedly oversimplified) features of the MOST architecture as illustrating examples. The basic concept is illustrated in Fig. 1: All devices – including the MOST bus itself – are considered as “components” (more or less like in UML).
**Fig. 1.** The modes and transitions of a trivial MOST system
The behavior of a component is described in the espec formalism. For the sake of illustration we consider an oversimplified two-device system consisting of a radio and a CD player. This leads to three general modes, namely *CD-Playing*, *Radio-Playing* and *Silent*. Therefore Fig. 1 essentially describes the system from the viewpoint of the amplifiers (or the MOST bus, which is responsible for the connections): At any given point in time either the radio is playing or the CD player or none of them. There are six transitions, for which we allow overloaded naming, as long as their source or target modes are different.
Each device requires four bus channels to connect with the amplifier. In a natural specification development process, we would like to be able to simply assume that four channels are available when transitioning, say, from *Silent* to *CD-Playing*. Only later would we deal with abnormal situations in which that is not the case, as illustrated in Section 5.
1.2 Background
In previous work we introduced Evolving Specifications (especs) as a framework for specifying, composing, and refining systems [8, 9, 7]. This framework extends our earlier work on the algebraic/categorical specification of software [6], which it still contains as a subframework. Especs add the dimension of stateful behavior, and thus leads into the realm of system specifications.
Modes and Transitions Although formally our evolving specifications resemble state machines, we prefer to speak of “modes (of operation)”, rather than states. A specification usually describes how a system evolves from mode to mode: e.g., a CD player, may be in the mode Playing, performing the various activities within that mode, until a suitable event triggers a transition into another mode, say Searching. From a semantic point of view, a mode $M$ can be viewed as a set of (finite or infinite) traces of states:
$$Beh(M) = \{ T \mid T = \langle S_1, S_2, S_3, \ldots \rangle, S_i \models Theory(M) \} \quad (1)$$
The modes $M_1, M_2, \ldots$ are specified by logical theories\footnote{We essentially identify the modes with their theories; therefore we purposely distinguish them only by the font.} $M_1, M_2, \ldots$. Therefore the semantics of a mode $M_i$ consists of all traces of states, which fulfill the corresponding theory $M_i$, as is expressed in (1).
The modes of a system are connected by transitions (as illustrated in Fig. 2). These transitions $t$ are usually guarded, which we denote here as $g \Rightarrow t$.
Note: Each mode is assumed to have an identity transition with guard true and transition id (nothing changes). This transition – which we do not draw explicitly in our illustrations – corresponds to “stuttering, i.e. to silent actions, contained in the traces of the mode, left to be specified in later refinements.
Semantically, a transition such as $g_1 \Rightarrow t_1$ in Fig. 2 usually means that, whenever the guard $g_1$ holds in some state $S_j$ of $M_0$, then the transition may be taken. But it can only be taken in states where the guard holds. For reasons to be seen in a moment we refer to these kinds of guards as safety guards. Safety guards represent very weak and liberal constraints: They may hold arbitrarily often during a mode without their transition being taken. In particular, guards $g_1$ and $g_2$ of competing transitions (such as in Fig. 2) need not be disjoint.
But there is a second view of guards, where a transition such as $g_1 \Rightarrow t_1$ in Fig. 2 means that, whenever the guard $g_1$ holds in some state $S_j$ of $M_0$, then the transition must be taken. Consequently, competing transitions must have disjoint guards $g_1$ and $g_2$. For reasons to become clear in a moment, we refer to guards of this kind as liveness guards.
These semantic intuitions have led to the formalism of evolving specifications [8]. Its main conceptual components are:
**Transitions.** The transition $M_1 \xrightarrow{g \Rightarrow t} M_2$ is captured as an interpretation $M_2 \xrightarrow{t} M_1$, which rewrites the theory $M_2$ in terms of the theory $M_1$:
$$M_2 \models q \implies M_1 \models (g \Rightarrow t(q)) \quad (2)$$
Within the category of specifications, such guarded transitions are modeled as opspans of interpretations in the form
$$M_1 \longrightarrow (M_1 \land g) \xleftarrow{t} M_2 \quad (3)$$
The formal details of categorical semantics of evolving specifications can be found in [8, 9]. Intuitively, the action $t$ performed by a transition can be construed as a predicate transformer: after the action $t$ is executed, any “postcondition” $q$, required by $M_2$, will be satisfied, provided the guard $g$ is satisfied.
Within this formal and intuitive framework, the guards allow two semantically relevant interpretations:
**Safety guards.** An occurrence of the transition $M_1 \xrightarrow{g \Rightarrow t} M_2$ in an execution $\mathcal{Q}$ is *enabled*, when $M_1 \land g$ is satisfied for the variable assignments at that point of the execution.
**Liveness guards.** An occurrence of the transition $M_1 \xrightarrow{g \Rightarrow t} M_2$ in an execution $\mathcal{Q}$ is *forced*, when $M_1 \land g$ is satisfied for the variable assignments at that point of the execution.
While the framework of [9] left the choice between these two interpretations to the designer, deciding if the refinements should preserve safety or liveness, in Section 3 below, we shall present a unified semantical framework, subsuming both of the above interpretations.
### 1.3 Refinement
The main point of especs is to provide a precise and convenient framework to specify the functions and behavior of software systems *incrementally*. The main point of their categorical semantics is to provide a formal underpinning for refinement and composition, in terms of morphisms and colimits.
The basic principle can be summarized as follows: As usual, a refinement adds details, but preserves certain properties. Hence, the theory increases and the set of models becomes smaller:
$$\left( Spec_a \xrightarrow{\varphi} Spec_c \right) \implies \left( Beh(Spec_a) \supseteq Beh(Spec_c) \right) \quad (4)$$
Due to the added details, one often refers to the original specification $Spec_a$ as the *abstract model* and to the refined specification $Spec_c$ as the *concrete model*.
As is illustrated in Fig. 3 it is in particular possible that several modes of the concrete model correspond to (“refine”) a single mode of the abstract model. And
also several concrete transitions may correspond to (“refine”) a single abstract transition.
Again, this semantic intuition can be made precise in the espec formalism. Consider the refinement $\varphi : \text{Spec}_a \longrightarrow \text{Spec}_c$ depicted in Fig. 3. As presented in [9], it consists of two components:
- a graph morphism $\varphi_0 : \text{Diag}_c \longrightarrow \text{Diag}_a$, assigning to each concrete mode an abstract mode, and to each concrete transition an abstract transition, which it refines;
- a tuple of traditional specification morphisms $\varphi^N_1 : \varphi_0(N) \longrightarrow N$, one for each concrete mode $N \in \text{Diag}_c$, telling how the specification of the mode $N$ refines the specification of the mode $\varphi_0(N)$.
For the formal details and intuitive justifications of this formalization, the reader is referred to [9]. Whereas this bipartite view of the structure preservation is rather familiar, e.g. from theory of institutions [3], the treatment of the guards under refinement is more intricate. The reason is that we need to distinguish safety guards and liveness guards — which leads to two corresponding types of espec morphisms.
**Safety morphisms** are required to preserve safety properties: the refinement and the composition steps along the safety morphisms must not introduce new traces — every trace in the concrete system is a refinement of (or is simulated by) some trace of the abstract system.
To preserve only the enabled executions, the specification components $s_1$ of a safety morphism $\varsigma : \text{Spec}_a \longrightarrow \text{Spec}_c$ must satisfy, for every concrete transition $M_c \xrightarrow{g_c \Rightarrow t_c} N_c$,
$$M_c \models (g_c \Rightarrow s_1(g_a)) \quad (5)$$
where $g_a$ is the guard of the $\varphi_0$-image of this transition.
**Liveness morphisms** are required to preserve liveness properties: the refinement and the composition steps along the morphisms must not introduce new deadlocks, but guarantee that every trace in the abstract system induces some refined trace in the concrete system.
To preserve all the forced executions, the specification components $\lambda_1$ of a liveness morphism $\lambda : Spec_a \rightarrow Spec_c$ must satisfy, for every concrete transition $M_c \xrightarrow{g_c \Rightarrow t_c} N_c$,
$$M_c \models (\lambda_1(g_a) \Rightarrow g_c) \quad (6)$$
It is well-known that every first order trace property can be expressed as a conjunction of a safety property and a liveness property [2]. In order to specify refinements preserving arbitrary first order properties of interest, it is therefore sufficient to assure that both safety and liveness properties are preserved. A general method to realize this by combining the two types of espec morphisms described above is presented in Section 3. To motivate it, we first summarize a more special problem that drives this paper.
### 1.4 The Problem to be Solved
In rare cases, the process of system design can be subdivided into refinement steps, where only safety or only liveness is preserved. In most cases, however, a property required from the system inextricably combines liveness and safety aspects. See [4] for examples).
Related to this is another issue: In many situations it is natural to first specify the *normal* behaviors of the system, under some simplifying assumptions, and to handle separately the *exceptional* behaviors, when these assumptions are not satisfied. The refinement step where the exceptions are recognized does not preserve liveness (since it blocks some traces), whereas the refinement step where they are handled does not preserve safety (since it adds new traces). The correctness of this design step therefore does not follow *a priori* from its structure.
This leaves us with two complementary tasks of refining the notion of espec refinement, respectively capturing
1. general properties, which combine safety and liveness properties, and
2. exception recognition and handling.
The solutions of these two tasks will be outlined in Sections 3 and 4.2. As a preparatory step we formalize in Section 2 the above remarks about the safety guards and the liveness guards by defining an obvious interpretation of temporal logics of especs.
2 Temporal evolving specifications (tespecs)
The temporal statements in an espec are expressed in a global language, common to all modes. The basic future formulas are
\[ \bigcirc q \quad \text{(next)} \]
\[ q \mathcal{W} r \quad \text{(waiting-for)} \]
We define the validity of a (temporal) formula \( q \) in a certain mode \( M_0 \) based on its validity for all runs \( M_0 \xrightarrow{} M_1 \xrightarrow{} M_2 \xrightarrow{} \ldots \) that begin with \( M_0 \):
\[ M_0 \models q \quad \text{means that } q \text{ holds for each run } M_0 \xrightarrow{} M_1 \xrightarrow{} \ldots \]
Using this interpretation over all runs \( M_0 \xrightarrow{} M_1 \xrightarrow{} M_2 \xrightarrow{} \ldots \) we can define the two basic formulas by
\[
M_0 \models \bigcirc q \iff M_1 \models q \\
M_0 \models q \mathcal{W} r \iff (\forall i. M_i \models q) \lor \exists k. (M_k \models r) \land (\forall j < k. M_j \models q)
\] (7)
Together with the usual connectors of classical logic, this gives the temporal modalities
\[
\Box q = q \mathcal{W} \bot \quad \text{(henceforth)}
\]
\[
\Diamond q = \neg \Box \neg q \quad \text{(eventually)}
\]
\[
q \mathcal{U} r = q \mathcal{W} r \land \Diamond r \quad \text{(until)}
\] (9)
Now we can formalize the statements from the Introduction. Actually, much stronger and more precise statements could be proved.
**Definition 1** A safety property is in the form \( \Box q \). A liveness property is in the form \( \Diamond q \).
The following lemma points to the way in which the (global) safety and liveness properties are logically related to the (local) guards of transitions.
**Lemma 1** (i) A system described by an espec satisfies a safety property \( \Box q \), if and only if in each execution (i) the property \( q \) is satisfied at the initial mode \( M_0 \), and (ii) it is invariant under every enabled transition, i.e.
\[
M_0 \models q \\
\text{and} \quad (M \models q \land g) \implies (N \models q), \quad \text{for all } M \xrightarrow{g \Rightarrow t} N
\] (10)
(ii) Using the double-negation definition of liveness, we see that a system satisfies a liveness property \( \Diamond q \), if and only if in each execution either the property \( \neg q \) is not satisfied at the initial mode, or there is an enabled transition, where \( \neg q \) is not preserved.
\[
M_0 \models q \\
\text{or} \quad (M \models \neg q \land g) \land (N \models q), \quad \text{for some } M \xrightarrow{g \Rightarrow t} N
\] (11)
Proposition 1 An espec morphism preserves safety (resp. liveness) properties if and only if it preserves all safety (resp. liveness) guards.
Note: The characterization of liveness in the definitions (8) and (9) and in Lemma 1(ii) reflects the liveness view of branching-time logic in the Manna-Pnueli style, where $\Diamond q$ essentially means that in every run there is at least one state where $q$ holds. If we would instead internalize the quantification over all runs into the definition of the validity, we would obtain the view of the temporal logic CTL*. This view represents the very weak property that there is at least one possible run containing at least one state, where $q$ holds. So our approach can be geared towards both variants without much effort.
3 Guard Intervals
In the previous sections we have been working with the concepts of safety and liveness guards, but without notational means to distinguish them. Since many specifications combine both safety and liveness aspects, the idea comes to mind to bring them together. This leads to the notion of guard intervals.
Definition 2 A guard interval is given in the form $\langle f, p \rangle$, where as an additional constraint the implication $f \Rightarrow p$ must hold.
- $f$ is the forcing guard, i.e. the liveness guard that determines which (good) things must happen;
- $p$ is the permitting guard, i.e. the safety guard that says which things are not bad and may happen.
Let $S$ be some state in a trace of $M_1$. Then the transition $M_1 \xrightarrow{\langle f, p \rangle \Rightarrow t} M_2$ is
- enabled if $S \models p$;
- forced if moreover $S \models f$.
The default liveness guard is false and the default safety guard is true. As we shall see next, under refinement the interval monotonically tightens, but not necessarily to a singleton. A similar notion of guard interval was introduced in [5], but with the intent that refinement would narrow the interval to a single specific guard in the target program, losing the distinction of may versus must enablement.
3.1 Refinement with guard intervals
Let us consider a refinement of guard intervals as depicted in Fig. 4 below. When will it preserve both liveness and the safety? The answer is a direct consequence of equations (5) and (6) in Section 1.3:
– The forcing guard $f$ has to be weakened;
– The permitting guard $p$ has to be strengthened.
Together with the constraint of Def. 2 this is captured formally as follows:
$$\mathcal{M}_c \models \varphi_1(f_a) \Rightarrow f_c \Rightarrow p_c \Rightarrow \varphi_1(p_a)$$
(12)
As a consequence, the refinement causes the guard interval to shrink, which in turn means that there are fewer behaviors in which the transition is taken.
The effect of a nontrivial liveness guard (i.e. not always false) therefore is to force the inclusion of the transition in all refinements.
If liveness properties are proved relative to the liveness guards (forced transitions) then since the liveness guards are only weakened under refinement, they will be preserved under any refinement. Similarly, if safety properties are proved relative to the safety guards (enabled transitions) then since the safety guards are only strengthened under refinement, they will be preserved under any refinement.
This extension of the espec formalism by the pairs of guards $\langle f, p \rangle$ is easily seen to be yet another instance of the abstract framework of [9]. The procedure of adjoining guards to the category Spec of specification, described in section 3 of that paper, only needs to be modified by taking
$$\mathbb{G}(K, M) = \{ \langle f, p \rangle \in L^2_K \mid K \land f \Rightarrow M \Rightarrow K \land p \}$$
Defining the espec morphisms as above then allows capturing the suitable combinations of safety and liveness properties, expressible by the guard intervals. The language of especs with guard intervals is more expressive than the ordinary guarded language, as it can express certain combinations of temporal modalities. The exact characterization of its expressiveness appears to be nontrivial.
Since every first order trace property can be expressed as an intersection of a safety and a liveness property[2], i.e. in the form $\Box q \land \Diamond r$, then if we set the guard intervals in an abstract espec appropriately, we can be sure that espec morphisms that preserve guard intervals will also preserve arbitrary properties.
**Proposition 2** An espec morphism with guard intervals preserves all first order properties.
4 “Normally” Modality
If one asks an engineer for an explanation of a system (be it existing or planned), one usually gets a statement of the kind “Disregarding pathological borderline cases, the normal behavior is . . .”. In other words, there is a healthy and clear distinction between the essential purpose of the system and all the nitty-gritty details of possible complications and unwanted effects.
But as soon as one tries to transfer this principle to the rigorous world of mathematical specifications, one runs into a severe problem. If one specifies the essential features without explicitly mentioning the absence of all exceptional situations, one obtains inconsistent formulas. Experience shows that this leads to “formal noise” that exceeds the specification proper by an order of magnitude.
Therefore we introduce a special operator normally, denoted by $\underline{N}$ that shall help us to overcome this deficiency. We could define this operator as some kind of modality, but our framework allows us to introduce it as a simple abbreviation.
**Definition 3 (Normally)** The normally operator $\underline{N}$ is an abbreviation for an uninterpreted guarding predicate $n$:
\[
\underline{N} \text{ property} \quad \text{abbreviates} \quad n \Rightarrow \text{property}
\]
\[
\underline{N} \text{ guard} \Rightarrow \text{transition} \quad \text{abbreviates} \quad n \land \text{guard} \Rightarrow \text{transition}
\]
Note that there is a fresh predicate symbol $n$ for each occurrence of the operator $\underline{N}$.
As a shorthand notation we may qualify a whole specification or a whole mode or transition with the normally operator. This means that every single axiom and transition is implicitly preceded by the operator $\underline{N}$.
In the later course of the development of the model this variable $n$ can be made explicit and then be more and more concretely interpreted by giving axioms for it. This way, one can successively add exception handling to an originally “purely optimistic” model.
The development of a specification is not finished until all normally operators have been removed through proper refinements. (This is a pragmatic development guideline, not a theoretical requirement.)
Together with our concept of refinement, this operator stratifies specifications considerably. The following program illustrates our use of the normally operator.
```
ESPEC Player IS
...
MODE Playing IS
$\underline{N} \#(\text{channels}) = 4$
...
END-ESPEC Player
```
This specification says that an active CD player “normally” has four channels available for streaming (thus enabling stereo). However, there may be situations in which the MOST bus does not have enough free channels. Then we have to take appropriate measures in order to build a workaround (e.g. changing to
But we do not want to clutter our specification of the essential behavior with that kind of exception handling in the early stages of our development. These kinds of complications need to be worked into the specification at some later stage – and it needs to be done in a systematic way; this is achieved in our approach by employing suitable refinement morphisms.
4.1 Refinement of “Normally”
Many of the occurrences of the normally operator \( \mathbb{N} \) can be refined by the standard mechanisms developed so far. Since the operator usually corresponds to the addition of uninterpreted predicate symbols, we simply need to define axioms that interpret these symbols in order to make the specification more concrete. This is a classical refinement morphism.
However, there is one additional activity that we need to add for purely pragmatic reasons, even though it partly conflicts with our notion of refinement morphisms: If in a specification \( \text{Syst} \) a whole transition is qualified as “normally”, i.e. \( \mathbb{N}(\mathcal{M} \xrightarrow{g \Rightarrow t} \mathcal{N}) \), then the designer often wants to express the fact that there may be further transitions out of \( \mathcal{M} \), which are not yet relevant at this stage of the development.
A later refinement \( \text{Syst}' \) may then add another transition \( \mathcal{M} \xrightarrow{g' \Rightarrow t'} \mathcal{K} \) out of \( \mathcal{M} \). The problem is that this need not correspond to any transition of the original specification \( \text{Syst} \). Hence, the mapping \( \varphi_0 \) (see Section 1.3) is not a proper diagram morphism.
There are a number of ways out of this dilemma. In the next section we show a special instance of this paradigm in order to demonstrate how the principal mechanism works.
4.2 Especs of exceptions
The normally operator \( \mathbb{N} \) allows a relatively fine-grained qualification of those aspects that are in the core of a system (as opposed to borderline cases such as errors or rare events). However, it does not really help to solve another unpleasant feature of real systems: exceptions.
Since exceptions can happen anywhere and anytime, the whole specification would have to be qualified by \( \mathbb{N} \), meaning that every single axiom, mode and transition is qualified as “normally”. This would make the refinement effort to successively eliminate all occurrences of \( \mathbb{N} \) unbearable. Hence we need other means to systematically cope with this kind of global pathology.
Raising an exception interrupts some existing computation flow, and therefore may not preserve liveness properties. Catching an exception introduces some new computation flows, and therefore may not preserve safety properties. That is why imposing policies, to distinguish normal behaviors and to handle exceptional behaviors, is a challenge for systematic system design.
More precisely, we are given a basic system \( \text{Syst}_\mathbb{N} \) satisfying a behavior \( B \) under “normal” circumstances, i.e. as long as there are no exceptions: \( \text{Syst}_\mathbb{N} \models B \).
From this system we want to derive a system $\text{Syst}_E$ satisfying $B$ whenever the norm $\neg E$ (no exceptions) is satisfied, otherwise satisfying the handling requirement $H$. Formally, we require:
$$\text{Syst}_E \models (\neg E \Rightarrow B) \land (E \Rightarrow H)$$ \hspace{1cm} (14)
This is realized by building system $\text{Syst}_E$ such that
$$\text{Syst}_E \models (\neg E \land B) \ W \ (E \land H)$$ \hspace{1cm} (15)
The system $\text{Syst}_E$ is systematically obtained from $\text{Syst}_N$ as follows:
- the modes of $\text{Syst}_E$ are:
- the modes of $\text{Syst}_N$,
- an adjoined *handling* mode $H$,
- the transitions of $\text{Syst}_E$ are:
- for each transition $M \xrightarrow{(f,p)\Rightarrow t} N$ in $\text{Syst}_N$ a transition $M \xrightarrow{(f,\neg E \land p)\Rightarrow t} N$ in $\text{Syst}_E$, provided $f \Rightarrow \neg E$, and
- for each mode $M$ of $\text{Syst}_N$ a new transition $M \xrightarrow{E \Rightarrow \hat{t}} H$ in $\text{Syst}_E$, where $\hat{t}$ initializes the variables of $H$.
**Proposition 3** $\text{Syst}_E$ satisfies (15) and hence (14).
As can be seen here easily, this is a global treatment of a global normally operator: Such an operator implicitly qualifies all modes and transitions by $N$. And the above construction simply refines all the different predicate symbols (to which these $N$ operators correspond) by one single predicate $\neg E$.
The question is: *What kind of espec morphism supports refinements in the form* $\text{Syst}_N \longrightarrow \text{Syst}_E$? The problem is that the mode $H$, adjoined in $\text{Syst}_E$ does not arise from any mode present in $\text{Syst}_N$.
One possible answer is to first extend $\text{Syst}_N$ by an *unreachable* mode $H$, with a transition from each mode $M$, but guarded by $\bot$. Such an *unreachable abstraction* $\text{Syst}_N \longleftarrow \text{Syst}_\bot$ leads to an espec $\text{Syst}_\bot$ semantically equivalent to $\text{Syst}_N$; that is, both system have the same traces. So $\text{Syst}_N$ and $\text{Syst}_\bot$ satisfy the same properties.
On the other hand, $\text{Syst}_\bot$ can be refined to $\text{Syst}_E$. This refinement, of course, does not preserve safety, since $H$ is not unreachable in $\text{Syst}_E$. However, it is not hard to prove that
**Proposition 4** The span $\text{Syst}_N \longleftarrow \text{Syst}_\bot \longrightarrow \text{Syst}_E$, viewed as a generalized morphism, preserves liveness, and moreover it preserves all properties $B$ of $\text{Syst}_N$, relativized to $\neg E$, in the sense of (15).
5 Parameterized Especs: Modeling the Environment
In system design, the need arises to specify the properties and behavior of a component’s environment, including required behaviors, invariant properties, and required services. The correctness of the component’s behavior follows from the assumption that the environment behaves as specified, together with the internal structure and behavior of the component. This is sometimes referred to as the “rely-guarantee” paradigm. Parameterized especs neatly satisfy this need.
A parameter to an espec is an espec that models the environment – what behavior and properties the component expects of the environment, and what services it requires. The binding of a parameter to the environment is given by an espec morphism $\pi$ – the environment is expected to be a refinement of the parameter. The environment will typically have much more structure and behavior than is specified by the parameter, but it must have at least as much as is required for the correct operation of the component.
In our running example of the MOST bus this will typically lead to situations as depicted in Fig. 5. Each device has a *body specification* for the device proper and a *parameter specification* for its interface to the context; both are linked through a parameter morphism $\pi$. The interfaces are then linked to the overall system, i.e. the MOST bus, through refinement morphisms $\varphi$. This makes it relatively easy to add any number of components to some MOST system without running into an unmanageable combinatorial explosion of the size of the specifications and, above all, of the number of interconnections.
This raises the question of the refinement of parameterized specifications. Fig. 6 shows an example of such a refinement.
In the original abstract model an audio device is simply assumed to switch between the two modes *Silent* and *Playing*. Accordingly the environment is expected to consider the device as *Disabled* or *Enabled* (with the appropriate matchings).
However, in the MOST bus the enabling of a device is performed by a full-fledged *connection protocol*: In order to become playing, the device needs a number of channels to be allocated by the MOST bus. After having received them, the device still cannot play, since the channels also need to be allocated to the amplifiers. Therefore the device has to go into an intermediate mode *Ready*, while the environment is in the mode *Connecting*. (It is only by chance that the number of modes and transitions in the parameter and the body coincide in this example. In general they will be different.)
This refinement is realized by the morphism that is sketched in Fig. 6. However, this diagram only gives a rough idea of the construction, since it does not express the various compatibility constraints between the two parameter morphisms and the refinement morphism $\varphi$.
Consider the situation of Fig. 5 and the little program in Section 4. Let us assume that the parameter specification establishes $\mathbb{N} \#(channels) = 4$ in the mode *Enabled*.
Now consider the mode *CD-Playing* of the MOST system in Fig. 5 and suppose that it only contains the assertion $\#(channels) \geq 2$. What does this mean in our overall design?
Due to our various morphisms we need to establish the property
$$CD-Playing \models \mathbb{N} \#(channels) = 4 \quad (16)$$
This leaves us with the problem of establishing the property (with an uninterpreted symbol $n$)
$$\#(channels) \geq 2 \models n \Rightarrow \#(channels) = 4 \quad (17)$$
So the further refinements must add interpretations to $n$ that allow us to complete this required proof. In practice this means that upon connection establishment the CD player needs to obtain the required number of channels from
the MOST system, which is stored in a local variable $chNr$. Then $n$ simply is refined to $chNr = 4$. The span construction of Proposition 4 adds a new transition to a handler mode for the case when $chNr < 4$.
6 Conclusion
The methodology that we have presented in this paper has a number of benefits. It allows the systematic incremental development of models as opposed to the predominant current practice of creating monolithic models in a more or less informally crafted process. Moreover, the resulting models are formally specified, which allows not only automatic code generation (at least of prototypes), but also supports all kinds of analyses, ranging from logical consistency or completeness checks to plain testing.
With respect to the underlying formalism, a lot of work still needs to be done. For example, we currently study different approaches to the role of the “normally” operator and its refinement. Also, the role of guard refinement in the context of automotive applications needs to be assessed in greater detail, in particular with respect to liveness vs. safety preservation. Moreover, the role of (dynamic) addition and deletion of components needs to be further investigated. Yet another challenge is to provide a more convenient notation that will be more readily accepted by engineers.
References
1. The MOST cooperation. http://www.mostcooperation.com/home/index.html.
2. B. Alpern and F. B. Schneider. Defining liveness. Information Processing Letters, 21:181–185, 1985.
3. J. A. Goguen and R. M. Burstall. Institutions: Abstract model theory for computer science. Journal of the ACM, 39(1):95–146, 1992.
4. Huttel and Larsen. The use of static constructs in a modal process logic. In LFCS: The 1st International Symposium on Logical Foundations of Computer Science, 1989.
5. J.Fiadeiro, A.Lopes, and M.Wermelinger. A mathematical semantics for architectural connectors. In FASE-03, LNCS 2793, pages 190–234, 2003.
6. Kestrel Institute. Specware System and documentation, 2003. http://www.specware.org/.
7. D. Pavlovic, P. Pepper, and D. R. Smith. Colimits for concurrent collectors. In N. Dershowitz, editor, Verification: Theory and Practice: Festschrift for Zohar Manna, pages 568–597. LNCS 2772, 2003.
8. D. Pavlovic and D. R. Smith. Composition and refinement of behavioral specifications. In Proceedings of Sixteenth International Conference on Automated Software Engineering, pages 157–165. IEEE Computer Society Press, 2001.
9. D. Pavlovic and D. R. Smith. Guarded transitions in evolving specifications. In H. Kirchner and C. Ringeissen, editors, Proceedings of AMAST 2002, volume 2422 of Lecture Notes in Computer Science, pages 411–425. Springer Verlag, 2002.
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HER-2/neu Gene Amplification in ParaffinEmbedded Tissue Sections of Meningioma Patients
Meningiom Olgular›na ait Parafin Blok Doku Kesitlerinde HER-2/neu Gen Amplifikasyonu
ABSTRACT
AIM: Meningiomas arise from the meningoendothelial cells and are one of the most common tumors of the central nervous system. The HER-2/neu gene is located on the 17q11.2-q12 chromosome region and encodes an epidermal growth factor receptor. HER2/neu gene amplification and/or over expression have been studied most widely in breast carcinomas. Previous studies have shown the importance of HER-2/neu gene amplification on the prognosis of meningioma cases. In this study, we aimed to detect HER-2/neu gene copy number in archive materials of 55 meningioma patients by fluorescent in situ hybridization (FISH).
MATERIAL and METHODS: The patients included in the study had undergone surgery in the neurosurgery department of our hospital between 1999 and 2002. Tissue samples were classified histologically according to WHO 2007 guidelines. Interphase FISH was performed on 3 to 4μm thick paraffin embedded tissue sections for the detection of HER2/neu gene amplification status.
RESULTS: We found HER-2/neu gene amplification in 7 (12.73%) patients. Another 2 patients had only one signal for the HER-2/neu region. We confirmed this finding by a second hybridization with the chromosome 17p13.1 (p53) probe.
CONCLUSION: According to our results, HER-2/neu amplification could be regarded as an additional genetic factor playing role in meningioma pathogenesis together with known chromosomal abnormalities.
KEYWORDS: HER-2/neu, Gene Amplification, Meningioma
ÖZ
AMAÇ: Meningiomlar meningoendotelyal hücrelerden kaynaklanan, merkezi sinir sisteminin en sık tümörlerindendir. HER-2/neu geni 17. kromozomun q11.2-q12 bölgesinde yerleşik epidermal büyüme faktörü reseptörü kodlayan gendir. HER-2/neu gen amplifikasyonu ve/ veya fazla gen ifadelenmesi en sık meme karsinomlarında çalışılmıştır. Önceki çalışmalarda HER-2/neu gen amplifikasyonunun meningiom olgularının prognozundaki önemi vurgulanmıştır. Bu çalışmada 55 meningiom olgusunun arşiv materyalinde floresan in situ hibridizasyon (FISH) yöntemi ile HER2/neu gen kopya sayısını belirlemeyi hedefledik.
YÖNTEM ve GEREÇ: Çalışma kapsamına 1999-2000 yılları arasında Beyin Cerrahisi Anabilim Dalında opere edilen olgular dahil edildi, Doku örnekleri histolojik olarak DSÖ 2007 kılavuzuna göre sınıflandırıldı. HER-2/neu gen amplifikasyonunun belirlenmesi amacıyla 3-4 μkalınlığındaki parafin blok doku kesitlerinde interfaz FISH yöntemi uygulandı.
BULGULAR: HER-2/neu gen amplifikasyonu 7 olguda (%12.73) gözlendi. Diğer iki olguda HER-2/neu bölgesi için tek sinyal gözlendi. Bu bulgu 17p13.1(p53) bölgesine özgü prob ile ikinci bir hibridizasyon ile doğrulandı.
SONUÇ: Bulgularımız ışığında HER-2/neu gen amplifikasyonunun meningiom patogenezinde bilinen kromozom anomalileri ile birlikte rol oynayan ek bir genetik faktör olarak değerlendirilebileceğini düşündük.
ANAHTAR SÖZCÜKLER: HER-2/neu, Gen amplifikasyonu, Meningiom
Özge ÖZER 1
Feride I. fiAH‹N 2
Fatih AYDEM‹R
3
Özlem ÖZEN 4
Zerrin YILMAZ 5
Nur ALTINÖRS 6
1,2,5 Baskent University Faculty of Medicine, Medical Genetics, Ankara, Turkey
4 Başkent University Faculty of Medicine, Pathology, Ankara, Turkey
3,6 Başkent University Faculty of Medicine, Neurosurgery, Ankara, Turkey
Received : 13.01.2009
Accepted : 26.02.2009
Correspondence address:
Feride I. ŞAHİN Baskent University Faculty of Medicine, Department of Medical Genetics Kubilay Sok. No: 36, 06570 Maltepe
Ankara-Turkey
Phone : +90 312 232 44 00/302
Fax: +90 312 231 91 34
E-mail : [email protected]
INTRODUCTION
Meningiomas are common tumors of the central nervous system that arise from meningoendothelial cells of the spinal cord and brain. Meningiomas account for 30% of all primary brain tumors with an adjusted annual incidence of 2.3 per 100 000 individuals (1). These tumors have been most commonly reported in elderly patients with peak incidence in the seventh decade of life. There is a clear bias towards women with a female to male ratio of 2:1. Spinal meningiomas have an even greater predilection for females with a ratio of 10:1 (10).
Most meningiomas are slow-growing benign lesions and are typically associated with symptoms of gradually increasing intracranial pressure. Although the majority of these tumors are histologically benign, meningiomas have shown significant rates of recurrence, morbidity and mortality in studies with long-term follow-up (3). Clinical progress is difficult to predict. The World Health Organization (WHO) classifies meningiomas into three histological grades; grade I (benign), grade II (atypical), grade III (anaplastic) in accordance with the clinical prognosis. Recurrence is a complication that influences the patient's clinical course significantly (3).
Meningiomas are among the first solid human tumors in which consistent genetic aberrations have been demonstrated. Although the molecular alterations associated with progression to grade II and grade III are still poorly understood at present, the most common chromosome aberration in benign meningiomas is the loss of chromosome 22. Partial or complete loss of the short arm of chromosome 1 is the second most common aberration in meningioma and appears to characterize an early step in the progressive loss of chromosomal material in histologically atypical and anaplastic meningiomas (5).
HER-2/neu (also known as c-erB-2 or HER2) oncogene is the member of the epidermal growth factor receptor family. HER-2/neu encoded p185 protein is a receptor tyrosine kinase that can be associated with multiple signal transduction pathways. It has been found to be over-expressed in many different types of human malignancies, notably breast, ovarian, gastric, pancreatic, prostatic, colorectal, cancers of the female genital tract, and also recently, lung cancer (2,7,9).
In this study, we aimed to investigate HER-2/neu gene amplification by fluorescence in situ hybridization (FISH) in meningiomas to evaluate its prognostic value in the behavior of the disease.
PATIENTS and METHODS
Patients
Paraffin-embedded tissue sections of meningiomas from 55 patients who had undergone surgery at the Department of Neurosurgery between 1999 and 2002 were included in the study. The study was approved by the Institutional Clinical Research Ethics Committee. Of the patients, 43 were female and 12 were male with a mean age of 54.63. The histopathological diagnosis of meningioma had been established by standard light-microscopic evaluation of sections stained with hematoxylin and eosin in each case. The sections of each case were reevaluated using the World Health Organization (WHO) 2007 criteria for brain tumor classification.
FISH Studies
Interphase FISH was performed on 3 to 4 μmthick paraffin embedded tissue sections obtained from all patients for the detection of HER2 gene amplification. The tissue sections were placed on poly-L-Lysine coated slides and deparaffinized with a procedure that was slightly modified than previously described. After deparaffinization at 56°C overnight, xylene dehydration in alcohol, pepsin digestion and fixation of slides, denaturation and hybridization were carried out according to the manufacturer's information for each probe in the HyBrite denaturation/ hybridization system for FISH (Vysis Inc., IL). Slides were denatured in 70% formamide, 2 x SSC at 75°C for 3-5 min and the probe [Chromosome 17q12 (HER-2/neu)/ alphasatellite 17 cocktail, dual color, direct labeled (Oncor, Qbiogene, UK)] was denatured at 96°C for 5 min. Hybridization was carried out at 37°C for 14-16 h. The slides were then washed in posthybridization wash buffer at 65°C for 5 min and counterstained with DAPI.
Signals were counted in at least 200 cells for both the HER-2/neu gene and chromosome 17 centromere signals under oil immersion at x1000 magnification using the recommended filters. Results were expressed as the ratio of HER-2/neu signal (orange) to centromere 17 signal (green). The expected ratio is 1; which means that there is no gene amplification and a ratio of signals ≥2 is regarded as Her2 /neu gene amplification.
RESULTS
Paraffin block sections from 55 patients with different types of sporadic meningiomas were included in our study. According to the WHO classification, 83.65% of the tumors were classified as Grade I, 14.54% as Grade II (or atypical), and 1.81% as Grade III (or anaplastic) meningiomas.
We found increased HER-2/neu gene copy number in 7 patients (Figure 1). One patient was classified as grade 2 meningioma and another was Grade 3. Two patients had only one signal for the HER-2/neu region (Figure 2). We confirmed this finding by a second hybridization with the chromosome 17p13.1 (p53) (Vysis, UK) probe. The results and clinical features of the patients with FISH findings are shown in the Table and Figure 2.
DISCUSSION
The potential role of HER-2/neu amplification status is an indicator of choice for targeted therapeutic regimens in cancer patients. In a previous study, we showed that HER-2/neu status should be determined in breast cancer patients when planning therapy regimens and during follow-up (7).
There are only a few studies of HER-2/neu expression in meningiomas. In one study, HER2/neu expression levels were evaluated with different methods and it was concluded that the over-expression of HER-2/neu protein is associated in some meningiomas with an increased number of HER-2/neu gene copies (1).
Table I: Demographic characteristics of Her2/neu gene amplification detected patients and their tumor grades
M: Male, F: Female
About 80% of all meningiomas are slow-growing tumors of WHO grade I. The basic genetic mechanism underlying the development of benign meningiomas is alterations on the long arm of chromosome 22. We have previously shown that 22q deletions were found 72.2% of Grade I meningioma patients but suggested that there was no correlation of tumor recurrence with 22q deletions (11).
In this study, we found HER-2/neu gene amplification in 5 patients with Grade I, one patient with Grade 2 and one patient with Grade 3 meningiomas and we suggest that HER-2/neu gene amplification might have an impact on the different stages of oncogenesis of this tumor.
Previously, the rate of recurrence was found to be significantly higher in HER-2/neu positive meningiomas than in HER-2/neu negative
meningiomas. It is discussed that HER-2/neu might be an independent prognostic factor in foreseeing the recurrence of meningiomas (4). However, there was no HER-2/neu gene amplification in 2 patients with tumor recurrence in our study.
Atypical (Grade II) and anaplastic (Grade III) meningiomas constitute 15–20% and 1-3% of meningiomas, respectively. Complex genetic changes and molecular pathways might affect the progression from benign to atypical and anaplastic meningioma (5). These complex changes, when occurring in genes like TP53, NF1, RPS6KB1 which are situated on different parts of chromosome 17 and responsible for cell cycle control and growth, are thought to be associated with a worse prognosis in meningioma. Alterations such as gains, deletions and amplifications in these genes might be important in the malignant transformation of Grade 1 meningiomas (6,8). In our study we found HER2/neu gene amplification in one patient with Grade III meningioma, but our group is too small to associate results with disease progression.
In summary, although we found HER-2/neu gene amplification in meningioma patients, it is not easy to reach a conclusion that HER-2/neu amplification has an impact on disease clinical course in meningiomas due to the limited number of cases studied. Given the genetic heterogeneity of this disease, the investigation of HER-2/neu amplification along with frequent genetic changes would be valuable in enlightening the tumor biology and determining the prognostic factors.
REFERENCES
1. Alberto OrfaoSavagues JS, Tabernero MD, Mai´llo A, Espinosa A, Rasillo A, Díaz P, Ciudad J, López A, Merino M, Gonçalves JM, Santos-Briz A, Morales, F, Orfao A: Intratumoral patterns of Clonal Evolution in Meningiomas as Defined by Multicolor interphase fluorescence in situ hybridization (FISH). Journal of Molecular Diagnostics 6:317–325, 2004
2. Bacaksiz A, Sahin FI, Bilezikci B, Yilmaz Z: Determination of HER-2/NEU status in hepatocellular carcinoma cases, Genetic testing 12: 1-4, 2008
3. Louis DN, Ohgaki H, Wiestler OD, Cavenee WK, Burger PC, Jouvet A, Scheithauer BW, Kleihues P: The 2007 WHO Classification of tumours of the central nervous system. Acta Neuropathologica 114:97–109, 2007
4. Loussouarn D, Brunon J, Avet-Loiseau H, Campone M, Mosnier JF: Prognostic value of HER2 expression in meningiomas. An immunohistochemical and fluorescence in situ hybridization study. Human Pathology 37: 415- 421, 2006
5. Murakami M, Hashimoto N, Takahashi Y, Hosokawa, Y, Inazawa J, Mineura K: A consistent region of deletion on 1p36 in meningiomas: Identification and relation to malignant progression. Cancer Genetic Cytogenetic 140: 99-106, 2003
6. Riemenschneider MJ, Perry A, Reifenberger G: Histological Classification and molecular genetics of meningioma. Nature Neurology 5: 1045–1054, 2006
7. Sahin FI, Yilmaz Z, Yagmurdur MC, Atac FB, Ozdemir BH, Karakayali H, Demirhan B, Haberal M: Clinical findings and HER-2/neu gene amplification status of breast carcinoma patients pathology oncology research, 12: 211-215, 2006
8. Simon M, Baström JP, Hartmann C: Molecular genetics of meningiomas: From basic research to potential clinical applications. Neurosurgery 60: 787- 798, 2007
9. Varshney D, Zhou YY, Geller SA, Alsabeh R: Determination of HER-2 status and chromosome 17 polysomy in breast carcinomas comparing hercep test and pathVysion FISH assay. American Journal of Clinical Pathology 121: 70-77, 2004
10. Vogelstein B, Kinzler KW: Genetic basis of human cancer, MC Newyork: Graw Hill 2002
11. Yilmaz Z, Sahin FI, Atalay B, Ozen O, Caner H, Bavbek M, Demirhan B, Altinörs N: Chromosome 1p36 and 22qter deletions in paraffin block sections of intracranial meningiomas. Pathology Oncology Research 4: 224- 228, 2005
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Education Law Article 101.
Licensed Private Career Schools and Certified English as a Second Language Schools
§ 5001. Licensed private career schools
§ 5002. Standards for licensed private career schools
§ 5003. Disciplinary actions, hearings and penalties
§ 5004. Private school agent's certificate
§ 5005. Disclosure to students
§ 5006. Teachout plans
§ 5007. Tuition reimbursement account
§ 5008. Trust accounts
§ 5009. Duties of the commissioner
§ 5010. Advisory council
§ 5001. Licensed private career schools
5001(1). Schools required to be licensed. No private school which charges tuition or fees related to in- 1 struction and which is not exempted hereunder shall be operated by any person or persons, firm, cor- 2 poration, or private organization for the purpose of teaching or giving instruction in any subject or sub- 3 jects, unless it is licensed by the department. As used in this article: 4
5001(1)a. "licensed private career school" or "licensed private school" shall mean any entity of- 5 fering to instruct or teach any subject by any plan or method including written, visual or audio- 6 visual methods, and shall include any institution licensed or registered as a registered business 7 school or computer training facility on the effective date of chapter three hundred eighty-one of 8 the laws of two thousand twelve. Following such effective date, there shall be no distinction be- 9 tween institutions previously defined as "registered business schools" or "computer training fa- 10 cilities" and other licensed private schools, and any reference in law to a registered business 11 school or computer training facility shall be deemed a reference to a licensed private career 12 school. Institutions holding a valid business school registration on such effective date, including 13 computer-training facilities, shall have such registrations replaced by the commissioner, at no 14 cost, with licenses valid until the expiration date listed on such previous registration; 15
5001(1)b. "certified English as a second language school" or "certified ESL school" shall mean a 16 language school conducted for-profit which provides instruction in English as a second language 17 and which accepts no public funds and is certified pursuant to paragraph f of subdivision four of 18 this section; and 19
5001(1)c. "online education marketplace" shall mean a website or other internet-based online 20
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technology tool with which a licensed private career school or certified ESL school contracts for
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marketing or advertising services, or services in connection with the collection of tuition and/or fees, to the extent authorized in subdivision three of section five thousand four of this article.
5001(2). Exempt schools. The following schools are exempted from the licensing requirement of this
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section:
5001(2)a. institutions authorized to confer degrees in this state; 26
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5001(2)b. schools providing kindergarten, nursery, elementary or secondary education, except
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schools conducted for profit which provide instruction in English as a second language or prepa-
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ration for high school equivalency examinations to out-of-school youth or adults;
5001(2)c. schools operated by governmental agencies or authorities; 30
5001(2)d. schools which engage exclusively in training of students with disabilities as defined in 31
section forty-four hundred one of this chapter; 32
students execute a disclosure form as prescribed in paragraph c of this subdivision. Such admit- 97 ted students shall only constitute up to ten percent of the exempt program's total capacity. 98
5001(4). Application, renewal application and application fees. 99
5001(4)a. Application and renewal application for a license as a private career school required by 100 the commissioner shall be filed on forms prescribed and provided by the department. Except as 101 provided in subparagraph (iii) of paragraph e of this subdivision, each renewal application for a 102 private career school licensed pursuant to this section shall include an audited financial statement 103 audited according to generally accepted auditing standards by an independent certified public ac- 104 countant or an independent public accountant and statistical reports certified by the owner or op- 105 erator of the school, as required by the commissioner; provided, however, that the commissioner 106 shall accept a copy of a current financial statement previously filed by a school with any other 107 governmental agency in compliance with the provisions of any federal or state laws, or rules or 108 regulations if such statement contains all of the information required under this subdivision and 109 conforms to this subdivision's requirements of auditing, review and certification. Any required 110 audit of the financial statement shall be a condition of licensure and shall be paid for by the 111 school, and the results of the audit shall be forwarded to the commissioner. Applications not ac- 112 companied by the audits and reports required pursuant to this subdivision shall not be considered 113 for approval by the commissioner. Initial applications shall be accompanied by financial reports 114 as required by the commissioner. The applicant shall receive a written approval or denial togeth- 115 er with the reasons for a denial of such application. 116
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5001(4)b.
5001(4)(b)(i) An initial license issued pursuant to the provisions of this article shall be 118 valid for a period of two years. A renewal of license issued pursuant to the provisions of 119 this article shall be valid for a period of four years. 120
5001(4)(b)(ii) Every applicant and renewal applicant shall pay to the department a nonre- 121 fundable, nontransferable application fee. The initial application fee for new schools shall 122 be five thousand dollars, of which three thousand dollars shall accrue to the credit of the 123 proprietary vocational school supervision account and two thousand dollars shall accrue 124 to the tuition reimbursement account. For additional licensed locations of currently oper- 125 ating schools, the application fee shall be two thousand five hundred dollars, which shall 126 accrue to the credit of the proprietary vocational school supervision account. For renewal 127 applications, the fee shall be based on gross annual tuition income as determined by the 128 annual financial statements required in paragraph a of this subdivision for the most recent 129 school fiscal year, according to the following schedule: 130
GROSS ANNUAL TUITION INCOME
FEE
0-$199,999
$ 750.00
Such renewal fees shall accrue to the credit of the proprietary vocational school supervi- 131 sion account. If the evaluation of a particular course or facility requires the services of an 132 expert not employed by the department, the department shall retain such expert and the 133 school shall reimburse the department for the reasonable cost of such services. 134
5001(4)(b)(iii) Each school shall display, near the entrance to the school, the license 135 which has been issued to it. Such authorization shall be displayed only during the period 136 of its validity. 137
5001(4)(b)(iv) A school which has applied for a private career school license may request 138 candidacy status for one time only. Candidacy status shall not be issued to schools offer- 139 ing programs to train students to pass licensure examinations such as appearance en- 140 hancement tests, achieve nurse aide or nurse assistant certification, or pass examinations 141 leading to licensure in any other profession or occupation determined by the commission- 142 er to require full licensure status. Candidacy status shall allow a school to operate unli- 143 censed for an initial period of twelve months during the licensure application process, 144 which may be extended to a maximum, non-renewable period of eighteen months, under 145 the following conditions: 146
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5001(4)(b)(iv)(1) the prospective school submits a candidate school application fee, separate from the school application fee, of five thousand dollars which shall accrue to the credit of the proprietary vocational school supervision account;
5001(4)(b)(iv)(2) the school shall not represent that it is licensed or that its pro- 150 grams are approved through the department; 151
5001(4)(b)(iv)(3) to every prospective student, the school shall disseminate a 152 statement, provided by the department, that the facilities, instructors, and pro- 153 grams being provided have not been approved and are not under the department's 154 jurisdiction during the candidacy period. Such statement shall indicate that stu- 155 dents attending candidate schools shall have no recourse through the department's 156 student complaint process nor have any restitution available from the tuition re- 157 imbursement account. Students shall sign an attestation to the receipt of this 158 statement. The school shall retain the signed attestation and provide the student 159
195 196 197 198 199 200 201
tistical reports shall include, but not be limited to, enrollment, completion and placement data. The commissioner shall use such financial statements and statistical reports submitted for the purposes of licensure of schools, establishing fees or assessments pursuant to this article and determining standards pursuant to paragraph b of subdivision five of section five thousand two of this article. The attorney general, the comptroller and the president of the higher education services corporation shall have access to this information when it is necessary to perform their duties as required by state law.
5001(4)(e)(ii) Any school which received five hundred thousand dollars or more in gross 202 tuition in a school fiscal year shall be required to submit to the commissioner an annual 203 audited financial statement prepared in accordance with generally accepted accounting 204 principles for that fiscal year. In addition, any school which has a gross tuition of less 205 than five hundred thousand dollars in a school fiscal year but whose combined state and 206 federal student financial aid in such year equals one hundred thousand dollars or more 207 shall also submit an annual audited financial statement to the commissioner for that fiscal 208 year. 209
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5001(4)(e)(iii) Schools whose gross tuition is less than five hundred thousand dollars in a school fiscal year and which receive less than one hundred thousand dollars in state and federal student financial aid in a school fiscal year shall file with the commissioner an unaudited financial statement in a format prescribed by the commissioner, provided, however, that any such school shall file an audited financial statement the fiscal year after a reviewed financial statement is submitted. For such schools, audited financial statements are required every two years, at minimum, with reviewed financial statements allowed during the alternate year. Upon a determination by the commissioner that a school has submitted false or inaccurate statements or that a significant, unsubstantiated decline in gross tuition has occurred, the commissioner may require any such school to file an audited financial statement pursuant to this paragraph even during alternate years when reviewed statements would ordinarily be allowed.
5001(4)f. Alternate licensing provision. The commissioner shall issue regulations which define 222 alternate licensing or certification requirements for the following: 223
5001(4)(f)(1) correspondence schools in which all approved programs and courses are 224 under three hundred hours; 225
5001(4)(f)(2) schools which are eligible for exemption under this section but which elect 226 to be licensed; 227
5001(4)(f)(3) non-profit schools exempt from taxation under section 501(c)(3) of the in- 228 ternal revenue code whose programs are funded entirely through donations from individ- 229 uals or philanthropic organizations, or endowments, and interest accrued thereon; and 230
sioner, or of any similar statute, rule, regulation, order or determination of another juris- 264 diction pertaining to the licensure and operation of any educational or training program; 265 and 266
5001(5)(a)(4) Whether any school owned or operated by the applicant closed or ceased 267 operation and, if so, whether at the time of the closing the applicant was subject to a 268 pending disciplinary action, disallowance, fine or other penalty and whether it owed re- 269 funds to any government agency or students. 270
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5001(5)b. No application for any license pursuant to this article shall be denied by reason of dis-
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closure pursuant to this subdivision of the applicant, or any corporation, partnership, association or organization or person holding an ownership or control interest in such school, or any em-
ployee responsible in a supervisory capacity for the administration of student funds or govern- mental funds unless the commissioner makes a written determination that there is a direct rela-
tionship between one or more of such previous offenses and the license sought, or that issuance of the license would create an unreasonable risk to property or to the safety, education or welfare
of specific individuals or the general public. In making such determination, the commissioner shall be guided by the factors set forth in section seven hundred fifty-three of the correction law.
For purposes of this subdivision, "ownership or control interest" means: with respect to a school that is organized as or owned by a corporation, a position as an officer or director of such corpo-
ration; or, with respect to a school that is organized as or owned by a partnership, a position as a partner; or any other interest totaling ten percent or more, whether direct or indirect, in the total
equity or assets of such school.
5001(5)c. The commissioner may deny, suspend, revoke or decline to renew any license: (1) if the significance of the convictions or administrative violations warrant such action; (2) if the
commissioner determines that a school did not make any disclosure required by this subdivision;
or (3) if the commissioner determines that a school's financial condition may result in the inter-
289
ruption or cessation of instruction or jeopardize student tuition funds.
5001(6). If, during the period for which a license is granted, the commissioner determines that a 290 school's financial condition may result in the interruption or cessation of instruction or jeopardize stu- 291 dent tuition funds, the commissioner may, upon notice to the school, place the school on probation for 292 a period of no more than one year, during which time the school and the department must make efforts 293 to resolve the problems at the school. The school shall submit a report on its financial condition to the 294 commissioner within the time prescribed by the commissioner. Such report shall be in the form and 295 shall include content prescribed by the commissioner and shall be reviewed by the commissioner to 296 determine the school's financial viability. The commissioner may suspend or revoke the school's li- 297 cense, as well as require the cessation of student enrollment, upon a determination that the school's fi- 298 nancial condition continues to threaten its ability to educate students and/or the student tuition funds. 299 Alternatives for the school to demonstrate a fiscally sound operation may include securing and main- 300 taining a performance bond, payable to the commissioner, in an appropriate amount to eliminate any 301
§ 5002. Standards for licensed private career schools
5002(1)(b)(9) counseling provided to students.
5002(1)b-1(3) No school may enter into any contract or agreement with or receive any 410 students loan or financial aid funds from private entities, including, but not limited to, 411 banks, financing companies, and any other private lending sources unless the private enti- 412 ty has a disbursement policy that, at a minimum, meets the requirements of subparagraph 413 two of this paragraph. 414
5002(1)b-1(4) The term private entity referenced in subparagraphs two and three of this 415 paragraph shall not be construed to include a friend or family member of the student who 416 is not in the routine business of providing student loans or financial aid funds. The provi- 417 sion of such a loan or fund by a private entity shall also not include the payment of the 418 student's tuition or fees by use of a credit card. 419
5002(1)c. Notwithstanding any other provisions of this article to the contrary, the commissioner 420 shall define alternative educational and curriculum standards for any program of less than forty 421 hours designed exclusively for non-occupational, personal enrichment purposes. 422
5002(1)d. Admission of students under the ability to benefit provision. 423
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5002(1)(d)(1) Certification. Each school admitting students who do not possess at least a high school diploma or its equivalent shall certify to the satisfaction of the commissioner that such prospective students have been administered and passed an examination which has been approved by the commissioner to determine their ability to benefit from the chosen curriculum prior to admission to the curriculum or course of study. Such examination shall, whenever possible, be a nationally recognized test appropriate for the course of instruction which has been approved by the commissioner. The examination results of each such student who is admitted shall be made available to the commissioner at a time prescribed by the commissioner and, together with the student's original answer sheet, shall be maintained by the school in the student's permanent record. For any student failing to achieve the necessary score on such examination for enrollment, the school shall be required to provide such student with a listing of appropriate counseling and educational opportunities available to the student at no cost, as determined by the commissioner. Where appropriate, the commissioner may accept such other entrance requirement documentation such as prerequisite coursework, professional or vendor certifications, personal interviews, and/or attestations of equivalent knowledge in lieu of the examination requirement.
5002(1)(d)(2) Counseling. Each school offering curricula which admit students who do 441 not possess a high school diploma or its equivalent shall develop a plan to be approved by 442 the commissioner for the counseling of such students on an individual basis on matters 443 including but not limited to the student's ability to progress in the curriculum, the stu- 444 dent's financial aid rights and responsibilities, the availability of programs to earn a high 445
5002(6).
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5002(6)a. Teachers and directors.
No person shall be employed by a private career school as a director or teacher who is not li- 667 censed in such capacity by the department pursuant to regulations of the commissioner, which 668 shall take into consideration such factors as moral character, educational qualifications and prac- 669 tical experience. The application shall include a statement, signed by the president or chief exec- 670 utive officer of the school, certifying that to the best of his or her knowledge, the applicant is 671 able to meet the educational qualifications and practical experience set forth in the commission- 672 er's regulations. Such application shall be considered timely if mailed to the commissioner and 673 postmarked four days prior to employment at the school and must be completed within twenty 674 days thereafter; provided, however, that the commissioner may, for good cause shown, extend 675 the time within which to complete the application. When a complete application is made, the 676 commissioner shall act upon such application within thirty days. If no written denial is made 677 within the thirty days, the application shall be deemed to be approved until the commissioner 678 acts upon it or until the end of the term or semester, whichever occurs first. If a written denial is 679 made after the thirty day period, the commissioner may allow the applicant to teach at the school 680 for the remainder of the term or semester if the commissioner determines that the removal of the 681 teacher would not be in the best educational interest of the students. This subdivision shall not 682 apply to directors or teachers employed on or before July first, nineteen hundred seventy-two. 683 Teachers' licenses issued on or after the effective date of the chapter of the laws of two thousand 684 twelve which amended this paragraph shall be valid at all licensed private career schools for the 685 courses, curricula, or occupations indicated on the license. Teachers holding valid private school 686 teacher licenses valid at only one school location shall have them replaced, at no cost, with li- 687 censes valid at any licensed school in the same subject or subjects and with the same expiration 688 date as was listed on the previous teaching license. 689
690
5002(6)b. A school director shall have access to all student and school records which shall be
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maintained in accordance with this article and the regulations of the commissioner and shall make such records available to the commissioner or the commissioner's designee upon request
693
during an on-site school inspection.
5002(6)c. Notwithstanding paragraph a of this subdivision, a teacher who has been certified as an 694 instructor by a nationally recognized vendor as defined in commissioner's regulations may be 695 deemed qualified as an instructor by the department, provided such teacher shall only provide in- 696 struction in the course or courses for which he or she holds vendor's certification. A teacher au- 697 thorized by this paragraph will be subject to all licensing fees required by the department for li- 698 censed teachers. 699
700
5002(7). Advertising.
5002(7)a. The commissioner is authorized to commence a disciplinary proceeding pursuant to 701
this article for false, misleading, deceptive or fraudulent advertising pursuant to regulations 702 promulgated by the commissioner which shall be consistent with article twenty-two-A of the 703 general business law. The department shall issue guidelines as to appropriate advertising content. 704 In developing such guidelines, the department shall consider advertising for similar programs of- 705 fered by various educational institutions. In a disciplinary action or other proceeding, such guide- 706 lines shall not be presumptive evidence that particular advertising is appropriate. 707
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5002(7)b. Beginning on January first, two thousand, all schools shall include in their advertising,
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promotional material, or letterhead the statement "Licensed by the State of New York", and an accompanying symbol to indicate such status, issued by the commissioner pursuant to section
711
five thousand nine of this article.
5002(8). The higher education services corporation shall adopt rules and regulations to effectuate the 712 cessation of collection activities by lenders or by the corporation in cases in which a licensed private 713 career school at which the student enrolled has closed or ceased its teaching activities during the aca- 714 demic period for which the loan was made or guaranteed. 715
§ 5003. Disciplinary actions, hearings and penalties
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a student loan payment; provided, however, that no complaint may be filed after three years from the date of the alleged violation. The commissioner shall maintain a written record of each complaint that is made. The commissioner shall also send to the complainant a form acknowledging the complaint and requesting further information if necessary and shall advise the director of the school that a complaint has been made and, where appropriate the nature of the complaint.
5003(1)(c)(2) The commissioner shall within twenty days of receipt of such written complaint commence an investigation of the alleged violation and shall within ninety days of the receipt of such written complaint, issue a written finding. The commissioner shall furnish such findings to the person who filed the complaint and to the chief operating officer of the school cited in the complaint. If the commissioner finds that there has been a violation of this section, the commissioner shall take appropriate action.
5003(1)(c)(3) The commissioner may initiate an investigation without a complaint.
5003(1)(c)(4) Notwithstanding the provisions of subparagraph one of this paragraph or any other provision of this article to the contrary, a student at a candidate school shall have the right to file a written complaint from an alleged violation of the provisions of clause three of subparagraph (iv) of paragraph b of subdivision four of section five thousand one of this article that require disclosure of candidacy status and its implications and a signed attestation by the student, within two years of such violation. Upon a finding that such a violation has occurred, the candidate school shall be required to provide a refund of all monies and fees received from or on behalf of the student. Appropriate action shall also be taken against the candidate school pursuant to the provisions of subparagraph (iv) of paragraph b of subdivision four of section five thousand one of this article.
768
5003(2). Hearing procedures.
5003(2)a. Upon a finding that there is good cause to believe that a candidate school under the 769 provisions of subparagraph (iv) of paragraph b of subdivision four of section five thousand one 770 of this article, or a licensed school, or an officer, agent, employee, partner or teacher, has com- 771 mitted a violation of this article, the commissioner shall initiate proceedings by serving a notice 772 of hearing upon each and every such party subject to the administrative action. The school or 773 such party shall be given reasonable notice of hearing, including the time, place, and nature of 774 the hearing and a statement sufficiently particular to give notice of the transactions or occurrenc- 775 es intended to be proved, the material elements of each cause of action and the civil penalties 776 and/or administrative sanctions sought. 777
5003(2)b. Opportunity shall be afforded to the party to respond and present evidence and argu- 778 ment on the issues involved in the hearing including the right of cross examination. In a hearing, 779 the school or such party shall be accorded the right to have its representative appear in person or 780 by or with counsel or other representative. Disposition may be made in any hearing by stipula- 781
not to exceed three thousand five hundred dollars for any violation of this article, including a 813 school's failure to offer a course or program as approved by the commissioner. In the case of a 814 second or further violation committed within five years of the previous violation, the liability 815 shall be a civil penalty not to exceed seven thousand five hundred dollars for each such violation. 816
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5003(6)b. Notwithstanding the provisions of paragraph a of this subdivision, a hearing officer
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may recommend, and the commissioner may impose a civil penalty not to exceed seventy-five thousand dollars or double the documented amount from which the school benefited, whichever
is greater, for any of the following violations:
5003(6)(b)(1) operation of a school without a license in violation of section five thousand
822
one of this article;
5003(6)(b)(2) operation of a school knowing that the school's license has been suspended 823 or revoked; 824
5003(6)(b)(3) use of false, misleading, deceptive or fraudulent advertising; 825
5003(6)(b)(4) employment of recruiters on the basis of a commission, bonus or quota, 826 except as authorized by the commissioner; 827
828
5003(6)(b)(5) directing or authorizing recruiters to offer guarantees of jobs upon comple-
829
tion of a course;
5003(6)(b)(6) failure to make a tuition refund when such failure is part of a pattern of
830 misconduct; 831
5003(6)(b)(7) the offering of a course or program that has not been approved by the 832 commissioner; 833
5003(6)(b)(8) admitting students, who subsequently drop out, who were admitted in vio- 834 lation of the admission standards established by the commissioner, where such admis- 835 sions constitute a pattern of misconduct and where the drop out resulted at least in part 836 from such violation; 837
5003(6)(b)(9) failure to provide the notice of discontinuance and the plan required by 838 subdivision seven of section five thousand one of this article; or 839
5003(6)(b)(10) violation of any other provision of this article, or any rule or regulation 840 promulgated pursuant thereto, when such violation constitutes part of a pattern of mis- 841 conduct which significantly impairs the educational quality of the program or programs 842 being offered by the school. For each enumerated offense, a second or further violation 843 committed within five years, shall be subject to a civil penalty not to exceed one and one- 844 half times the amount of the previous violation for each such violation. 845
5003(6)c. In addition to the penalties authorized in paragraphs a and b of this subdivision, a hear- 846 ing officer may recommend and the commissioner may impose any of the following administra- 847 tive sanctions: 848
§ 5004. Private school agent's certificate
5004(2). Instruction, as contemplated by this section, shall be any plan or method for teaching any 919 subject or subjects in any form or manner, including correspondence or home study. 920
5004(3).
921
922
923
5004(3)(a) Exempted from the requirements of this section are persons acting solely for schools which are not required to be licensed or are specifically exempted from the licensing require-
ments of this article.
5004(3)(b)
5004(3)(b)(i) also exempted from the requirements of this section is an online education 924 marketplace as defined in paragraph c of subdivision one of section five thousand one of 925 this article, provided that the online education marketplace complies with each of the fol- 926 lowing: 927
928
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930
5004(3)(b)(i)(1) An online education marketplace shall not solicit, procure, or enroll any student for instruction in a licensed private career school or certified ESL school, as defined by the commissioner in regulations.
5004(3)(b)(i)(2) Upon receipt of any monies collected by an online education 931 marketplace from a prospective student for payment of tuition and/or fees, the 932 prospective student and the licensed private career school or certified ESL school 933 shall execute an enrollment agreement in accordance with regulations of the 934 commissioner. If an enrollment agreement is not executed, the monies shall be 935 promptly returned to the prospective student in a timeframe and manner pre- 936 scribed by the commissioner in regulations. 937
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940
941
5004(3)(b)(i)(3) If an enrollment agreement is executed, the online education marketplace shall forward the monies received from the prospective student to the licensed private career school or certified ESL school in a timeframe and manner prescribed by the commissioner in regulations.
942
943
944
945
946
947
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949
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5004(3)(b)(i)(4) An online education marketplace shall not receive from a student an amount greater than the tuition or fees to be charged by the licensed private career school or certified ESL school to the student, and shall separately account for monies received from the prospective student to be thereafter transferred to a licensed private career school or certified ESL school in payment of tuition or fees, and any remuneration and/or compensation received by the online education marketplace from a licensed private career school or certified ESL school in payment for services rendered to such school by the online education marketplace. The licensed private career school or certified ESL school shall also separately account for tuition or fees transferred to the school by an online education mar
§ 5005. Disclosure to students
§ 5006. Teachout plans
§ 5007. Tuition reimbursement account
school supervision account.
§ 5008. Trust accounts
5008(1). If the commissioner determines that a school has demonstrated a pattern or practice of failing
§ 5009. Duties of the commissioner
§ 5010. Advisory council
5010(1). An advisory council for licensed private career schools is hereby created for the purpose of
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A personal health and wellbeing plan for family, friends and carers
Julie Repper, Rachel Perkins and Sara Meddings
Piloted by Sussex Partnership NHS Foundation Trust and local organisations
INTRODUCTION
Supporting someone you care about who has mental health challenges can easily take over your whole life. It is tempting to think only of their needs and ignore your own. If this happens then it is not good for you and not good for the person you love and care about. Your health and wellbeing are important.
Many people find it helpful to draw up a plan for how they can look after themselves while supporting someone they love and care about. The purpose of this booklet is to help you to do this.
It makes some suggestions for things you might want to think about in drawing up a plan to look after yourself, but there is no set formula. Different people choose to develop their plans in different ways. Different people find different things helpful. You can develop the plan to suit you.
You may want to use it by yourself or ask someone to go through the plan with you, for example a friend, someone with similar experience of caring, or a member of the mental health team. Take your time on it and focus on the areas which are helpful for you. You don't need to do it all at once.
There are a number of things you might want to think about:
Your strengths and supports
It can be easy to focus on the negatives and what is stressful. Sometimes it is helpful to get a balance and remember positives. This might include reminders of your own strengths and what you do to support your relative with mental health challenges; and also how other people support you, including the person you care about. It can be helpful to think about who you can turn to about stressful situations.
Your health and well-being maintenance plan
Routines and remembering to look after ourselves or do things we like can help maintain our wellbeing. This might include things that are important to you and making time for these – as well as the things you need to do to keep yourself feeling afloat.
Your health and well-being 'first-aid kit'
Things that you can do to get yourself back on an even keel when you feel upset, angry, discouraged or stressed out. Just like first aid kits for bodily cuts and bruises, we also need one for the emotional cuts and bruises: the stresses and strains that threaten your mental well-being.
A plan for managing difficulties that arise and things that upset you
Sometimes we can predict the kinds of situations that get to us and think in advance about what to do about them. You can find more information about them; plan strategies to manage them and think about how to cope when things happen that knock you off balance, wear you down, upset or anger you … to stop them getting to you too much and keep them in perspective.
A plan for what to do when everything is getting too much for you
All of us have our off days when everything seems doubly difficult. At times like this it is easy for things to escalate from bad to worse so it is important to think about how you are going to look after yourself and get things back in balance. All of us sometimes get to the point when we have had enough, feel unable to cope and want to jack it all in. It can be helpful to become aware of the early signs that things are getting too much – sometimes people close to us may notice before we do. It is important to think about what you can do to cope at times like this and this may also be the time to ask for help. Asking for help can be difficult but if you are to carry on being able to support your loved one then it is important that you do so.
A plan for what I can do if you are in a total panic / crisis
Sometimes we can all get to a point where we are in a panic or crisis. It may be that the person you care about is in crisis or that you are now in a panic yourself perhaps because of them or for other reasons. Life can be stressful even without the added caring responsibilities and worries. At these times it is useful to have already thought about who to call, other possible supports and to have all the numbers in one place.
You might find it helpful to talk your plans through with someone you trust, a mental health worker and the person you support. If they know what gets to you and what helps they may be able to assist you in keeping on an even keel.
Remember, these plans are 'works in progress' you can amend them or add to them in the light of experience.MY STRENGTHS AND SUPPORTS
My strengths and what I value most about myself
This will be very personal to you. If it feels too much to start with you can always return to this later.
What I do to support my relative or friend with mental health challenges
This may include practical things like helping them budget or find somewhere to live; talking on the phone; being available in the background; financial support; supporting their independence; monitoring their wellbeing.
Particular things I want to communicate with the mental health team or others about how best to support the person I care about
There are probably things only you know about your loved one, including what helps them stay well or early signs of relapse. You may want to write these down and share them with the mental health team so that you do not have to be theonly one to remember them.
How the person I care for also helps me sometimes
Often people with mental health challenges also support their relatives and friends e.g. they may offer practical help with chores or caregiving, share specialist knowledge or skills, contribute financially or provide emotional support and be good at listening. Of course opportunities to contribute usually help self-esteem and wellbeing.
How other people help me and what I found helpful about them
For example. partner, friends, neighbours, colleagues, the mental health team.
Who I can talk to when I feel stressed
There may be different people you can talk with about different situations and stresses e.g. the person you care about with a mental health challenges, your partner, other family, friends, other relatives of people with mental health challenges, work colleagues, mental health team.
What other resources do I have
This might include other supports in relation to mental health or other aspects of life - other people, support structures at work, having enough money to take a break, spirituality.
MY HEALTH AND WELL-BEING MAINTENANCE PLAN
Things I need to do every day or week to keep on top of things
For example having a proper breakfast, having an hour to myself for reading, getting some exercise, setting aside time for household chores, speaking to friends……..
Things that are important to me outside my role of supporting the person I love and care about
Think about the things you enjoy and value like leisure activities, hobbies, work / career, religious/ spiritual activities, social activities, ‘me’ time ….
HOW AM I GOING TO FIT THESE IN AND WHAT HELP MIGHT I NEED?
When I will do the things I need to do and the things that are important to me
Do I need any help to do this (what? from whom?)
Are there friends or relatives you could ask, or maybe the person you care about could assist, or would be all right on their own for a while?
Monday
Tuesday
Wednesday
Thursday
Friday
Saturday
Sunday
Things I can do to get myself back on an even keel when I feel upset, angry, Discouraged or stressed out…..
For example. Have a cup of tea, get out of the situation (e.g. go out for a walk or even go to the toilet for a bit of peace and quiet), phone a friend, think about something I am looking forward to like my favourite TV programme, listen to music, relaxation exercises, take a long hot bath….
MY PLAN FOR MANAGING DIFFICULTIES AND THINGS THAT UPSET ME
Things that happen which make me feel hurt, angry, discouraged, stressed out
a. Things that the person you support does which get to you e.g. being rude, leaving the kitchen in a mess, doing nothing all day;
b. the mental health system e.g. stress of attending CPA meetings, ward rounds c. other things e.g. disagreement with your partner, things going wrong in the house; large bills arriving, stress at work.
What I will do to stop it getting to me too much when this happens What things have helped in the past? Maybe there are things in your ‘first aid kit’ that could help? Maybe more information about mental health symptoms or the system might help. Maybe you could ask someone you
trust for suggestions?
MY PLAN FOR WHAT TO DO WHEN EVERYTHING IS GETTING TOO MUCH FOR ME
MY PLAN FOR WHAT I CAN DO IF I AM IN A TOTAL PANIC / CRISIS
When the person I care about is in a crisis
Think about who is there to help and write down their numbers here in the plan e.g. crisis team, GP out of hours; mental health helpline; Samaritans; another person who also has a relative with mental health challenges; or a friend who has said you can phone if you need anything. Do they have a personal recovery plan or crisis or relapse plan?
People I can phone (and their numbers)
Other things I can do
When I am in a crisis myself
Think about who is there to help with other things that might lead you to feel you are in a crisis – this might include some of the same people as above but also some different people. It may also be different for different kinds of crises.
People I can phone (and their numbers)
Other things I can do
USEFUL CONTACTS
Correct at the time of going to press.
National
Samaritans
http://www.samaritans.org/ 08457 90 90 90
MIND
http://www.mind.org.uk
MIND info-line 0300 123 3393
Young Minds
http://www.youngminds.org.uk/
Alzheimers
http://alzheimers.org.uk/
Helpline: 0300 222 11 22
Re-think
http://www.rethink.org
0300 5000 927
Hearing Voices http://www.hearing-voices.org/
NHS Direct
http://www.nhsdirect.nhs.uk/ 0845 46 47
Local
The ROCK (Recovery Orientated Community Kit) is a community toolkit for developing and supporting social inclusion and recovery within Sussex. It is a useful tool to signpost you to other organisations and may be more up to date.
http://www.sussexpartnership.nhs.uk/service-users/wellbeing/rock
Local carers organisation:
Mental health team supporting your friend or relative:
Mental health line:
Sussex Mental Healthline: 0300 5000 101
Other:
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RB&B REALTY PRIVATE LIMITED
RB&B REALTY PRIVATE LIMITED led by SHANGRIL SHAILESHKUMAR PATEL and BONNY SHAILESHKUMAR PATEL is located in Ahmedabad and is a Private incorporated on Mar 18, 2019 . Classified as a Non-govt company and registered at Ahmedabad, its registration number is 107108 and its Corporate Identification Number is U70100GJ2019PTC107108 with an Active Current status.
RB&B REALTY PRIVATE LIMITED's registered address is Sec-1, Unit No.1, Ornet Park, Shilaj, Taluka:Daskroi, Village: Shilaj, AHMEDABAD Ahmedabad GJ 380059 IN and their Annual general meeting (AGM) was last held on - and as per their Ministry of Corporation Affairs records, balance sheet was filed on -, with an authorized share capital of 2,00,000 and its paid-up capital is 1,00,000.
Primary email address contact person is [email protected]
BASIC INFORMATION
SHARE CAPITAL INFORMATION
Authorized Capital:
200000
Paidup Capital:
100000
Number of Members (Applicable in case of company without Share Capital) : 0
LISTING & ANNUAL INFORMATION
CONTACT INFORMATION
Email Id:
[email protected]
Registered Office Address:
Sec-1, Unit No.1, Ornet Park, Shilaj, Taluka:Daskroi, Village: Shilaj,
AHMEDABAD Ahmedabad GJ 380059 IN
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SUNIL GAVASKAR
MAN OF THE MATCH
PROACTIVE
Dr M S Sunil builds homes for the needy in Kerala
ENCOUNTER
Romulus Whitaker’s rendezvous with creepy-crawlies
Tigers and more at Tadoba
Festive foods with a twist
Impact of the falling rupee on silvers
Whether you have a SIMPLE SPRAIN or you need a NEW KNEE
Our CENTRE FOR BONE AND JOINT will have you on your feet again in no time
WE HAVE SUCCESSFULLY PERFORMED
1668+ Joint Replacement Surgeries | 4753+ Arthroscopic Surgeries | 1864+ Spine Surgeries
Minimal Access Surgery | Computer-Aided Navigation Systems | Accuracy | Superior Long-Term Results
OFFERS EXTENSIVE EXPERTISE IN
Trauma | Paediatric Orthopaedics | Arthroscopic Surgery | Sports Orthopaedics
Joint Replacement | Spine Surgery | Rheumatology
SPECIALISED SERVICES
Autologous Chondrocytes for Articular Cartilage Repair
Autologous Osteoblasts and Stem Cells for Bone Repair in Avascular Necrosis
Platelet Rich Plasma for Musculotendinous Problems
Further Supported by Physical Medicine and Rehabilitation Programme to ensure that you get back home faster, healthier and happier
Kokilaben Dhirubhai Ambani hospital & medical research institute
Every Life Matters
A social initiative by
Four Bungalows, Andheri (W), Mumbai - 400 053
Appointments: +91 22 30696969 / 30666666 / 30999999
Web: www.kokilabenhospital.com / KokilabenHospital / KDAHMumbai / kokilabenhospital
Move for HEALTH
There is a greater India beyond our cities.
Today, there is a vast geographic divide between urban centres and the rest of the country in terms of access to even the most basic medical care, let alone specialised diagnosis and treatment. This is especially true when it comes to cancer, one of the biggest public health challenges of our time. In Maharashtra alone, which has the second highest incidence of cancer in the country, people—from silvers to the smallest of children—have little choice but to travel to large cities for treatment in the face of the greatest odds. And even when they do make it, affordability often becomes an acute concern. What good, then, is medical progress if it is the privilege of a few, rather than the prerogative of us all? After all, cancer doesn’t discriminate—and nor should we.
With this in mind, in 2016, we announced a life-affirming initiative to bridge the abyss between our cities and the hinterland by establishing 18 radiation, chemotherapy and diagnostic centres in Tier II and III towns in Western India. Now, with our first three centres—in Akola, Solapur and Gondia—ready to open their doors, we stand at the threshold of a new dawn for cancer care. These centres will be equipped with state-of-the-art technology and defined by the comprehensive care that defines Kokilaben Dhirubhai Ambani Hospital in Mumbai.
We are determined to leverage our expertise to ‘Contain, Combat and Conquer Cancer.’ This is no mere slogan but a goal for us all. Indeed, many types of cancer are curable if diagnosed in time. What’s more, in many instances, cancer can be kept at bay with the right lifestyle choices.
Exercise is one such choice, a key element of healthy ageing. And this year, close to 1,200 silvers displayed their commitment to stay active at Harmony’s Senior Citizens’ Run, held as part of the Airtel Delhi Half Marathon on 21 October. I salute them for their spirit and take this opportunity to thank Procam International, Nobel Hygiene, VLCC Wellness, Smith & Nephew Healthcare India, and the BSES Rajdhani Power and BSES Rajdhani Yamuna teams for their support, as well as M Damodaran, our guest of honour, for flagging off the race. And, of course, a special shout-out to the Harmony team for their tireless efforts in making the run a success.
Indeed, turning silver may not be a choice, but living healthy is. There’s no time like the present to get on your feet and take those first steps towards a more active life. Get moving—your life could depend on it.
A Harmony for Silvers Foundation Initiative
Harmony Celebrate Age—November 2018 Volume 15 Issue 6
Publisher Dharmendra Bhandari Editor Tina Ambani Executive Editor Arati Rajan Menon Associate Editor Sai Prabha Kamath Assistant Editor Rachna Virdi Special Correspondent Srirekha Pillai Chief Sub-Editor Natasha Rego Correspondents Sahil Jaswal, Sudakshina De Sarkar Design Consultant Jit Ray Studio Manager & Photographer Haresh Patel Senior Graphic Designer Dattaguru Redekar Production Manager Rohidas Adavkar Business Development: Consultant Shrenik Mehta Manager Vikaran Chauhan Assistant Manager Vijay Singh Website Coordinator Ajit Nair Editorial & Marketing Coordinator Johnsi Nadar
Registered Office: 502 Plot No. 91/94, Prabhat Colony, Santacruz (E), Mumbai - 400055 Correspondence address: Lower Basement - Kokilaben Dhirubhai Ambani Hospital, Four Bungalows, Andheri (W), Mumbai - 400053, Tel: 91-22-30972111 (Editorial), 30972107 (Marketing). Email: [email protected]
Printed and published by Dharmendra Bhandari on behalf of the owners, Harmony for Silvers Foundation. Printed at Thomson Press India Ltd, 18-35, Milestone, Delhi-Mathura Road, Faridabad-121007 (Haryana). Published at Reliance Energy Centre, Santacruz (East), Mumbai 400055. Disclaimer: The material provided by Harmony is not a substitute for professional opinions. Readers are advised to seek appropriate advice from qualified and licensed professionals in the concerned field. © Harmony for Silvers Foundation. All rights reserved worldwide. Reproduction in any manner is prohibited. Harmony does not take responsibility for returning unsolicited publication material. www.harmonyindia.org
Master batsman and former Indian cricket captain Sunil Gavaskar on the best innings of his life
Cover photograph: Haresh Patel
**features**
43. **Proactive**: Dr M S Sunil builds homes for the underprivileged in Kerala
46. **Encounter**: The charmed life of renowned herpetologist Romulus Whitaker
58. **Destination**: Tadoba Andhari is more than just a place for tiger-spotting
**columns**
32. **YOGA RX**: Shameem Akthar recommends ways to relieve tension on the upper back and ease shoulder pain
34. **IT’S NEVER 2 LATE**: International columnist Jack York on Nishad Lakhani’s unique senior living model of converting family homes into communal settings
38. **MONEY MATTERS**: Silvers are not insulated from the falling value of the rupee, writes economist Priya Desai
40. **NUTRITALK**: Wellness consultant Naini Setalvad brightens your festive season with simple changes to your lifestyle and eating habits
70. **OFF THE CUFF**: Raju Mukherji pays tribute to one of India’s greatest cricket captains Ajit Wadekar
**every issue**
7. **ORBIT**: News, views, people, research, trends and tips from around the world
65. **ETCETERA**: Culture, leisure, lifestyle, books, buzz and miscellany
82. **SPEAK**: Kiran Bajpai distributes free sanitary pads to women in villages near Gwalior
**WEB EXCLUSIVE** www.harmonyindia.org
**PROVING HIS METTLE**
The first Indian Army officer to complete the Ironman Triathlon, Major General Vikram Dogra believes life has endless potential
Total number of pages in this issue of Harmony-Celebrate Age, including covers: 84
UNMUKT FESTIVAL
LIFESTYLE SOLUTIONS FOR SENIORS
Saturday & Sunday
15 & 16 December 2018
HITEX, HYDERABAD
health adventure security able boundless capable
technology independent hobby travel unlimited free giving back unrestricted
lights celebrate colour no worries
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An event for the retired, the pre-retired and the younger generation that is looking for solutions for its parents and grandparents
Contact us at [email protected]
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KW Conferences Pvt. Ltd. A 56/12, DLF Phase 1, Gurgaon - 122002, Haryana, India
Telephone: +91 124 4636700 Fax: +91 124 4102075
One of my most cherished memories is meeting the team that won India’s first World Cup in 1983. I was 12 years old. My father was posted in the Indian High Commission in London and a special reception was organised to honour the victors—I remember wearing my best frock, my first pair of heels and the biggest smile on my face as my father took me to the reception. I came back with one name on my lips: Sunny Gavaskar. He was personable, witty, friendly; one of the few stars at the reception who didn’t talk down to us kids. I became a fan.
That charm, candour and self-deprecating wit remain, as we discover in our cover feature, “Still Sunny”. After wowing us on the field, he continues on strike with his company PMG and his career as commentator. That said, he insists, “The best hat I wear now is that of a grandfather. It’s an education in itself.”
Our other silver heroes this issue include the inspiring Dr M S Sunil, a college professor in Kerala who has provided a roof and succour to countless people, and herpetologist Romulus Whitaker, who has worked assiduously to conserve snakes and crocodiles in India and change our perception of these reptiles.
Elsewhere this month, we discuss how the fall of the rupee affects you and serve up dietary tips on eating smart this festive season.
Finally, we take you on a thrilling trip to Tadoba Andhari forest reserve in Maharashtra where, to borrow loosely from William Blake, tiger, tiger, is burning bright—much like Harmony!
—Arati Rajan Menon
On 9 November 2017, the Reserve Bank of India had directed all banks, including small finance and payments banks, as follows: “…in view of the difficulties faced by senior citizens of more than 70 years of age and differently abled or infirm persons (having medically certified chronic illness or disability) including those who are visually impaired, banks are advised to make concerted effort to provide basic banking facilities like: pick-up of cash and instruments against receipt, delivery of cash against withdrawal from accounts, delivery of demand drafts, submission of ‘Know Your Customer’ (KYC) documents and life certificates from the premises or residences of such customers.”
Banks were “advised to implement these instructions by 31 December 2017, both in letter and spirit”. Almost 11 months have elapsed since these instructions were issued, but the banking woes of seniors and other listed members are yet to be addressed. The main reason cited by the banks is shortage of staff; ever since higher compensation was awarded to staff, banks are reducing staff strength.
Further, senior citizens often find their ATM transactions ‘timed out’ owing to the quick response required by ATM machines. Bank servers also provide endless grief to elders in the form of long waits, sometimes for simple tasks like withdrawal of cash against cheques or updating passbooks.
The main lacuna in senior citizens’ banking, however, remains not in services to them but in the rate of interest on their fixed deposits. Since 2011–2012, the declining rates have reduced senior citizens’ income by 30-40 per cent. They have been crying hoarse and knocking on the corridors of power but to no avail.
The Honourable Vice-President of India Venkaiah Naidu brought cheer to the faces of senior citizens gathered at Vigyan Bhawan on 1 October 2018 for International Day of Older Persons, when he shared his opinion that the rate of interest on senior citizens’ savings should be at least 12 per cent. We all hope he gives these instructions to the concerned authorities and our future days are spent in poise.
K D Bhatia
Via email
Writing is not something that comes easily to me. So, to read about adventurous individuals and their legacies written in such an eloquent and engaging manner is quite a pleasure. I hope to get more wild stories and maybe one day see myself in these pages!
Snehal Joshi
Via email
HITS OF THE MONTH
Our most-read stories in October 2018 on www.harmonyindia.org
1. Hysterectomy after menopause (March 2018)
2. The life of Aai (March 2018)
3. The guardian of kingdoms (October 2018)
Bellissima!
Milan is considered one of the fashion capitals of the world. And not surprisingly, it is home to a host of glamorous fashionistas who cock a snook at irrelevant numbers like age. Angelo, a fourth-year Milanese dental student, celebrates these silver foxes in his Instagram page Sciuraglam. “They are always in the centre of Milan, because they are rich,” he tells the British edition of Vogue magazine. “If I go to Bar Luce, there are always women there having coffee.” (Sciura translates to ‘rich woman’ in Milanese dialect.) So what does Angelo look for? “Inner beauty.” He explains, “I really can’t describe it, beauty is beauty. And they have to wear something that I would wear if I were a woman.”
Sciuraglam has a growing fan base with about 128,000 followers, and counting. Check it out for yourself at www.instagram.com/sciuraglam
TAKE FLIGHT
Here’s another reason to take that trip—budget carrier IndiGo has announced a 6 per cent discount to senior citizens on domestic flights. The discount is applicable on the base fare of the ticket booked from the airline’s official website till 31 December 2018. However, you cannot web check-in on tickets booked under this scheme and the offer cannot be combined with any other discounts. Also, it is mandatory to carry valid identification documents with date of birth to the airport; failure to produce the same will lead to additional charges. So, log on to www.goindigo.in and plan your next vacation!
YOGA IN YUGOULIANG
The power of this ancient Indian discipline is now being felt across the world. In the tiny Chinese village of Yugouliang in Hebei province, 52 year-old local official Lu Wenzhen seized upon yoga as the answer to the problem of loneliness faced by elderly residents. (The average age of a Yugouliang resident is 65.) While the silvers were sceptical at first—Lu wasn’t a trained instructor and had learnt some basic poses on the Internet!—they came around slowly. As straitstimes.com reports, he began with a small group, enticing them with yoga mats. As more people joined, Lu enrolled in a state-sponsored yoga course and became a qualified judge for yoga competitions. In February 2017, the turning point came when the State General Administration of Sports, which oversees the country’s athletics, named Yugouliang ‘China’s first yoga village’ and the village was granted a sum of $1.5 million for a nursing home and a yoga pavilion, where villagers can practise year round. Going forward, Lu has big plans: he wants to turn Yugouliang into a yoga training base for farmers from all over China.
COMPLETE CARE
The Elderly Ecological System and Services, a joint initiative by Thai universities the Research University Network (RUN), Sirindhorn International Institute of Technology (SIIT) and Thammasat University, and Japan-based Advanced Information Valuable Service (AIVS), is working on a project to assist and monitor the daily activities of silvers and send alerts in case of an emergency. The pilot stage has been implemented in three hospitals in Thailand’s Samut Sakhon province. Equipped with multiple wireless sensors with rechargeable solar batteries, the system tracks activities and provides regular status updates to relevant people through line messaging. According to project leader Virach Sornlertlamvanich of SIIT, the system is specially designed to provide complete elder care, including a bed-fallout preventive alarm and sleep-hygiene monitoring system, vital signal analysis tools, dementia and Alzheimer’s patient-tracking system and drug-use assistance, among others. Is India listening?
HELP AT HAND
A new helpline was launched in the premises of Municipal High School in Vijayawada, Andhra Pradesh, for silvers to seek redress of their grievances. Along with the helpline, a physiotherapy and fitness centre has also been set up. Established with the support of HelpAge India, the facility will serve as a walk-in centre for legal aid with designated personnel to render assistance in filing petitions, seeking maintenance from children, and any other legal issues.
DIGITAL DEALS
Silvers in South Korea are getting some help from their government to stay better connected with a mobile data plan discount programme. Under this initiative, retirees will be able to save a total of Won 189.8 billion (about ₹212.4 billion) annually.
Sometimes, the coolest franchises in the world can be distinctly un-cool. American coffee giant Starbucks is in hot water owing to accusations of discrimination against older employees. An exclusive series of interviews conducted by website huffingtonpost.com revealed that many employees over the age of 40 are the targets of ageism by management. The behaviour ranged from being unfairly criticised at work and given fewer responsibilities to ostracism and unfair dismissal. Despite repeated complaints to human resources, managers indulging in such bias faced no serious consequences because of poor internal investigations. “We come with a lot of experience and you’re throwing that experience out the window to get someone here who’s younger and who you can pay a little less to,” Andrea, one of the interviewees, told the site. “Just because my body doesn’t work as well as it used to doesn’t mean my mind is affected.” Many of the victims of such bias have now taken the matter to the US Equal Employment Opportunity Commission, hoping to expose the prevalence of ageism in the industry. This is not the first time Starbucks has been confronted with such allegations; in 2013, the company was sued by a 63 year-old former employee for wrongful termination based on ageism, which was resolved by a settlement. Old habits clearly die hard.
TRINITY FOR LONGEVITY
In July, we told you about the ongoing research on longevity by Jim Mellon and his team at Juvenescence Ltd. Now, Juvenescence has joined hands with The Buck Institute for Research on Ageing and Insilico Medicine for a multiyear research partnership; they have also formed Napa Therapeutics Ltd, an organisation that will commercialise the outcome of the research. The trio is working to understand a new molecular pathway that can be potentially involved in ageing and age-related diseases and using the learnings to develop molecules to target this pathway. “This is a unique opportunity to use cutting-edge artificial intelligence to accelerate drug discovery,” Eric Verdin, managing director, president and CEO of The Buck Institute, tells media.
A large slice of the young generation is ambitious and therefore constantly travels across the country, if not overseas, thus leaving their loved ones, often elderly parents, alone at home. Keeping house in addition to taking care of their health and completing day-to-day chores is both tedious and stressful for elderly individuals.
Addressing this growing concern with a practical yet sensitive approach is Pune-based Gagan Properties, which has shaped its vision into reality. The result is Nulife, an ultra-modern, world-class resort-residence facility for senior citizens of our country.
A magnificent project sprawled across several acres of holistic goodness at Kamshet near Lonavala, this facility is a haven of comfort for senior living, owing to its adherence to international standards. Justifying its dynamic tagline that reads ‘Grow Young’, Nulife is that place where seniors can age gracefully while living in the midst of raw nature. Here, they can live a serene life while immersing themselves in pleasant weather and an unpolluted environment.
HEALTHCARE AND SECURITY – YOUR LIVES ARE PRECIOUS!
Nulife recognises that seniors are vulnerable and that they also worry about their safety and security. Therefore, protecting senior lives is top priority. The residential facility has tied up with Oyster and Pearl hospitals, making it possible to have a hospital equipped with an ICU inside the residential complex with dedicated doctors, nurses and a resourceful pharmacy. This ensures that professionals are always available to take care of the medical needs of seniors, as and when required.
Other NuCare facilities included in the apartment price are a 24x7 ambulance service, periodical preventive medical check-ups, routine physiotherapy, daily housekeeping, weekly laundry services and round-the-clock security services including CCTV surveillance.
DESIGN AND DETAILS – THE SCULPTURE THAT INSPIRED MANY!
The design of Nulife premises reflects a profound understanding of the ageing process, which inspires the support it provides its residents. It is a true representation of what Nulife provides – nourishing the potential offerings of a rich and fulfilling life to all its residents.
From large doorways, no-step entries and wide corridors, to personalised panic alarm bands, grab bars in washrooms and anti-skid flooring, this project has been planned by globally renowned architect Perkins Eastman, USA. These specifications are only a few of the many design details that have been incorporated to create a little piece of paradise just for you.
PERSEVERANCE AND SKILL – THE TEAM!
A vision of Gagan Properties, Nulife is the culmination of the best experiences of 21 years of work in real estate. It is a brand that is receptive to innovation and customer satisfaction on progressive levels within the real estate sector. Having delivered more than 6,000 apartments to satisfied clients, and with more than 6 million sq ft currently under construction, the credibility of this project couldn’t be better. It offers authentic comfort and style to our beloved elders.
The first phase of the Nulife project has 342 apartments up for grabs, with 1 and 2 BHK apartments quoted at a starting price of just ₹ 48 lakh. Nulife introduces itself as a new way of aspirational living for senior citizens in India and is destined to change senior living on a nationwide scale. Hurry and contact Nulife to avail the best offer, now!
For more information on Gagan Nulife, call 9371806262 or visit www.gagannulife.com
DO CHILDREN REALLY UNDERSTAND the needs of their silver parents? Consider the results of *Jug Jug Jiyenge*, a survey conducted by IVH Senior Care in partnership with Wellness Health and You (Age-Friendly India). The survey was conducted (via personal, telephone and email interviews) on a gender-mixed sample size of 1,000 silvers each from Andhra Pradesh, Chandigarh, Delhi-NCR, Haryana, Karnataka, Maharashtra, Punjab, Uttar Pradesh, and West Bengal as well as their children, who have lived away from them for at least five years. The results revealed that only 10 per cent of silvers consider physical health as a concern while 66 per cent are worried about maintaining their social life and meeting their daily needs. Contrast this to the perspective of their children—67 per cent are worried about their parents’ health, with only 18 per cent apprehensive about their parents’ social life! “The disparity in thinking of children living away from home and their elderly parents raises many red flags,” G S Grewal, elder care specialist and consultant at Max Hospital, tells *The Hindu*. “While children worry about the physical health of their elderly parents, the parents’ key concerns highlight underlying mental health issues. Living a socially secluded life in the absence of children often predisposes elders to a feeling of loneliness, which can later transform into depression.”
**ON ALERT**
The Maharashtra government is setting an example for other states—it has instructed the state police to set up an Internet and GPS-based emergency alert system for silvers. Further, the police are in the process of setting up a senior citizens’ helpline in all districts and commissionerates. Each district, commissionerate and state police headquarters will also have an appointed nodal officer to help resolve issues related to silvers. Way to go!
**PENSION PLUS**
On Gandhi Jayanti, the Assam government launched a ₹ 400-crore pension scheme, Swahid Kushal Konwar Sarbajanin Briddha Pension Achoni. Silvers will stand to gain from the scheme via direct benefit transfer (DBT) into their bank accounts. “The scheme is one of its kind in the country as the state government has designed it from its own resources,” Chief Minister Sarbananda Sonowal tells media. “It will be for all senior citizens, irrespective of their financial and societal affiliations.” According to Assam Finance Minister Himanta Biswa Sarma, about 15,000-20,000 seniors will gain from the scheme as payment will be credited to their respective accounts on the first day of the month from the state treasury.
While children worry about the physical health of their elderly parents, the parents’ key concerns highlight underlying mental health issues.
TAX OFF
On the occasion of the International Day for Older Persons on 1 October, the West Bengal government announced a waiver of 10 per cent on property tax for silvers. Chief Minister Mamata Banerjee also announced that the state would set up helplines for elders and open geriatric care units in district hospitals.
SILVER SCREENING
In October, Axis Bank and Lowe Lintas took the bank’s silver customers on a trip down memory lane with ‘Flashback’. Special screenings of old Bollywood classics were organised for silvers in Inox theatres in eight cities including Indore, Bhubaneswar, Bengaluru, Delhi and Mumbai. “Flashback film festival has been designed as a unique engagement programme to enable our senior customers to re-experience their youth,” Asha Kharga, CMO, Axis Bank, tells website brandequity.economictimes.indiatimes.com. “The experience was replete with vintage cars and old-world refreshments to make it come alive.”
100 NOT OUT! Japan’s centenarian population has hit a record high of 69,785, with women accounting for 88.1 per cent. According to the health ministry, medical advances and increased health awareness have caused this historic jump of 2,014 persons from last year, which is nearly seven times higher than it was two decades ago. At present, there are 61,454 women and 8,331 men over the age of 100, including former Prime Minister Yasuhiro Nakasone, who turned 100 in May.
Currently, India represents 49 per cent of the world’s diabetes burden, with an estimated 72 million cases in 2017. This figure is expected to almost double to 134 million by 2025. Individuals with diabetes deal with a variety of health issues—incontinence is one of them.
**THE DIABETES-INCONTINENCE LINK**
There is a known link between diabetes and incontinence. Excessive weight, common for diabetics, can put extra pressure on the bladder. Similarly, reduced immunity and complications arising from diabetic medication are also factors contributing to incontinence. That said, neuropathy has been diagnosed as the most prevalent cause for incontinence in diabetics.
**HITTING A NERVE**
According to the Canada-based Simon Foundation for Continence, our body has a network of automatic nerves that run from our heart to bladder, which can be affected by diabetic neuropathy, including nerves in the bladder and the bowel. More often than not, incontinence is caused by damage to these nerves and muscles. Most patients with nerve damage suffer from urge incontinence, a situation where you have no sensation that you need to urinate, and have a harder time controlling the bladder. Friends Premium Adult Diapers, which protect you from accidental leakage and come with a 10-hour guarantee, would be ideal for such patients.
**ALL DAY AND NIGHT**
People with massive nerve damage can end up with overflow incontinence. In such cases, the bladder constantly releases urine throughout the day, never truly emptying itself. In fact, no matter how many times one uses the restroom, the bladder will release urine through the day and night. Friends Overnight Adult Diapers, designed for nightlong use with 16-hour protection from leakage, can be helpful in such a scenario. For extra protection at night, one can also use Friends Underpads, which can be laid on the bed.
**A GAME-CHANGER!**
Indeed, using adult diapers is the best way to manage and deal with incontinence issues related to diabetes. The decision to switch over to adult diapers may not be an easy one—but it can be a game-changer when it comes to quality of life. It will put you back in control, help reclaim your dignity and peace of mind, and let you live your best life.
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SMART PANTS!
British scientists at the University of Bristol are developing smart trousers that can help people stand up, take the stairs, and get around without a wheelchair. Using technologies that imitate muscle and bone movement, these robotic pants are made of soft graphene, which toughens in contact with heat to provide support to the knees and ankles, and contain a plastic bubble that can be quickly inflated to act as artificial muscle for bionic strength. Easy to slip on and off, the pants will also be able to feed back information to a monitoring system and the patient’s doctor on the user’s health and movement. “We wanted to use this power to get people out and about, out of their living room chairs into the kitchen to make a cup of tea,” Professor Jonathan Rossiter from the Bristol Robotics Laboratory at Bristol University told participants at The British Science Festival. “If you can do that and help people to stay as independent for as long as possible, you increase their functional capability and cognitive capability; it reduces the load on the state and the care system. Our dream is to make these devices ubiquitous so that in six or seven years’ time, anyone can go into Boots and buy a pair of trousers off the shelf and they would help you move around.” The pants are expected to hit the market within the decade.
WATCH THIS
IT APPEARS tech giant Apple wants a bite of the senior wearables market. The recently announced Apple Watch Series 4 will feature fall-detection technology in addition to a built-in electrical heart rate sensor that can take an electrocardiogram (ECG) and other silver-friendly voice-activated assistants and sensors. The fall-detection tech functions with the help of an accelerometer and gyroscope to identify occurrence of hard falls and can call for help with directions if it senses immobility after a fall. Experts, however, have been quick to point out the limitations in substituting regular medical alert devices with the watch: low battery life and small screen size.
DID YOU KNOW? A 30-YEAR STUDY PUBLISHED IN JOURNAL OF AMERICAN COLLEGE OF CARDIOLOGY INCLUDING 3,307 CORONARY HEART DISEASE PATIENTS FOUND THAT THOSE WHO ENGAGED IN PHYSICAL ACTIVITY HAD A 36 PER CENT LOWER CHANCE OF EARLY DEATH COMPARED TO THOSE WHO GOT NO EXERCISE AT ALL.
OH, THOSE WRINKLES!
Here’s a reason to frown. Facial lines are not just markers of ageing, they could also be potential markers of heart health, according to a new study conducted at Centre Hospitalier Universitaire de Toulouse, France. The researchers checked the data of 3,200 healthy adults aged between 32 and 62. When the subjects were examined after 20 years, those with a wrinkle score of one or more stood a higher chance of dying of cardiovascular disease than those who had no wrinkles at all. The theory is that wrinkles are an early sign of ageing blood vessels. Changes in collagen protein and oxidative stress cause atherosclerosis or hardening of the arteries—as well as those darned wrinkles.
BRAIN TALK
Dementia is a difficult condition to manage, with an added emotional toll on patients and their families. Thus, anything that helps understand the illness is a step forward. While earlier studies have suggested that inflammation of the brain raises the risk of dementia, a new one is offering a more nuanced understanding of this correlation. Scientists at Johns Hopkins University in Baltimore, US, analysed 1,532 participants from data collected through the Atherosclerosis Risk in Communities Study (ARIC) to examine cardiovascular risk factors among middle-aged people. After that, they tracked levels of a blood marker of inflammation, called C-reactive protein, to check its relationship with dementia. They found that heightened inflammation that lasts from mid-life to late-life is associated with cognitive decline. This means chronic, not temporary, inflammation effects structural changes in the brain and leads to dementia. The findings were reported in journal Neurobiology of Aging.
IT’S A DATE!
Dates are considered high in natural sugar, but a report published in Medical News Today says they are a powerhouse of nutrients as well. Dates…
- are high in fibre and make you feel full for a long time
- contain potassium, an electrolyte that helps in better heart health and muscle buildup
- contain polyphenols, an antioxidant compound that protects the body from inflammation
- provide essential nutrients such as Vitamin B6 and iron, and are a great alternative to sweets with empty calories.
They say you are what you eat—and people suffering from osteoporosis should be filling their grocery carts with components of the Mediterranean diet. This diet, known to be partial to vegetables, fruits, nuts, olive oil and whole grains, slows bone loss, scientists have found. A study conducted at the University of East Anglia, UK, randomly selected 1,000 volunteers aged between 65 and 79 years from various European countries, and divided them into two groups; one group consumed the Mediterranean diet while the other didn’t. A bone density test after 12 months showed that the Mediterranean diet reduced the rate of bone loss in people with osteoporosis while it had no effect on participants whose bone density was normal. The findings were published in American Journal of Clinical Nutrition.
Weighty Issue
Individuals who are overweight are carrying a heavier burden—a diet that contributes to obesity may also make you susceptible to Alzheimer’s with age. Researchers from Brock University in Ontario, Canada, studied the effects of an obesity-inducing diet on factors such as insulin signalling (how the body uses sugar) and markers of inflammation and cellular stress, all associated with Alzheimer’s. As part of their study on mice, one group was fed a diet high on fat and sugar and the other a normal diet. After 13 weeks, researchers compared the mice that ate the obesity-inducing diet to a younger set of mice. They found that the older mice had markers of inflammation, insulin resistance and cellular stress in areas of the brain associated with long-term memory and Alzheimer’s. Brain centres responsible for complex cognitive tasks and emotional and behavioural functions showed insulin resistance. The findings were published in journal *Physiological Reports*.
CATCH IT EARLY
Detecting oesophageal cancer earlier just got easier with ‘WATS 3D imaging’, a technique that allows doctors to detect precancerous cells in the oesophagus (food pipe), also called Barrett’s oesophagus. This technique brushes the entire area of the oesophagus, unlike a traditional biopsy with forceps, which covers only 20 per cent of the oesophagus. The new technique thus increases the accuracy of the biopsy and facilitates detection of pre-cancerous cells.
Earlier studies demonstrate that stomach and oesophageal cancers can be ‘sniffed out’ on one’s breath. The technique has the individual blowing into a bag, with one’s breath then being analysed for markers in the volatile organic compounds present in the breath. Scientists at Imperial College, London, claim the test is 85 per cent accurate. The study was published in *Jama Oncology*.
Bhaag Dilli bhaag!
On 21 October, as morning broke over the majestic Jawaharlal Nehru Stadium, the venue for the Airtel Delhi Half Marathon, it was clear something special was about to happen. Slowly, but surely, close to 1,200 silvers descended into the Harmony Senior Citizens’ marquee; first a trickle, then a swarm, finally a raucous, rousing storm—it was time, without a doubt, for the 11th edition of the Senior Citizen’s Run in the capital!
“The warmth of Harmony and the cold Delhi nip are such an inviting juxtaposition,” shared Sunil Sikri, 63, retired professor of business studies turned life coach (and one of the first to arrive). “It rids us of all negative energies.” Echoing this sentiment, Narendra Kumar, 63, who has been participating in the event for the past seven years, said, “It’s pleasing to know that Harmony is there to keep us seniors engaged and I like to think we keep the organisation engaged too. It is like we are both meant for each other!”
Soon enough, the silvers, clad in signature yellow shirts, made their way to the flag-off point at the
stadium. So excited were they, that they actually jumped the starter’s gun, much to the amusement of the commentators! Waved forward by guest of honour M Damodaran, former chairman of Securities Exchange Board of India (SEBI), and the Harmony team, they variously walked and ran, ambled and danced through the 2.4-km route. Meanwhile, some chose
to stay back at the marquee, waiting for their friends to return. Like H S Bhandari, 77, a participant for the past eight years, who chose to sit this one out owing to knee trouble while his wife Sunaina Bhandari, went ahead with the run.
First to return was Dayanand Hooda, 65, a sense of accomplishment writ large on his face, his friends Rohtash, 62, and Ramkrishna Sharma, 68, following close behind. “We are seasoned runners and all of us represented Haryana state once upon a time,” he shared. With over 22 gold medals each in long-distance running over the years, it was only fitting that they continued to lead the pack.
Indeed, everyone had their own triggers, their motivation for being present. While 68 year-old Col (retd) Shekhar recalled his days at the Indian Military Academy where he would jog for hours on end, Geeta Pradhan, 62, saw the event as an opportunity to come together with her friends and share some banter, and a group of silvers from Ashok Vihar Senior Citizens’ Association
dedicated their run to late prime minister Atal Bihari Vajpayee. There were visitors from out of town too. Maheshwar Sahu, 64, travelled all the way from Orissa to participate in the run. “I want to travel to Scotland and run the Edinburgh Marathon and break the world record in my age bracket for half marathon,” he told us. “I have been training for the past two years and participating in marathons throughout the country as a test to prove my mettle.” He has promised to meet us again at the Tata Mumbai Marathon in January!
After the run, it was time for refreshments and recreation at the marquee, with master of ceremonies Abhay and comedian Rohit Thakur entertaining the silvers with music, dance and jokes aplenty (there was also some cross-dressing for good measure!). Our oldest participants, Madan Swaroop Sethi and Usha Mittal, both 99, were honoured for their spirit, senior citizens’ organisations from the capital were felicitated and lucky-dip winners awarded with gift hampers. Another major attraction, before and after the run, was the photo-booth set up by Nobel Hygiene—participants queued up patiently to get their picture clicked and take home ‘proof’, as it were, that they were ‘champions’.
We never doubted it for a minute!
KNOWLEDGE IS POWER.
With that in mind, Unmukt Festival, India’s biggest event for senior citizens, announced its presence in Hyderabad with the first Unmukt Knowledge Series programme in partnership with Google, the world’s No. 1 online search engine.
Over 70 silvers participated in the first of the series held on 9 October in Hyderabad. Addressing the gathering, Dr K R Gangadharan, Founder, Heritage Foundation, shared that though senior citizens are productive individuals, they are also vulnerable to abuse. Quoting a finding from a study by the London School of Economics, he added, “Indians get old when they become 60, but other countries talk about it only when they reach 80.” Speaking about Unmukt Festival, India’s first-of-its-kind festival for silvers, he said it aims to empower silvers while making them independent and tech-savvy. The festival will be held at HITEX, Hyderabad, on 15-16 December this year and addresses issues relevant not only to silvers but their families as well. Harmony-Celebrate Age is the media partner for the event.
Speaking at the event, Monimita Sarkar, Managing Director, KW Conferences, said the objective of the Unmukt Knowledge Series programme was to engage silvers in meaningful dialogue.
Releasing an online safety guide for elders in English and Hindi, Sujata Mukherjee, Trust & Safety Research and Outreach Lead, Google, laid emphasis upon the importance of online safety and explained some terminology from the guide in simple language to help silvers familiarise themselves with the terms. “The guide will soon be available in other languages too,” she added.
Google made a brief presentation on ‘Online Safety for Senior Citizens’, covering four areas: protecting online accounts, exercising care when sharing something online, identifying and avoiding scams, and keeping online conversations positive and respectful.
The guidelines included:
- Keep your passwords strong and long with a minimum of
eight to nine mixed characters, used in combination of lower and uppercase letters, numbers and symbols. Think of an easy-to-remember sentence; for instance, ‘I have two cats at home named Tom and Jerry’. Take the first letter of each word using lowercase and uppercase letters and make ‘lhtcahnTa’. You can even replace letters with numbers or symbols and create the password, ‘lh2c@hnlT&!’.
- Use password manager to remember multiple passwords.
- Beware of online scammers who use different techniques to trick people into revealing their personal and financial details.
- Exercise care while sharing—know what you are sharing and with whom. Most important, think about why are you sharing: Do they really need to know?
- Keep online conversations positive and respectful. If you are subjected to cyberbullying, mute, block and report.
Dr Vasanth Kumar, General Physician, and Dr Sandeep Nayani, Neurologist, from Apollo Hospitals—the knowledge partner for Unmukt Festival—highlighted the importance of taking care of one’s physical and mental health as one ages. While dispelling the myth that high blood pressure is normal with ageing, Dr Nayani said people who walk for at least two miles per day are less likely to develop dementia. “Keep mentally active by solving crosswords and Sudoku, reading books, listening to music, and so on, to help prevent memory loss and prevent or delay the onset of dementia,” he said.
The concluding session of the day was on financial health. “The 35 years of income we generate has to provide for about 30 years after retirement,” said Kartik Damodar, CEO, Guardian Capital Investment Advisors, who conducted the session. His presentation included an interactive game on the lifecycle of saving and investment as well as tips on analysing the market using easily available tools.
The senior living sector in India is at the cusp of an epic start. With nearly 120 million seniors (almost equal to the entire population of some countries), there exists an untapped and overlooked opportunity for investment and development, apart from the acute need in this sunrise sector for ageing seniors. A significant section of these seniors are independent, financially stable, well-travelled and socially connected. Thus, India provides an opportunity to developers, corporates, service providers, healthcare players and operators to create country-specific solutions, while leveraging learning from across the globe.
THE BUSINESS OF AGEING
A large stumbling block for senior living in India is the social stigma attached to the concept of senior living communities because such communities are commonly referred to as ‘old-age homes’. And while independent and active senior living projects currently being offered in India have been accepted wholeheartedly by some section of the targeted population, much more ground needs to be covered to make this concept acceptable universally.
At present, in India this sector is dominated by builders and developers. The immediate need is for reputed corporate and professional developers with a strong emphasis on service laced with passion, commitment and empathy to enter this industry versus pure-play, real-estate players, forming a dedicated vertical for senior living. Corporates, not necessarily involved in real-estate ventures, and real-estate investment trusts (REITS) dedicated to this sector can provide the much-needed traction and impetus. In fact, for corporates, this sector is an attractive business option with dedicated verticals that can also fit into their CSR initiatives.
The entry of entities that see the merit of this sector and who are willing to pour in serious money to create continuing care retirement communities (CCRCs) on a large scale will be the tipping point for this industry, as will be the entry of life and personal insurers who will tailor a product for senior care, so that both the insurer and provider are covered for expenses.
WALKING THE TALK
We, as senior living providers, must be prepared to walk the talk. Providers will need to be personally and actively involved in continuous day-to-day operations of the community. They will need to be on the board of the trust/foundation/company/entity that is overseeing the running of the community. Simply handing over the community to a facility management company for operations with a manager may not be enough.
What’s more, we need to evolve from the ownership model to the globally time-tested deposit/deferred fee or lifetime occupancy models. This will ensure more accountability and involvement of the principal provider as the underlying asset will still be on their books, unlike the case of the ownership model. The ownership model also carries the ‘risk’ of residents forming a co-op housing society or resident welfare association and wanting to take over the running of the community. This is already happening in some earlier developments, wherein the residents now want to take over the management. Though this could be legally correct, it would defeat the purpose of senior residents receiving hassle-free care and service.
THE POTENTIAL IN INDIA
In India, currently only one in every 10,000 seniors is engaged in some form of senior living, compared to 12 seniors in every 100 in the US and 4 seniors in every 100 in Australia. Dedicated senior care requires trained manpower and human resources, covering the spectrum from doctors trained in geriatric care and paramedical staff to graduates in public service. Currently, senior care providers in the independent and active senior living space often hire human resources with a hospitality and healthcare background. We must set up standalone and focused training centres and institutes that offer a curriculum related to this industry, thus creating a viable career option for people.
FOUR AREAS CRITICAL TO THE SUCCESS OF THIS INDUSTRY ARE:
• **Intent and scope:** Dedicated entities with a corporate structure to scale up services and offer all segments of care; a bundle of real estate, hospitality and healthcare
• **Model:** Deposit/fee/lifetime occupancy for more accountability and involvement
• **Scale:** Large formats to achieve cost and service-efficiency encompassing all levels of care; a genuine CCRC
• **Human resources:** To set up institutes/universities for training personnel so that a pipeline of specific and specialised talent is available to the sector with a visible career path.
Watch this space for a report on the event
YOUR SPACE
WIRED WORLD
History is testimony to how human behaviour has shaped the world over the centuries. The times and the environment we live in greatly impact our behaviour as well as our lives. Having said that, the last decade has witnessed a huge transformation in human behaviour and I attribute it to the advent of technology.
The advancement in technology has led to a boom in the world of social media and communication. The open spaces in our mind have been largely occupied by the Internet. The idea of contemplation and thrill of seeking answers have been replaced by the chatter of the keyboard for ready information on Google and Yahoo.
Forwards have become the latest fad today as against originality. To sum it all, I call it the ‘wired grid’. The transformation has altered the way we speak, think and act and yet it has remained ingenuously veiled and subtle. And the irony is that the current generation has accepted this ignominious change.
There’s little doubt that technology has numerous advantages. It has brought the world closer for us and made us connect with those who are miles away in distance. Our daily tasks have become planned and convenient. In spite of all this, the new generation on the whole has become less patient and is living a frenzied pace of life.
Let me illustrate this with an example. My young neighbour here in India as well as my daughter who lives in Hong Kong not only share the flat number ‘4’ but their daily routines and lifestyles. Both share the same 8-to-8 work schedule that includes rushed mornings with breakfast in hand, hurried goodbyes and working late on the dinner table. Everything is urgent and every minute counts for them. There’s an urgency in saving even that fraction of a second that takes one to write a word; so a ‘because’ has been changed to ‘cuz’.
Handed down from their parents, the ethos of schedule and speed has penetrated the subconscious minds of the young. This makes me recall my childhood days when I used to live in Poona. I walked home from school and meandered through the alleyways and streets watching squirrels and chasing butterflies. I realise that such carefree moments will never be experienced by the new-fangled generation.
Living life in the fast lane, I wonder if creativity is being threatened (or completely lost) by the wired world. I wish to recover what has been lost. I wish to live in a simple, slow and wire-free world.
—Brigadier P K Chakravarti, Bengaluru
A PEOPLE’S COP
Back in the 1980s, when a young police officer, fresh out of the Academy, took up his first posting, he learnt a lesson that would steer his course for the rest of his career. It was a time when touts held sway over cinema halls in Jorhat in Assam, where he had been posted in 1987.
Kuladhar Saikia, then additional superintendent of police, rounded up a dozen touts and was planning a bigger crackdown when he had a life-changing conversation. “There was this man who walked into my office and said he appreciated what I had done. Then he said he was one of those touts I had rounded up and that his wife had to sell the only gold chain she possessed—that was a wedding gift from her parents—to bribe a police sub-inspector to get him out of detention. In that moment, I realised I had only aided and abetted a bigger crime by curbing a smaller one,” he says.
That fateful encounter left an indelible mark and Saikia decided his policing methods would always be guided by compassion and empathy. Sure enough, it’s been a beacon for the 1985 batch IPS officer, who was appointed Director General of Police in Assam recently.
Saikia has always looked beyond the crime, seeking to understand the criminal’s motivations. This unusual perspective led him to develop a community-based approach to his work, which has since been the pivot of all his projects. He is noted for initiating Project Prahari, which he launched in 2001. It was a time when witchcraft-related crimes and lynchings were sweeping Kokrajhar district, where Saikia was posted as deputy inspector general of police (western Assam). He realised that to stem this wave, he would have to include all relevant stakeholders, such as citizens, village leaders, students, women’s groups and the police.
“While the police had picked up a number of persons, I found there were socioeconomic reasons behind these crimes,” shares the top cop, who has twice received the President’s Police Medal. “Communication was poor, healthcare was in a shambles, illiteracy and belief in superstition were high, and the communities were heavily dependent on quacks in the absence of doctors and health workers. I initiated Project Prahari, which involved more civilians than police personnel to eradicate witch-hunting.”
The Prahari Project, which was implemented in 50 villages in Assam, was not only heartily embraced by the tribal villagers, it also contributed to curbing insurgency to a large extent as well as social prejudices and economic backwardness. It was so effective that it has been suggested as a model of good governance by the Centre’s Bureau of Police Research & Development. It was also noted as a model of women’s empowerment by the Government of India in its status report submitted at the UN General Assembly meet on gender in 2005.
This innovative model of community participation has been included in prominent management and public policy institutions as material for training purposes. In 2014, Harvard Business Review published a three-part case series titled Being A Change Agent, holding up Saikia’s work as a stellar management model.
Scratch the surface a little and you will perhaps understand why Saikia is such a unique police officer. His empathetic nature stems from a literary bent that has earned him a Sahitya Akademi award for Assamese literature in 2015, for his short story collection titled Akashor Chhabi Aru Anyanya Galpa (‘Picture of the Sky And Other Stories’).
One of only four IPS officers who have been conferred this coveted literary award, Saikia has a body of literary work that includes a novel, three plays, a collection of essays and 19 collections of short stories, one of which—If A River and Other Stories—was released this February.
Being a writer probably helps him look at crime in ways other than
a regular police officer. “I see a lot of different things when I handle a crime or a difficult situation,” he says. “I look at things from the socioeconomic angle as well as the psychosocial angle. I always look at the backdrop and the various compulsions that may have pushed people to commit a crime.”
In a classic case of life influencing art, Saikia says some of his short stories relate to his work. “In my stories, like *Ravan Habildar* and *Sipahi Dinabandhu*, the protagonists are police personnel. Through such stories, I try to reveal life and love,” he muses. Other themes include students and youth, and stories centering on rural life.
Saikia hails from Rangiya, a town about 52 km from Guwahati. “My father was the founder and headmaster of Rangiya High School, while my mother was a homemaker who also took part in adult literacy campaigns for the village women,” says the police officer, the youngest of seven siblings. A brilliant student, he is an alumnus of Ramjas College, Delhi, after which he acquired a master’s degree from the Delhi School of Economics. He also spent a couple of years teaching economics at Hindu College in Delhi, before making it to the Indian Police Service in 1985. Saikia was intent on an all-round education and earned the prestigious Fulbright Scholarship for Community Leadership. He also did a stint as a consultant for the World Bank and is often invited to the Indian Institutes of Management around the country and management institutes overseas to speak on economics and other issues.
Our top cop has, at times, been accused of being too ‘soft’. Saikia chuckles and says, “As a policeman, I can be as tough as anybody else. But I believe a lot of things can get done by being ‘soft’ too.”
—Dr Tapati Baruah Kashyap
BIRTHDAYS
Actor Shah Rukh Khan turns 53 on 2 November.
Actor and filmmaker Kamal Hassan turns 64 on 7 November.
BJP leader Lal Krishna Advani turns 91 on 8 November.
Actor Zeenat Aman turns 67 on 19 November.
Author and activist Suzanna Arundhati Roy turns 57 on 24 November.
Actor Irrfan Ali Khan turns 56 on 30 November.
IN PASSING
Filmmaker Kalpana Lajmi (featured in the March 2014 issue of Harmony-Celebrate Age) died owing to kidney cancer on 23 September. She was 64.
Padma Shri recipient and TV and radio commentator Jasdev Singh passed away after a prolonged illness on 25 September. He was 87.
Krishna Kapoor, wife of legendary actor Raj Kapoor, died after a cardiac arrest on 1 October. She was 87.
Environmentalist and former IIT professor G D Agarwal passed away owing to a heart attack following a 111-day fast on 11 October. He was 87.
Legendary Hindustani classical musician Annapurna Devi died from age-related illness on 13 October. She was 91.
MILESTONES
- Athlete Mann Kaur, 102, won a gold medal in the 200-m race at the World Masters Athletics Championships in September in Malaga, Spain.
- Music composer Hridayanath Mangeshkar, 80, was conferred the lifetime achievement award at the Marathi Filmfare awards in September in Mumbai.
- Writer Dr P S Shankar, 86, was honoured with the Senior Citizens’ Award for Literature by the Karnataka government in October in Bengaluru.
- To mark the International Day of Older Persons, Vice-President M Venkaiah Naidu honoured eminent silvers for their contributions with the Vayoshreshta Samman in October in New Delhi; Rajalakshmi Parthasarathy (92) and Nagindas Hargovind Sanghavi (98) in the centenarian category; Muniyamma and Manveer Narang in the iconic mother category; Prof P Venugopal (76) for his service in the medical field in the lifetime achievement category; Nadoja Veeranna (83) and Wareppa Naba (77) in the creative arts category; and Dr Rajpal Singh in the sports and adventure category.
OVERHEARD
“It’s so annoying to be female and consistently going, ‘Have I got to see a story again about a guy who does things that I’ve already seen a guy do a million times?’ So I’m bored. The difference now, as I get older, is that I’m released by my boredom. I no longer bother. I’m free to go and look for new ideas and new voices. I’m able with absolute comfort and ease to reject so much. It’s fantastic being this age. I’m old. We’re constantly watching films where older men have wonderful roles and older women really don’t. But I’m a character actor, don’t forget. If you’ve got form and you’re a character actor, you’re much better off because you’re not fighting the way you once looked.”
—British actor Emma Thompson, 59, speaking to entertainment website Vulture
Get on the board. Board games are proven to improve coordination; delay memory loss and sharpen cognition; elevate your mood by boosting your serotonin levels; and keep boredom and depression at bay. Choose games like Scrabble, chess, Ludo, Monopoly, checkers and Battleship—you can play them with your partner or friend, just the two of you, or with the whole family when they come visiting this festive season.
Then: Pizza box
Now: Solar oven
This is an exciting experiment to execute with your grandkids and teach them about solar energy. You will need a pizza box, sheets of aluminium foil, black (preferably, construction) paper, a pair of scissors, clear wrap, tape, pencil/wooden skewer and a sunny day! Cut open a square flap on top of the pizza box, leaving a 1-inch border on the sides. Stick aluminium foil to the bottom side of the flap, shiny side out, and smoothen out the edges. Place another sheet of foil (shiny side up) on the inside at the bottom of the pizza box. Place one sheet of black paper on top of the foil. Use clear plastic wrap on the underside of the lid to seal the opening created by the flap. Make the box as airtight as possible. Last, use a wooden skewer or pencil to prop the solar oven’s lid up at a 90° angle from the box. Voila, your low-cost, environmentally-friendly oven is ready. Now, use it to heat your food during hikes/treks, pasteurise water, and, if feeling adventurous, sterilise instruments.
RECYCLING FACTS
• Pizza boxes are made from corrugated cardboard; however, the box can’t be recycled once it is soiled with grease, cheese and other foods.
• Composting pizza boxes is the best option. Do it along the waxed paper; it will take longer to degrade but eventually will.
MORE RECYCLING IDEAS…
1 THE STIFF CARDBOARD OF PIZZA BOXES CAN BE CUT IN DIFFERENT SHAPES TO BE USED AS A STENCIL FOR VARIOUS PATTERNS AND/OR CAN BE CUT TO MAKE PUZZLE PIECES TO ENGAGE YOUR GRANDCHILDREN.
2 YOU CAN INVERT THE PIZZA BOX’S FOLDS AND FLAPS TO MAKE A LAPTOP STAND.
TIP: CHOOSE ONE WITH FANCY ARTWORK ON IT.
Shoulder pain is a common problem that afflicts all age groups. Unfortunately, it is taken less seriously than other problems of the back and torso, with the lower back often getting more attention. Shoulder pain is often normalised as part of the travails of living, treated with the same scant attention we accord a common cold. But, like the latter, it can be chronic, repetitive, disrupt normal life and progressively get worse in the absence of care.
The problem is compounded by the fact that shoulder pain can occur owing to a cluster of causes (when it is not triggered by a specific accident). This makes it difficult to curb it at the source. The triggers may include lifestyle (if sedentary) or postural defects that arise from professional demands (as with makeup artists, hairstylists, surgeons, cooks, sportspersons); excessive use of gadgets like the laptop, where the body remains scrunched up in a particular way; how you sleep; and even your personality type (whether you thrust your chest out aggressively or crouch it inwards in a timid fashion).
Though medication to relieve pain may help, this should never be a long-term solution. Optimally, your problem should be diagnosed by an expert and you should take appropriate remedial measures as suggested. However, the most important way to find relief is to self-engage, by actively working the muscles of the shoulders in a remedial fashion. Ideally, you should have consulted a physiotherapist for a set of poses (most are yoga-related) and you need to make them part of your life on a daily basis. Even when the pain leaves, you must continue with the practice to prevent future episodes.
Using the right pillow (there are several medically prescribed brands available) and mattress will also help in cases where the pain is owing to your posture while sleeping. If your work requires you to be seated hunched up for long, you must take timed breaks to relieve the tension in the upper back. The problem may
**YOGIC MOVES**
**Twisted triangle pose (parivritta trikonasana)**
Stand with feet a metre apart, right foot turned to the right side, left turned inwards. Ensure heels are in one line. Arms should be held out at shoulder level. Inhale. Exhale. Twist to the right side, placing your left palm beside the right foot (use a yoga block if you are not able to reach the ground). Point your right hand straight up. Twist to turn to look at raised hand. Hold for a few seconds, breathing normally. Release by returning to your original position. Repeat for the other side. Advanced practitioners can take their hand over the foot for a more challenging modification.
**Points to note:** Avoid if you suffer from vertigo, because this pose requires balance. Keep your eyes lower if you are still struggling with balance. Try to keep your legs and arms straight throughout.
**Benefits:** This pose helps with most spinal issues. It is used as therapy in many chronic ailments. It aids digestion because of the pressure at the abdomen and improves balance and tones the limbs.
not be apparent while working but will erupt later. The best way to do this is to use reminder alerts on your phone or gadget, so you get to move about. Therapeutic postural correcting braces are also available and may be worn to create a muscle memory for the correct posture.
Though martial arts have always used the idea of muscle activation to relieve pain, in therapeutic sciences it is now coming into its own as the right way to deal with chronic pain. More than the movement itself, it is how you engage the muscles, by deliberately focusing on them, extending and contracting them as required. These do not need to be elaborate poses or practices, but simple movements. For instance, just holding your arms at shoulder level, and extending them as if pressing into a wall, will activate muscle groups. In shoulder pain, in fact, most movements that offer relief are simple.
A regular practice of yoga is the best rehab and ‘prehab’ in shoulder pain episodes. Therapeutic schools of yoga suggest simple ones, like the prayer pose (pranamasana), where the palms are pressed against each other in front (and behind the back in an advanced version), or shoulder rolls (skanda chakra), which have different variations, the mountain pose (tadasana) and cow-face practice (gomukh asana). In some of these, you may not be able to fully extend the arm initially. In that case, you can use a yoga belt; if that is not available, a simple shawl or waist belt may be used.
Those with a regular yoga practice may include the triangle pose (trikonasana) and all its variations; angle pose (konasana) and its variations; mountain pose (parvatasana) and its variations; seated twists like the half-spinal twist pose (ardhamatsyendrasana); Sage Marichay’s pose (marichayasana), Sage Bharadwaja’s pose (bharadwajasana); chest openers like the pigeon pose (kapotasana) in its modified version with props; and the bow pose (dhanurasana) with suitable modifications according to your need and with expert advice.
Shameem Akthar is a Mumbai-based yoga acharya. If you have any queries for her, mail us or email at [email protected]. (Please consult your physician before following the advice given here.)
I always add a year to myself, so I’m prepared for my next birthday. When I was 39, I was already 40. —American actor Nicolas Cage (b. 1964)
A BEACON OF HOPE
Nishad Lakhani and her husband have built a housing model that allows elders in Canada and the US to live in a dignified, respectful manner.
Doing my work for It’s Never 2 Late in the US, I’m on the road virtually every week, talking, presenting and meeting individuals tied to senior living and ageing. I’ve been doing that for almost 20 years now. But my relationship with Harmony-Celebrate Age has added a new twist. When I’m talking to random strangers, if I get a whiff that they may be from India, all of a sudden the conversations turn to my columns, my visit to Hyderabad, and an introduction to Harmony. The first reactions of ‘who is this guy’ usually turn into fascinating conversations transcending geography and cultures. That’s the case once again this month—I am delighted to introduce you to Nishad Lakhani.
I met Nishad in Arizona a few weeks ago. I was at a unique senior living conference that was highlighting a growing ageing model in the US: converting family homes into places elders can live in a small, communal setting. I learned about the work she is doing along these lines in Florida. Nishad was born and raised in Toronto, Canada, and got her first taste of real estate at a very young age. Working with her father, she gained knowledge in construction, learned all the different trades, and continued working on and off as a labourer in the construction industry. She bought her first piece of real estate in 2008—and hasn’t stopped since. She now invests in both residential and commercial real estate. Part of her success has come in investing in real estate designed specifically for seniors, a desire she feels was fuelled by her parents. “Coming from an Indian-African background, my parents have always taught us to respect and take care of our elders, give them love, care, compassion and support, as they do for us,” she explains.
The details of her life and her journey are fascinating. She was born and raised in Canada; her husband is from Mumbai. Her family is from a small town just outside Porbandar in Gujarat and Dar es Salaam, Tanzania; she was raised with Indian traditions and values. Her parents brought those values to Canada and raised her sisters and her with the philosophy that everyone should be given quality of life with respect, dignity, love and the best level of care. Also, being from the Ismaili community, she has always been guided by her spiritual leader: to get a good education, gain the knowledge to be the best at what she wants to do; and be ready to use that knowledge and education to help those in need. That spirit of giving has framed her work to this day.
In 2015, Nishad and her husband decided they would start helping children in India—he had always wanted to open an orphanage and care for the kids that were less fortunate. “To open an orphanage, we needed to come up with a monthly cash flow, so we decided to invest in commercial real estate in the US and use the monthly profits for a good cause,” she explains. “We adopted a group of children who were orphaned or from the streets in India.”
Surprisingly, this experience had a correlation with senior living in the US. They travelled to a property in Tennessee that turned out to be unlicensed and were shocked to see the conditions the seniors were living in. They realised—just like with the orphans in India—that there was a serious need to help seniors. As they delved further into the issue, they realised this was a serious problem and an opportunity: seniors, especially those living with memory loss, needed a new model.
As is the case with many other visionaries in this space, Nishad does not have any formal education in ageing, rather she has learned through personal experience. Her grandmother, father and father-in-law have all been through or are going through health issues, particularly dementia and Alzheimer’s. She has personally seen
and dealt with this terrible disease and seen its effects on her loved ones. Her husband Shams has over 20 years of extensive experience in the health industry in three different countries and holds two master’s degrees, in public health and health administration. They combined their expertise and started the path of a new housing model.
Nishad’s Indian culture, drawn from her parents and husband, influences her work and passion. It’s very simple to her, the concept that if you do good to others, good will come to you. She loves so much about India: the history, the food, the culture and, of course, shopping! She loves her life in Canada now and sees many similarities—good and bad—between the US and Canada. There is beauty in the nature and the culture of both countries, according to her, but it’s hard for her in either country to see some people treat others disrespectfully. “We all have a heart and blood running through our veins,” she says. “If someone is in trouble, help them as best as you can, whether it is with assistance, support or just giving them a smile.” Nishad misses the richness of Indian culture but would like to see more consistent education in the country, believing that would lead to higher standards of living, particularly when it comes to women, the elderly and the disadvantaged. She is optimistic, though, that that day is coming.
I see hundreds of communities a year in my travels for iN2L, and I feel the model Nishad and her husband are putting together truly represents the future. Rather than large institutional buildings, her communities are true homes with a small number of residents and an easier-to-manage smaller staff than is found in traditional senior living models. It will be exciting to see her real-estate business prosper. But her magic, from my perspective, is not in the business dealings of her communities; it’s the orphans! They now have a group of about 100 kids in India that they care for with the proceeds of their senior living communities and commercial properties. They have been able to give these children the love, care, education and health they deserve. Her goal is to give them the opportunity to be and do anything they wish to. Their model is to help more seniors in the US and Canada through their real estate and continue to channel that success to help more children in different parts of the world.
A remarkable woman, a remarkable story. Nishad and her husband have built a housing model that allows elders in Canada and the US to live in a dignified, respectful manner—and that success allows children in India to have hope. It’s a beautiful thing; thanks, Nishad, for the inspiration you provide.
York is co-founder of It’s Never 2 Late ® (iN2L), an American company dedicated to helping older adults realise the full benefits of today’s technology
As you grow old, you lose interest in sex, your friends drift away, and your children often ignore you. There are other advantages, of course, but these are the outstanding ones.
—Former British politician Richard Needham (b. 1942)
Q. My husband retired four months ago and it was something both of us were looking forward to. The reality, sadly, has been completely different. He has nowhere to go to and spend his time productively. His presence at home the whole day has resulted in a lot of interference in household activities, which he has no clue about. He is suddenly critical of my way of handling things and I seem to be stuck at home with an angry, old man. How do I handle this situation?
A. Retirement brings a major change in one’s life and like all changes, for some time, it is difficult to adjust to. While some people feel they have worked for too long and look forward to retirement, many silvers I have worked with believe they have retired too soon, and some are even petrified of the retirement years. Indeed, very few are able to plan right for their retirement; the majority of silvers create a rosy picture in their minds and when it is time, they find it far from reality. Let us understand this reality.
Retirement means:
- Loss of/reduced income
- Loss of a lifestyle
- Loss of a profession
- Loss of colleagues
- Loss of professional challenges
- Loss of a routine
- Loss of status
- Loss of privileges
- Empty hours
- Feeling of uselessness
If not handled properly, retirement can lead to:
- Suppressed anger
- Outbursts of anger
- Arguments
- Marital discord
- Loneliness
- Isolation
- Depression
- Financial instability
- Homelessness
- Fragmented family
- Compromised lifestyle
In your case, there seems to have been insufficient retirement planning. I can suggest some steps for you and your husband to make this phase of your life productive and meaningful.
The first step would be to sit with your husband and understand what he is feeling. Then, explain to him how you are feeling. Only when you both understand each other’s anguish and empathise with each other can solutions be found.
Some steps you can both take to give each other space are:
- Part-time employment
- Volunteering
- Making a routine for the day
- Socialising
- Distribution of household tasks
- Keeping some ‘me’ time
Some things you can do together are:
- Plan an annual holiday/weekend getaway
- Join social groups
- Cook a meal together
- Do a physical activity together
- Plan get-togethers with family and friends
It is important that you both keep your individual relationships alive. The more you communicate positively with each other, the happier your sunset years will be. Having a good relationship with family, both close and distant, friends and neighbours also adds zest to life.
My mother-in-law is 68 and has a severe knee problem. She has been advised to take the support of a walking stick but refuses to use it owing to the stigma attached to it. We are scared she might fall and hurt herself. What can we do to help her?
This phenomenon of the elderly not wanting to use a walking stick was one of the findings of my doctoral work. There is a resistance in using visible aids such as walking sticks as they are seen as an acknowledgment of ageing. There is also a factor of vanity. Recently, I visited a 94 year-old who was recovering at home after a hip surgery. She was able to walk with her stick but refused to leave home with it. She told me frankly, “I refuse to advertise my old age and helplessness.” So the problem you face is a fairly common one.
Be very kind and polite to your mother-in-law when speaking about the issue. Let your husband gift her a lovely wooden stick on any occasion, like her birthday, and cajole her into using it occasionally. When she uses it and finds it beneficial, she will accept it as part of her life. Some silvers even create a collection of walking sticks to match their attire! Just don’t make it an issue as she must already be feeling gloomy about reaching the next step of ageing.
Dr Rana is a New Delhi-based social gerontologist and Founder of Positive Aged. Email her with your queries at [email protected] or write to us at [email protected]. Visit www.positiveaged.com
CULTURE CAMEOS
I am 78 years old and write stories for kids along with my two writer friends Neelima Sinha, 79, and Neeta Berry, 65. These stories are illustrated and published under the aegis of AWIC (Artists, Writers and Illustrators for Children), the Indian section of IBBY (International Board on Books for Young People), an international organisation committed to bringing books and children together.
As part of AWIC, we have been travelling across the globe over the past eight years in support of IBBY’s conferences. This year’s edition, the 36th IBBY conference, was held from 30 August to 1 September in Greece with the enticing, and culturally relevant, theme: ‘East Meets West around Children’s Books and Fairytales.’
Thus, we left for our sojourn to every literary dreamer’s ultimate destination. We were excited to see this ancient land of Socrates and Homer with its ancient history and civilisation; the monuments, museums and temples depicting Greek mythology. It was a surreal experience to imbibe their culture and, at the same time, present our own culture to the world. Nilima Sinha’s paper, Presenting Ancient South Asian Literature to the West - Helping Promote Better Cultural Understanding Globally, compared different cultures and their influences over the world. And Nita Berry presented India’s Panchatantra – An Intrepid Globetrotter, tracing the eventful journey of Sanskrit literature’s oldest collection of fables and the world’s oldest collection of stories for children.
While the trip fuelled our passion for the written word even further, the tranquil blue of the Aegean and the ancient marvels of mythological Greece offered us great respite from the fast pace of the world.
—Indira Bagchi, Delhi
Old dilapidated buildings collapse, foot-bridges collapse, but why is the rupee’s exchange rate following suit?” asked an old-timer from our rummy group with mischief in his eyes. I could discern the source of this humour-garnished query as he was looking at the front page of a newspaper with the image of a rupee note under a red hammer. This comment set the economist in me wondering whether the downslide of the rupee should be a source of concern for silvers.
Currently, not a single day passes without financial news peppered with expressions such as ‘currency turmoil’, ‘rupee on a roller coaster’, etc., with reference to the falling exchange rate of our national currency. In an uncertain domestic and global environment, every piece of negative news in the world of finance and international trade contributes to a downward shift in the external value of the rupee.
What impact do these changes have on our day-to-day lives? To find an answer, it’s important to understand what causes fluctuation in the exchange rate of the rupee.
**Exchange rate decoded**
The exchange rate of the rupee is its price in terms of the currency of another country. This price is generally expressed in terms of the US dollar, as it is the most widely used and accepted international currency.
The rupee-dollar exchange rate indicates the number of rupees against one unit of the dollar. This is also referred to as the direct quote of the rupee exchange rate. But a rupee exchange rate against other currencies like the euro, Japanese yen, and many other currencies is also available.
The Indian rupee’s exchange rate is market-determined (floating exchange rate); it fluctuates in tandem with demand and supply. Till 1991, this rate was pegged to the US dollar and was fixed. Different countries follow different methods of fixing the exchange rate. An example of a pegged or fixed rate is the Saudi Arabian riyal rate against the US dollar.
In India, the Reserve Bank of India publishes on a daily and monthly basis the rupee exchange rate against major currencies such as the US dollar, euro and Japanese yen. These are also known as spot exchange rates. The given table shows how the value of the rupee has slid against the US dollar over the past three years, and more rapidly in recent times. In the current year itself, the rupee depreciated by 16 per cent.
The minute-to-minute and daily fluctuations in the exchange rate are crucial for foreign exchange markets where currencies are traded on a continuous basis. The players involved are banks, financial institutions, currency traders, exporters, importers, money transferers, etc.
**Factors that cause volatility**
There has been a significant increase in the volatility of the rupee exchange rate in recent months, eliciting positive and negative reactions from various sections. There is a range of factors at play that has contributed to the rapid depreciation of the rupee.
Although the RBI and other government sources have been maintaining an eagle’s eye on the situation, they have also adopted an arm’s-length policy in dealing with the matter. This is evident in their reluctance to intervene and stem the slide, leaving the situation in the hands of market forces. Some important factors that explain the volatility in the rupee exchange rate are as follows:
- Global markets have turned volatile, sending similar waves to emerging markets such as India. The trade war between the US and China has increased the threat of protectionism across the world, creating barriers to increased exports from countries such as India.
- As the US economy picks up and pushes up interest rates, hot money flows are reversing their direction from emerging markets such as India to the US. This creates pressures on the demand for dollars and a slide in the external value of the rupee.
- Crude oil prices continue to be at an all-time high and are constantly moving upward, disrupting the financial budgeting of oil-dependent countries such as India.
as India. Crude oil imports contribute 80 per cent to the oil requirement of our country. Rising oil prices have increased oil import bills, worsening the current account deficit.
- The big mess in the banking sector has exacerbated the situation and made it harder to contain the falling exchange rate. The IL&FS debacle has only worsened the banking scenario.
- None of the above factors seem to be in retreat mode, with new challenges to the stability of exchange rates not being ruled out. It would appear that the Government is underplaying the role of this volatility by emphasising the strong macro fundamentals of the Indian economy. Optimistic growth projections from the IMF are aimed at positioning India as the world’s fastest growing economy.
It is also contended that many other currencies have depreciated far more than the rupee, alluding to currency depreciation as a global phenomenon. But that doesn’t lessen shocks to the Indian economy in any way.
**The impact**
The common man is oblivious to the complexities of exchange rate mechanisms. However, people start scrutinising how the falling rupee exchange rate impacts their day-to-day life when:
- **They pay more for petrol and diesel:** Transport operators quietly transfer higher fuel prices to consumers by increasing the prices of goods and services. Parents start paying more for school bus services. Imported items such as mobile phones, computers, refrigerators and other goods become pricier. In short, a weakening rupee results in various inflationary pressures.
- **Loans get costlier:** Most people who have raised loans from banks for cars, homes, education, etc., will have to rework their financial planning for the year. This is because interest rates start rising as the rupee becomes weaker. A weaker rupee requires tightening of monetary policy. In simple words, depreciation in the rupee value results in upward pressure on interest rates.
- **Foreign capital outflows increase:** The hawkish interest rate policy adopted by the US is attracting capital flows to that country. A weaker rupee becomes the perfect ammunition for hot money to flow to other attractive destinations. These trends have an adverse impact on India’s economic growth.
**The implications**
Silvers are far more likely to feel the pinch, as they have a limited kitty to bank on. For them, a minor compensating factor is the slightly higher interest rate on savings, especially from non-bank fixed deposits, bonds and non-convertible debentures (NCDs). But it is necessary to be highly cautious while investing in private-sector FDs. The IL&FS fiasco is a lesson in gross financial mismanagement in our country.
Meanwhile, a section of silvers may be rejoicing when they find higher remittances in their accounts caused by a weaker rupee. But their joy can be short-lived, especially if they are making foreign travel plans. They will have to fork out larger amounts as the rupee depreciates. In addition to higher airfares, they’ll be paying far more rupees to spend a dollar abroad.
**What’s on the horizon?**
The exchange rate of the rupee that touched ₹74.22 on 5 October 2018 created ripples in the Indian economy and led to a bloodbath on the stock market, wiping out crores of rupees. Silvers were affected by this crash, as their investments in stocks and mutual funds plummeted in value.
Although the drop in the value of the rupee has impacted everyone, silvers have taken the worst beating. They need to rework their asset allocations to pare down further risk.
The Indian economy is unlikely to be spared of these global crisis headwinds as well as domestic challenges. And these can become a spoke in the wheel of economic growth and lead to higher inflation. In all likelihood, this volatility will be a fixture in the period ahead and silvers will have to alter their financial strategies to protect their nest eggs.
*Rupees = 1 US dollar
Source: Reserve Bank of India
Diwali brings with it immense joy and happiness. However, amid the air of festivities, we tend to binge on irresistible sweets and fried savouries and our joy soon turns into guilt. Silvers suffer most at such times—the bingeing turns into addition of calories, weight issues and, ultimately, health problems.
We all know that eating the wrong food is the root cause of our daily spiritual, mental and physical worries. Even ancient historical texts mention the gods consuming nourishing grains, scrumptious vegetables and delicious fruits as they believed in the power of nutritious, healthy foods. Unfortunately, today, we choose unhealthy foods such as white sugar, white refined flour, artificially coloured preservatives and chemical-laden foods over wholesome foods. We need to sit back and understand that it’s important to shield our bodies from the hidden effects of these ‘legalised illegal drugs’. Making the shift away from them will help boost immunity and protect us from diseases.
This Diwali, as we celebrate the victory of good over evil, let us usher in good health by eating right. So get rid of unhealthy food and add organic fruits, vegetables, whole grains, pulses, fats, spices and plenty of water to your daily diet. This will infuse your body with abundant energy and good health and strengthen your mind. Consider the following changes in your lifestyle and food habits.
Lower your sweet intake: No Diwali celebration is complete without sweets but pay attention when you gorge on them. Enjoy the pleasure of eating sweets with small bites that prevent you from reaching out for more. Also, opt for homemade sweets that are healthy, as you know exactly what ingredients they contain. If you must opt for outside sweets, choose ones made from natural sugars. High sugar consumption puts you at risk for liver disorders. Also, though sugar-laden items give you an instant boost of energy, your energy level will drop equally fast.
Consume less salt: Salty foods cause water retention and swelling in the body and increase your blood pressure. So go easy on such foods.
Control your portions: Remember the trick; a small plate means less food. When visiting your friends and family for Diwali, eat in smaller plates to control the quantity of food you eat. Avoid second helpings.
Stay hydrated: Overeating during festivals means not having enough water, which causes dehydration in the body. Remember to sip water throughout the day or sip on liquids such as coconut water, buttermilk or fruit juices to maintain your electrolyte balance. Stay away from alcohol and aerated drinks or mocktails that are high in sugar and also lead to dehydration.
Plan your day smartly: Plan your festival visits in such a way that you can have your major meals at home. If you have to eat lunch and dinner outside, choose your foods wisely. Avoid oily foods and gravies and switch to more vegetables, dals and salad-based meals.
Gift good health: Diwali is a time when we visit our near and dear ones with festive gifts. Instead of sweets, fried snacks and refined items available at stores, why not gift good health to your family and friends for the festive season? Dry fruits such as dates, figs, raisins and nuts like almonds, walnuts, cashew nuts and pistachios or an assortment of seeds like flaxseeds, sesame seeds, chia seeds and sunflower seeds make ideal gifts.
**NON-FRIED SAVOURIES**
- Handwa
- Sweet potato chaat
- Baked potato peas
- Ameri khaman
- Stuffed masala khichiya
- Paniyaram
- Sabudana khichri
- Paanki/corn paanki
- Stuffed paneer
**MEAL CHOICES FOR EATING OUT**
- Dahi aloo chaat
- Fada ni khichri
- Thalipeeth
- Sauteed veggies with rice
- Vegetable korma and tandoori roti
- Tomato soup with bake au gratin and whole-wheat buns
**HOMEMADE SWEETS**
- Beetroot halwa
- Fruit custard with stevia
- Baked sandesh
- Baked gulab jamun
- Baked yoghurt
- Sweet rice
- Sheera (made with jaggery)
- Steamed modak
- Phirni
- Fruit chaat
Easy festive recipes
FRUIT SALAD
INGREDIENTS
- Ripe banana: half
- Apple (or orange): half
- Strawberries: 4 to 5; chopped
- Pineapple: 100 gm; chopped
- Dates: 2; chopped
- Raisins: 2 tbsp
- Mint leaves: 4 to 5; chopped
- Lemon juice to taste
METHOD
Peel and dice the fruits into cubes. Mix all the fruits in a bowl, add dates, raisins and mint leaves. Squeeze lemon in it and toss well. Chill and serve. (Note: Mix lemon juice immediately after cutting the apples and bananas to prevent them from turning brown.)
STUFFED KHICHU
INGREDIENTS
For the khichu
- Rice flour: 1 bowl
- Water: 3 bowls
- Cumin seeds: ½ tsp
- Chilli paste: ½ tsp
- Salt to taste
For the stuffing
- Coconut: 2 tbsp; grated
- French beans: 2 tbsp; chopped
- Carrots: 2 tbsp; finely chopped
- Green peas: 1 tbsp
- Green chilli paste: ¼ tsp
- Coriander leaves: 1 tbsp; chopped
- Dry mango powder: ¼ tsp
- Salt to taste
METHOD
Take water in a deep non-stick pan; add cumin seeds, green chilli paste and salt to it and boil on high flame for 2-3 minutes. Add rice flour and mix well, stirring continuously with a wooden spoon so no lumps get formed. Cover with a lid and allow it to cook on slow flame, stirring in between, for 5-7 more minutes or till the mixture leaves the sides of the pan. Divide the khichu into equal portions and make small balls of it. Boil the French beans, carrot and peas in another vessel till they become soft. Now, take a pan and add the boiled vegetables to it. Mix salt, green chilli paste, coriander, coconut and dry mango powder with it to prepare the stuffing. Flatten the khichu balls, insert the vegetable stuffing in the centre and fold from all sides. Serve hot stuffed khichu with a mixture of red chilli powder and oil.
SWEET POTATO CHAAT
INGREDIENTS
- Sweet potato: 100 gm; boiled and cubed
- Pomegranate seeds: ½ cup
- Green chilli: half; finely chopped
- Ginger: ¼ inch; finely chopped
- Chaat masala: 1 tsp
- Coriander leaves: ¼ cup; finely chopped
- Lemon to taste
- Rock salt to taste
METHOD
Add the sweet potato cubes, pomegranate seeds, green chilli and ginger in a bowl and toss it well. Squeeze lemon juice on top, add chaat masala and salt, and mix well. Garnish with coriander leaves and serve.
Setalvad is an obesity and lifestyle disease consultant who offers diet counselling at Health for You, a wellness clinic in Mumbai, as well as online. Visit www.nainisetalvad.com for more details or write to [email protected] if you have any queries for her
In 2005, when Asha from Koduman village received the keys to her newly constructed house, she couldn’t stop tears from rolling down her cheeks. The 400 sq-ft house was self-contained, with two rooms and a galvanised roof, completely different from the one she previously lived in—a plastic shed with a makeshift dupatta that loosely hung in place of a door. After her parents passed away, Asha lived with her grandmother and struggled hard to make ends meet. “I was moved to tears when I learnt about her financial condition. The house she lived in was unsafe; so I decided to help her by building a new house for her,” says 57 year-old Dr M S Sunil, a zoology professor at Catholicate College in Pathanamthitta, situated in Central Travancore region in Kerala.
Dr Sunil is a sterling picture of humanity and compassion for thousands of underprivileged and homeless people of Pathanamthitta. From creating employment opportunities and facilitating a steady income to building homes for the homeless and paying their utility bills, she has helped them to the best of her abilities. “The extent of our dreams is limited to our basic needs of survival, something that most people are deprived of,” she reasons. “When a home becomes a reality for whom it was a once a dream, it opens avenues for bigger dreams and greater potential.”
Back in 1989, Dr Sunil never dreamt that her small acts of charity would pave the way to a journey towards philanthropy. As a 28 year-old PhD student conducting research at the aquatic biology and fisheries department in the University College at Shankhumugham, Thiruvananthapuram, she served food to impoverished children outside the university gate and helped them with clothing. “I was always passionate about helping people and
“I accept money from one patron for one house to maintain authenticity and transparency. Hence, during the handing-over ceremony, I announce the name of the patron, so people know the ones who showed kindness and compassion”
inclined towards solving their problems,” she says. “Back then, I didn’t know it was called social work.”
Later, in 1994, she joined as a zoology teacher at the Catholicate College in Pathanamthitta. Though her charity continued in small ways, she truly explored her philanthropic bent in 2005 after joining as an officer of National Service Scheme programme that focussed on community service. There, she came across many students who needed financial help and decided to make a difference to their lives. Her first beneficiary was Asha, an MSc student at Catholicate College, from Koduman village.
Dr Sunil procured some land with the help of the village council. With an extensive and demanding collection drive, she managed to collect ₹ 60,000 and got a brand new house constructed for Asha. The rehabilitation completely turned the student’s world around. Today, many years hence, she’s employed as a teacher at Government Vocational Higher Secondary School in Kaipattoor, Kerala, and married to an Army personnel with a daughter studying at Kendriya Vidyalaya. The project also set the trend for more success stories to follow.
Sreelatha, another beneficiary of Dr Sunil’s largesse, also lived under a makeshift plastic shed in the same area.
A solo breadwinner in her family, she worked hard to support her paralysed husband, two daughters and a niece. But this time, Dr Sunil moved on from conducting a collection drive; she looked for a benefactor instead. “Within three days, she found a benefactor for our house. Even in those three days, she personally came over to our place to provide us food and financial aid. To date, she helps us with medicines, books and other basic needs,” says Sreelatha.
With time, those in need of help started directly approaching Dr Sunil, who was actively involved with empowerment and development programmes. People from her village as well as strangers knocked on the doors of ‘Kripa’, her home in Azhoor, near Pathanamthitta town. But the doors would be open to only those who asked for help for other people. There were some she stumbled upon on her own or who approached her directly, but she made it a point to conduct extensive research to assess the family’s financial needs.
With time, people began trusting Dr Sunil for her transparency and generously came forward to help. Among the first benefactors was Kokkathodu-based K P George, who is currently running for municipal elections in Fort Bend County, Texas. His example paved the way for more sponsors from India, as well as beyond borders. The impressive list includes Dr Philipose Mar Chrysostom, metropolitan emeritus of Malankara Mar Thoma Syrian Church; Dr K P Yohannan, founder and metropolitan bishop of Believers Eastern Church; and P J Kurien, educationist, social activist and former deputy chairman of the Rajya Sabha.
As a policy, Dr Sunil began to adhere to single donors for one house. “I accept money from one patron for one house to maintain authenticity and transparency. Hence, during the handing-over ceremony, I announce the name of the patron, so people know the ones who showed kindness and compassion,” she explains. Whenever there was a shortage of funds, she never hesitated to put in her own money; at one time, she even roped in her husband P Thomas, who owns a supermarket in Pathanamthitta, to fund the construction.
Over the years, Dr Sunil’s work of building homes has grown from strength to strength. And helping her in her selfless journey is K P Jayalal from Konni, who has been
actively working with her since 2008. Jayalal is a man of few words but immense zeal to rehabilitate people. Under the umbrella of Dr M S Sunil Foundation, they have built 107 homes till date, the latest in Pandanad, which was drastically affected by the recent Kerala floods. Together, they have also rehabilitated 74 families in Pathanamthitta, one in Kollam district and two in Alleppey district.
As part of her charity work, Dr Sunil has donated livestock to over 30 families to help them maintain a steady source of income, donated books and stationery items to over 1,000 students, provided spectacles for silvers, supplied hearing aids and donated over 278 wheelchairs to the differently abled, sometimes through sponsors or out of her own pocket. She also helps people pay their utility bills and provides grocery kits to over 50 families every month to improve their standard of living.
That’s not all. Being the NSS district coordinator since 2014, Dr Sunil is responsible for organising blood donation drives and seminars on environmental protection. “We organise at least four blood donation drives every year and collect an average of 300 units of blood with each drive. My college students and I have donated blood many times and so have our families,” she shares. She was bestowed the ‘best blood donor motivator’ award by NSS for five consecutive years.
She is also a part of the District Police Programme and actively works towards raising awareness against drug abuse and traffic violations. “I have known Dr Sunil for the past 10 years and she has really inspired the masses. It is difficult to quantify the impact generated by her work but the large number of people showing up in her drives keeps everyone in high spirits,” asserts Leelamma A R, sub-inspector of Thannithodu police station, Pathanamthitta, who also helps Dr Sunil with logistics and supports her in these programmes.
Dr Sunil also financed an operation for a women’s employment unit for manufacturing LED bulbs some time ago. Unfortunately, the project was shut down within three months owing to lack of financial assistance. “We made about 800 LED bulbs at that time and all of them are now being used in the houses we’ve built,” she reveals.
During the Kerala floods this year, her foundation conducted relief work by providing clothes, food kits, garments and kitchen utensils. “Most areas were adversely affected in our region and many people had lost their homes,” she says. “Our volunteers coordinated with the district collector of Alappuzha district and helped as many as 75 families.” Not surprisingly, the next house being built under the foundation is for a flood-affected family.
In recognition of her contribution to society, this year she was honoured with the Nari Shakti Puraskar, the highest civilian honour for women in India, by the Union Ministry of Women and Child Development. Not one to rest on her laurels, Dr Sunil declares, “There are miles to go before I rest.”
Once bitten...
Chennai-based herpetologist Romulus Whitaker has a charm and rare enthusiasm towards creepy-crawlies, and has saved countless lives through his decades-long work, writes Jayanthi Somasundaram
Romulus Whitaker was hard to miss on the streets of Madras in the 1970s. The handsome young man with an American twang and natural swagger would cruise around the city on his motorcycle, a 3-ft snake tangled in his flowing hair.
Whitaker was a poster boy all right, just not the typical kind. The arresting image drew international attention to his work with snakes in a country where these reptiles are usually regarded as a symbol of evil. “My favourite image is that of a cobra shielding the Buddha from the sun or being used as a belt by Ganesha or a necklace by Shiva,” says the 75-year-old herpetologist, who was conferred the Padma Shri for his work earlier this year.
Indeed, no single individual has contributed as much to the conservation of snakes and crocodiles in India as Whitaker, who along with like-minded colleagues has set up six pioneering institutions that are changing the way Indians perceive these reptiles. “The best thing about my work is that it sends waves of interest out to younger, more energetic people to keep this work rolling,” says the Chennai-based conservationist, who is famously known for setting up India’s first snake park in the city, then called Madras, in 1972.
Whitaker caught his first snake when he was just four. It was at their family country estate in New York state that he brought home a non-venomous American garter snake. “My mother said, ‘How beautiful!’, and soon she bought me *The Boy’s Book of Snakes* by Percy A Morris,” he smiles. This was his first book on snakes. It triggered an obsession and soon he started a collection of milk snakes, garters, ribbons and ring-necked snakes at home.
When Whitaker turned seven, his mother married into a well-known Indian family and they moved to Bombay, now Mumbai, in 1951. For the next 10 years, Romulus went to boarding school in Kodaikanal, Tamil Nadu, where he spent his weekends scouting for snakes and learning jungle lore from local hunters in the forests.
After finishing high school in 1960, Whitaker returned to the US for further studies. Following a failed attempt at college and a stint as a travelling salesman and merchant seaman, he worked at the Miami Serpentarium run by legendary snake man Bill Haast, a man he calls his guru, from whom he learned the techniques of safely and humanely extracting venom.
Returning to Madras, Romulus started out by producing and selling snake venom. “I was sourcing snakes, particularly kraits, from all over India and came to know the Irula snake catchers in South India,” he shares. The Irula tribe of Tamil Nadu are aboriginals whose traditional occupation is catching rats and snakes. “When I first met them, all I wanted was to work with them, learn from them, and involve them in developing more of my ideas.”
Eventually he rented a plot of land with an old house, where he put up snake enclosures, a signboard, and got some newspaper publicity. The people of the ‘Land of Snakes’ needed to see and learn about these much-maligned yet fascinating creatures, he reasoned.
The experiment worked. It was also the beginning of Madras Snake Park (now the Chennai Snake Park). “The Tamil Nadu Forest Department gave me a 25-year lease on a plot of lovely scrub jungle in Guindy Deer Park, right in the heart of the city. The new snake park was an overnight success and soon we were getting a million visitors a year.” It attracted generous media coverage and among the high-profile visitors was then prime minister Indira Gandhi. “Mrs Gandhi went away with a new appreciation for snakes, lizards, crocodiles and turtles, which she later acted upon,” says the herpetologist.
From snakes to crocodiles is but a small step and Whitaker soon found himself on a new mission. “My former wife Zai and I realised the snake park was not big enough to breed crocs, which had become endangered in India. So we had to raise money to buy land to set up the Madras Crocodile Bank Trust. We had a total of ₹ 14,000, which we had got as wedding gifts and bought the first 3 acre of what is now the famous croc bank on East Coast Road in Chennai.”
After setting up the crocodile bank, Whitaker went back to university and earned a BSc degree in wildlife management from Pacific Western University in the US. “The only reason I wanted the degree was so that I could apply for a PhD. I thought people would see me as a ‘serious’ herpetologist, not just a ‘pop’ one.” He never did pursue the PhD though as he was having far too much fun chasing snakes in jungles around India and learning on the field.
Whitaker has written over 200 scientific papers on reptiles, in addition to founding India’s first herpetological journal, *Hamadryad – Journal of Tropical Asian Herpetology*, now in its 37th year of publication. He also has eight books to his credit.
His work on king cobras and snake venom research has been featured in books, magazines, and documentaries, including the Emmy-winning *King Cobra* produced and directed by Whitaker himself. His fascination for the king cobra, the world’s largest venomous snake, resulted in a collaborative study with Matt Goode, an ophiologist (a herpetologist who specialises in snakes) from the University of Arizona in the US. The study combined research, public education and a plan for the snake’s conservation. “Hundreds of adult king cobras are rescued from people’s homes and gardens every year and many king cobra nests are found and monitored,” he says. “The work goes on and the king cobra has now become the most studied snake of the more than 300 species of snakes found in India.”
Some of Whitaker’s fondest memories are of his snake-hunting adventures with the Irulas. In 1975, hundreds of Irula families were rendered jobless when the snakeskin industry was dealt a death blow. While this was a landmark conservation measure for snakes, for the Irulas, it spelt doom. Whitaker shared his venom extraction knowledge and techniques with the Irulas and set up the Irula Snake Catchers Cooperative Society in 1978.
The Irula Cooperative is the only organisation allowed to make legal use of snakes in India. (They have licences for 8,000 snakes each year for their venom; after extraction, they release them.) It now supplies 80 per cent of the venom needed to make the over 2 million vials of anti-venom used to treat snakebite in India each year. Whitaker has also taken the Irulas to Florida to trap pythons that are wreaking havoc on the endemic mammals and birds in the Everglades National Park.
For Whitaker, embarking on a sub-career in filmmaking in 1985 was purely to reach out to more people. His first film was a collaborative effort with his school friends in 1985. “It was called *Snake Bite* and was the story of how two people were bitten by snakes. While the first was treated by a village quack, the latter got a shot of anti-venom at the hospital. Anti-venom wins!” he cheers. The film went onto win a gold medal from the British Medical Association.
Later, he produced and directed a full-length feature film, *Mudalai* (Crocodile) with his former wife Zai, for the Children’s Film Society of India. In 1989, the film won many awards including the Silver Elephant at the 6th International Children’s Film Festival, and Best Feature Film at the International Centre for Film for Children and Young People. Made in Tamil, Hindi and English, the film was also screened as part of a Christmas Eve telecast in Stockholm, Sweden, in 1991.
“This encouraged me to meet the National Geographic people and that’s how I met my wife Janaki Lenin, a film editor. We put together the idea of *King Cobra*,” he reflects. The 53-minute film, shot in the rainforests of Kerala and Karnataka, won an Emmy Award for Outstanding News and Documentary Programme in 1998. “One of the best things about that project was that we were able to buy a new jeep, which we used to drive around the Western Ghats. We had so much fun that I even thought of telling Nat Geo that I would just do the reece trips,” he jokes.
For someone who can’t stay away from the wilderness, Whitaker now spends a lot of time in front of a computer, writing proposals on behalf of Madras Crocodile Bank Trust, where his son Nikhil is curator. This project researches the venom of snakes from different Indian regions in order to test the efficacy of anti-snake venom. “As the India project manager for the Global Snakebite Initiative, an international NGO, I’m helping to collect venom samples to improve Indian anti-venoms, promoting a nationwide snake conservation and snakebite mitigation outreach programme by producing short videos and involving schools and rural communities,” he tells us. “I’m doing this for the people, as much as I’m doing it for the snakes.”
Like most other wildlife conservationists, Whitaker cannot always quantify his work. But there are times when figures can speak for his success. When he co-authored *Snakes of India, the Field Guide* in 2004, there were 276 species of snakes that had been documented in the country. As of July 2018, he notes, a total of 302 species have been identified in India, including several wolf snakes, vine snakes, cat snakes and tree snakes.
Whitaker wants people to look at snakes as innocent things of beauty, not vengeful creatures. He believes most children would be fascinated with these reptiles if their parents had not instilled a sense of fear in them.
“Both our boys Nikhil and Samir were fearless about snakes and other creepy crawlies. As parents, we had to actually caution them and teach them what they could and couldn’t touch. Once, Samir came up to us carrying two venomous saw-scaled vipers, exclaiming, ‘See *Dada*, cat snakes [which are harmless lookalikes of vipers]!’ I calmly told him to put the snakes down, very carefully, and then gave him the requisite shaking and shouting so he’d remember to be more careful,” Whitaker laughs. He still savours the memory of his 8-ft pet python slithering out of his parents’ apartment on Marine Drive, Mumbai, sending his neighbours running for cover! “Later, I found it hiding under a trunk in our own store room,” he grins.
Whitaker points out that snakes are under considerable pressure from habitat loss, especially those that live in the dwindling forests of the Western Ghats. “And in the Eastern Ghats, king cobras are being killed on sight even though there is no record of a king cobra bite in that region,” he rues, admitting that at 75, age has slowed him somewhat. But given the amount of work that is yet to be done, he says he is inspired to act even faster.
He arrived on the scene with a bang at the age of 17 when he was named ‘Best Schoolboy Cricketer’ in 1966. Sunil Manohar Gavaskar’s style of batting and stroke-making sent the bowlers fetching and left the audience in awe. If there was anyone in the Indian team who could prove to the ‘fearsome quartet’ in the Caribbean Islands, it was the ‘Master from Mumbai’.
Gavaskar was under the tutelage of his uncle and former cricketer Madhav Mantri, which meant he aimed to be as close to a perfectionist as possible while always being able to stoutly put a ‘price on his wicket’—he recollects how his uncle once berated him when he threw his wicket away after scoring a double ton. When he arrived on the big scene, Gavaskar was made to wait for a good two years before he was selected as a member of the Bombay Ranji squad. So fierce was the competition then, that all he wanted was a match or two to show his prowess. When he finally got the opportunity, he didn’t disappoint—Gavaskar soon made his way into the Indian team and was sent on a jet to the celebrated tour of West Indies in 1971. The ‘Little Master’ had arrived and his critics were silenced.
Part of the first World Cup winning team, which stands at the top of his personal list of achievements, Gavaskar also played in the prestigious World XI squad, which included the greats of the era, and was chosen by Sir Donald Bradman himself. The original Indian ‘Wall’ went on to break his record for the most centuries (he had the highest of 34 tons and was the first to surpass Don Bradman’s 29). After being eulogised for his dexterity on the field, he took to the mike—over a period of three decades, he has become the voice of Indian cricket, on radio or television—and ‘played straight’ with his columns. Now, 69, Gavaskar looks back on his career, travels, his partnership with his family, and his love for his favourite sport: badminton! Here are some excerpts from an exclusive interview.
Haresh Patel
SUNNY THE ‘BUSINESSMAN’
It’s been over 33 years for Professional Management Group (PMG). Was it a risk to venture into this sphere, especially during your playing days, and has your decision to enter management been vindicated?
To sustain the company and make it what it is, more than 90 per cent of the work was done by Sumedh Shah. We started the company in October 1985. We were earlier into player management and got off that as it wasn’t an easy stream at that time. We then focussed on columns and TV programmes and got into golf and tennis. We came back into player management 10 years ago. Today, PMG is what it is owing to the huge contribution of Sumedh. Now, Sam Balsara and N D Mehta are partners in the company.
As a sportsperson, where jobs were far and few, you were associated with companies like ACC and Nirlon. After that, was it a conscious move to get into player management?
Cricket wasn’t a career in those days; if you were a half-decent cricketer, it got you a job in a corporate entity. The Times of India Shield used to be huge and there were lots of corporates who participated and got mileage if their team did well. Players playing in the ‘D’ division could showcase their potential. Companies like the Tatas would have their best team in the ‘A’ division but one of their teams would also play in the ‘D’ division. So one needn’t be playing for India or Ranji Trophy; even if you were a good club cricketer, you could land a job. Those jobs meant you would work till your retirement age of 60.
You have been the Indian voice in the international arena for the past three decades; what prompted you to take a role behind the mike?
I think I was lucky to be in the right place at the right time. It was 1990 and Sachin Tendulkar had got his first century in England. At that stage, too, it didn’t look like I wanted to do commentary. Also, I didn’t want to travel the world for matches that didn’t involve India. I was clear in my mind about that. Then, India went to Australia and I was invited to do commentary for Channel 9. When cable TV came into India, BCCI won a landmark case against Doordarshan and broke its monopoly; the cricket board was paid for the broadcast rights to show the 1993 England tour of India. From there on, it became a second profession for me. PMG is still my primary profession.
You are regarded as India’s first ‘Little Master’. How did that moniker come about?
The ‘Master’ was first used for Jacks Hobbs. He scored 197 first-class hundreds and 100 of those came when he was over 40. Those were the days when people played on uncovered pitches; achieving this feat was incredible. Hanif Mohammed from Pakistan batted for three days to get his 337 against the West Indies. At that time, it was the English winter. All the English writers were trying to avoid the winter at home and went to the Caribbean to get the ‘sun’ and ‘cricket’; one of the writers called him the ‘Little Master.’ So after that, whoever was short and scored well was given that title! The original one was Hanif Sir.
LITTLE BUMPS & EARLY STRIDES
You waited almost two years to get into the Bombay squad and were on the sidelines for most of that time. How difficult was it to cement a place in the Ranji team?
It was very difficult to get into the Bombay team. You had eight to nine players in the national side from Bombay. So, the popular talk in those days was, “It is easier to get in to the Indian team than the Bombay team.” I understood it wasn’t going to be easy and that I may get a match or two in my entire career. I had to prove myself to know whether I belonged there.
I played one match for the Irani Trophy, which was against the Rest of India; 21 players were vying for a place in the India team to go to Australia, for which the squad was going to be announced after the match. I was the
22nd player and didn’t consider myself in contention; I failed in both the innings. After that, I didn’t get an opportunity to play for another three years despite scoring runs for clubs and inter-university cricket. That’s how Bombay cricket was and I am not complaining about the fact I wasn’t chosen. There were players who were scoring runs in the Bombay team who couldn’t be dropped.
By the time you cemented your place in the Bombay team, you must have learned a lot from your travels with ‘greats’ in the team. Could you shed some light on your travels and how they helped you become a better cricketer?
The Bombay Cricket Association (now Mumbai Cricket Association) took care of the players very well. We travelled first class and virtually got the entire bogie
With former cricketers Maninder Singh (extreme left), Mohinder Amarnath (second from left) and Praveen Amre (second from right). Also seen are commentators Sushil Doshi (third from right) and Charu Sharma (extreme right)
to ourselves. This was because we were the champions. Unlike now, where the support staff outnumbers the players, we had just one manager and a masseur. There was a great bonding experience. Suppose we travelled to Calcutta, we would spend two nights in the train and it was fantastic for the simple reason that the youngsters and seniors would congregate in one cabin. The youngsters would lie on the upper berth while the senior players would sit below and play cards to pass time. Even while they were playing cards, we would be talking cricket, there was a bit of leg-pulling—we were soaking in all the experience and knowledge. This also meant we could see the greats as pure ‘human beings’. Sometimes, one is overawed by them but luckily that didn’t happen to us because they showed us their personal side. They would be sitting in shorts or lungis or wearing a plain ganjee [vest]; when you see someone in very casual attire, all the formalities seem to be broken. I would recommend it to anybody! Even touring in a team bus was a great bonding experience, especially when we were touring in England. Where is a chance to do something like this in an aircraft?
Who were your mentors and what did you learn from them?
When I played for Dadar Union [Matunga, Mumbai], I had my uncle Madhav Mantri [who started Dadar Union], V S ‘Marshall’ Patil, Vasudev Paranjpe, Ramnath Kenny, Narayan Pai and Naren Tamhane around. When we met, we could see the discipline in them. Whoever you were or however popular, if you didn’t come half an hour prior to the match and if you came a minute after 10 am, you were dropped. They mentored us by telling us to keep our shoes white, our leg-guards white. There was no issue about getting your clothes dirty on the field, but then you had to wear your whites the next day.
Please tell us more about Madhav Mantri as an influence on your career.
Both he and my father Manohar were huge influences on me. I make a mention of Madhav Mantri at almost every corporate
“The World Cup win cannot be compared to anything. That was the greatest moment of my career; that win still gives me goosebumps. Nothing can match that win and nothing comes close. We were happy to have hundreds of Indians thronging the ground after the match”
event with regard to my playing career. Our residence was at a distance from his and we would visit him only once in two to three weeks. But when we shifted closer during my first year of college, I remember going to his house very frequently. One day I opened the drawer of his cupboard and saw a lovely woollen sweater. There were also so many caps. So I asked him, “Can I have this cap? You have so many of them.” He said, “No, I can’t give it to you. You have to earn it. These are the caps I have earned. Unless you earn it, you can’t get this cap.” These words had a profound impact on me as they taught me the value of hard work and not getting things easily in life. Today, you can get the Indian cap easily owing to merchandising as well as counterfeiting. It’s available for ₹ 100 on the street. I really feel sad about it. In Australia, the merchandise available for fans is different from what is worn by the players. Everything remains the same, but the logo is different. There is a distinction; it has to be earned.
We believe your mother would celebrate every ton you scored by gifting you some money....
At the end of the series, my mother would give me a rupee for every run I scored. So if I scored 500 runs in a series, my mother would gift me ₹ 501 in an envelope. Despite shifting residences, I have most of those envelopes unopened and in the old currency. It was more like a blessing. My father would treat his colleagues at his office with sweets every time I scored runs.
You have often been compared to the great Sir Donald Bradman. Could you share the incident when ‘three Bradmans’ converged at one place?
It is huge honour to stand on the same pedestal with Sir Donald Bradman. Nobody can be compared to him; he was such a phenomenon. Nobody in the game will ever come close to his average when they finish playing cricket, nor to the consistency with which he scored his runs. His appetite for double and triple hundreds, whether playing first class or international cricket, was immense. We were part of the Rest of the World (RoW) team that travelled to Australia in 1971-72. The Australian government had cancelled the tour of South Africa owing to apartheid and we had come to fill in the season. I was in the RoW team with Sir Garfield ‘Gary’ Sobers. In those days in Adelaide, you got off the tarmac and walked to the airport. Sir Bradman, who had picked the RoW team, was waiting for us and especially for Gary Sobers, whom he got along very well with. Bradman asked Sobers, “Where is that little fellow from Bombay?” At that time, Zaheer Abbas, who was also in the team, also came forward to meet Bradman. The good old Rohan Kanhai saw that and exclaimed, “Here is the ‘Bombay Bradman’, there is the ‘Karachi Bradman’ and here is the ‘Real Bradman’!”
SKIPPER’S CAP & THE CUP FOR LIFE
Did you enjoy your captaincy? How important was it to be in form to get the best out of your boys?
It was enjoyable 95 per cent of the times. You won’t find it enjoyable if you are not pulling your weight in the team. I could not ask the players to do things when I was not doing well. It was not difficult to motivate the players at all. We were among hundreds of players vying to be in the Indian team. None of us took it as a privilege; we never took it lightly.
The 1983 World Cup was a big win.....
The World Championship in 1985 was close to being on a par with the World Cup. But the World Cup is the World Cup. That win cannot be compared to anything. That was the greatest moment of my career; that win still gives me goosebumps. Nothing can match that win and nothing comes close. It was a magnificent moment to watch Kapil Dev lift the Prudential Cup on the Lord’s balcony. We were happy to have hundreds of Indians thronging the ground after the match.
LOOKING BACK
You have enjoyed close rivalries against teams, some of them really intense. Which teams you would identify as the fiercest in your times?
Clearly, the West Indies and Australia were the teams you always wanted to do well against; so was Pakistan. Sri Lanka wasn’t a Test playing nation until the last couple of years of my playing career. Pakistan had some great players in the 1970s. I cherished playing against Pakistan but, most important, I got to learn something new from every game.
Was retirement a tough decision or could you see it on the horizon?
I got the message almost a year earlier. In the last couple of years of my playing career, I was looking at the clock
around teatime and saying to myself, “Another 20 overs of fielding till the end of play.” That is when it struck me that I wasn’t enjoying myself on the field. And when the time came it was easy for me to take a call on retirement. [Gavaskar played his last Test against Pakistan in Bengaluru in March 1987 and his last ODI versus England in Mumbai on 5 November 1987 in the World Cup semi-final.]
Surpassing Don Bradman’s 29 centuries would be one of your most cherished moments....
I would imagine so. Initially in my career, to share a dressing room with some of my heroes like M L Jaisimha, Salim Durani and Ajit Wadekar and then playing my first series against the likes of Rohan Kanhai and Gary Sobers was unbelievable. I met ‘Don’ in my first year of international cricket in November 1971 when I toured Australia after England and West Indies. It was a tremendous learning experience.
Who was the best skipper you played under?
I enjoyed playing under Ajit Wadekar (also read “Off the cuff” on page 70). When I started playing for Bombay, he was my skipper, and also when I made my debut for the Indian team. Ajit as a captain was tremendous and had his own methods of doing things. He often used Eknath Solkar and me to pass the message to others. He would scold us to make others aware despite us doing nothing. As we were Mumbai boys, he could say things to us. He would later come and tell us that the message was meant for someone else! Look at the success he had in the West Indies and England—he was the first captain to register India’s first wins in those two countries. I played under six to seven captains but Ajit was the best.
THE ‘SUPER’ STAR
How did it feel to be part of the comic strip, Sunny The Supersleuth?
I was pleasantly surprised to see a comic strip few days ago when someone came up to me for an autograph. I was seeing that after a long time. I would like to get hold of the copy. I know that I am comfortable flying but superheroes go all over the place and fly like a rollercoaster or a giant wheel—I don’t think I can do that!
Did you ever feel your story should be documented in a movie?
My life has been quite well-documented. There hasn’t been much documented on Dhyan Chandji. If someone should be on the silver screen, it should be him. I don’t think my life needs to be documented!
“For me, the No. 1 sport is badminton, over and above cricket. I didn’t have the legs and lungs to play singles as a profession. Cricket is my life and what I am is because of cricket. However, had I not made my mark in cricket, I would like to have done so in badminton”
THE ‘BETTER’ INNINGS
How often did your wife Marshneil accompany you on tours? Did she have to take a backseat while you were travelling with the team?
I preferred to take my wife everywhere, wherever I toured. The BCCI didn’t tell us officially but they generally didn’t want wives to be a part of the first half of the tour because that is when you are getting into the groove and you have certain official functions, like visiting the Indian ambassador at the embassies. When I got married, I was a vice-captain and got a room for myself. So she could stay and it would not disturb anybody. Later on, when I stepped down from captaincy and had to share a room, there was a question about how to adjust. I wasn’t the only one with a wife on tour. To accommodate our partners, we would request the fast bowlers for their rooms. The Kapil Devs, Madan Lals and Karsan Ghavris wouldn’t sleep on the bed; they slept on the floor to rest their backs. So we had to request them early for their rooms—100 times out of 100, they accommodated us!
How do you spend a regular day now?
I usually take it very easy, sleep and read a bit.
It’s hard to believe that badminton is a sport you rate over cricket!
For me, the No. 1 sport is badminton, over and above cricket. I used to play till five to six years ago. I didn’t have the legs and lungs to play singles as a profession. I think it’s a fabulous game that requires high skill and stamina. Now, fitness has become an integral part of the game. If you see the rallies, they are 40-50 strokes, which is just amazing. Cricket is my life and what I am is because of cricket. However, had I not made my mark in cricket, I would like to have done so in badminton.
LIFE TODAY
What’s it like to be a grandfather?
The best hat I wear now is that of a grandfather. It’s an education in itself. When you spend time with your grandkids, it’s a big stress-buster.
You are not known to be a foodie....
There are only six to seven days of the year when I eat like a pig! The rest of the year, I eat very little. I am a small eater. I am not a good guest to have at one’s home. Generally, the hosts feel I haven’t liked their food because I eat such small portions. That’s probably the reason I have stayed so small!
Would you have found a place in the team today?
I don’t think I would have found a place in the present Indian team. The game today is far more entertaining than when we played or even before we played. There are so many shots being played; second, the players are so fit, athletic and agile. It’s a delight to watch them throw themselves on the field, run fast between the wickets and hit the big shots. There has been a lot of innovation in shot-making, like scoops, switch hits, etc.
Do you believe cricket is a batsman’s game?
Cricket has always been a batsman’s game. But it’s the bowler who gets six deliveries; even if he is hit for five sixes, he waits for the batsman to make one mistake and sends him back to the pavilion. That said, even though the sizes of bats have been changed recently, batsmen are strong now. They go to the gymnasium and pump weights. The sixes they hit out of the stadium are also because of the quality of the bats.
Why were you reluctant to coach the Indian cricket team?
I will be very honest: I am not a good watcher of the game. Even when I was playing, I wasn’t a good watcher. Suppose I got out early, I would come into the dressing room and read a magazine or novel or reply to letters and then go out and watch the game. I wasn’t like G R Vishwanath or like my uncle Madhav Mantri; they were ball-by-ball watchers. I wasn’t ever that and still am not, even when I am doing commentary. If you are not a ball-by-ball watcher, you cannot be a coach or a selector. It is only when you focus that you can assess a bowler or batsman. I am unable to do it and hence cannot be considered for a selector—or even give it a thought.
Looking back, would you do anything differently?
I have absolutely no complaints from life. I have been very blessed; I am very happy and content. I used to tell everyone my ambitions were on the field of play. Off it, I have none. I have still not retired and I am still batting. As long as ‘He’ keeps me blessed, I will bat.
Tiger, tiger, burning bright
A Project Tiger reserve, Tadoba Andhari is one of the best places in the world to sight a tiger in the wild
Gustasp and Jeroo Irani
We were caught in a nasty traffic snarl, surrounded by vehicles stacked bumper to bumper and in no hurry to go anywhere or willing to give an inch of space to anyone wanting to get through. Not that we wanted to go anywhere. We had arrived and were equally determined to hold our ground and not cede an inch to intruders with designs on encroaching on our patch of turf. A few vented their frustration in hushed voices but no one really cared, for we were all focused on one thing alone: the tiger.
Yes, tigress Choti Tara (T7 in forest department records) and her two sub-adult male cubs were the guilty ones and the cause of the traffic chaos on the narrow forest trail in the middle of Tadoba Andhari Tiger Reserve in northwest Maharashtra. The three cats strode like royalty across a golden meadow of sundried grass, indifferent to the ruckus they had created. Camera shutters tripped wildly as wildlife enthusiasts, sporting phallic lenses, and tourists with cell phones captured the striped felines, their fur coats rippling in the sun. There were around 25 to 30 vehicles stacked up along the trail that fringed the grassland and, as word spread about the ‘sighting,’ more raced in to add to the tight squeeze.
“You are very lucky to see the tiger on your first game drive,” the forest guide accompanying our vehicle congratulated us. On an average, visitors get to see a tiger once in every four game drives; that, our guide added, ranked Tadoba as one of the best places in the world to see a tiger in the wild. Now that we had seen the queen and two princes of the jungle, we were keen to meet the other residents of the forest.
Thankfully, Choti Tara decided to lead her family away from human intrusion, and we were able to navigate our way out of the thinning traffic jam. The prized tiger sighting behind us, Bhautik Desai, the naturalist from Svasara Jungle Lodge, decreed it was time to enjoy our packed safari breakfast. We drove through a meadow of golden grass that rippled in the gentle caress of the wind to a ledge overlooking a water hole. “You never know; a tiger might just stop by here to have a drink,” he said, as we munched on sandwiches and sipped our coffee.
Suspense—not knowing what surprises the forest might spring on you—is what makes a wildlife safari so compelling. Much as we would have liked to encounter a tiger again, we realised two tiger sightings on a single game drive was probably asking for too much. All the forest had to offer us was a lone ibis by the waterfront, the song of birds,
Suspense—not knowing what surprises the forest might spring on you—is what makes a wildlife safari so compelling. Much as we would have liked to encounter a tiger again, we realised two tiger sightings on a single game drive was probably asking for too much.
pink and white wild-grass blooms nodding in the wind and spider webs draped like delicate lace on branches of trees. We packed the scraps of our meal, making sure we left no imprint of our presence behind, and drove on.
Then we encountered a gaur, also called the Indian bison, who had a serious issue with our presence in his domain. The strapping specimen with rippling muscles that body builders would have envied stepped out from the thicket on to the forest trail in front and stopped to give us a once over. Apparently, he did not like what he saw and made his displeasure known by grunting and threatening to charge us with his rapier-like horns. Okay, message registered. Our driver needed no prompting, and started to back up. Only when we had backed up far enough did the menacing beast cross over to the other side of the unpaved safari trail. “Most unusual,” the naturalist observed. “These animals are generally quite gentle.” Maybe so, but we thought he looked exceptionally handsome and striking in his angry avatar.
Other natives of the forest such as the sambar stag sporting an impressive set of antlers and his female companion with a fawn in tow, a mongoose, a troop of monkeys were by and large indifferent to our presence. A cursory glance to see meant no harm, and they returned to their grazing and foraging.
Our base camp at Svasara Jungle Lodge was abuzz with excited chatter when we arrived. Almost every guest who had been out on a safari drive that morning had seen Choti Tara and her two cubs. This is because Tadoba operates on a different system from most other national parks that require vehicles to remain within the zone they have entered. At Tadoba, there are six entry gates but once a vehicle is in the park, it may roam anywhere it chooses. As a result, when there is a tiger sighting, as was the case on our morning game drive, everyone converges on the spot, creating a traffic jam.
Guests soon moved to their rooms but we hung on in the airy lounge with Ranjit Mandal, the general manager of the resort, a passionate wildlife enthusiast. He regaled us with stories of tiger encounters and sightings over the years since the inception of the resort in 2011. He filled us in about the lineage of the present stock of tigers in the
We set off on a fascinating nature walk that turned out to be an insect safari of sorts. And then we saw a kill. Not a tiger kill but a wood spider wrapping its dinner—a fly trapped in its web—in a silky white cocoon.
Clockwise from top left: Signature spider; plum-headed parakeet; red-naped ibis; six-spotted ground beetle; crab spider
Opposite page: Safari trail through a meadow and through the jungle
He then showed us a spider web crawling with little ones that had recently hatched. Yes, his love of the wild embraces all things, big and small. “All the trees you see here, except one, are less than seven years old,” he informed us as we walked around the property. It did not take rocket science or horticultural insight to figure that out. The simple fact is that this was barren land, except for that one tree, when they started to build the resort. Today the 10-acre property is a forest retreat studded with orange orchards, a butterfly garden, bamboo groves and 12 rooms (each with a private sit-out) in a single creeper-draped row. Eco-friendly is the underlying theme of the resort: solar panels, recycled water treatment plants and low-slung functional cottages that blend into the landscape.
That evening we set off again with Desai on a fascinating nature walk that turned out to be an insect safari of sorts. Crab spiders; grasshoppers camouflaged in the grass; beetles hiding in the crevasses of tree trunks…. The prized sighting was a spotted beetle; a black beauty with six large symmetrical white spots on its body. And then we saw a kill. Not a tiger kill but a wood spider wrapping its dinner—a fly trapped in its web—in a silky white cocoon.
We returned to our lodge, dusty and tired, and after a quick shower headed to the convivial space outside the Teak House (an open-sided, red-tiled roof dining area), where
fragrant cups of tea downed with moist cake and pastries satiated incipient hunger pangs. Some guests relaxed at the pool-spa in the embrace of a forest, revelling in its signature therapy, which included abundant use of juicy Nagpur oranges. We lingered on with other guests around a bonfire, swapping tales of sightings as a new moon smiled at us from a star-laden sky.
Early next morning, we braved the chilly bite in the air as we set out on a game drive via Aljhanja gate. This part of the forest, rimmed by the Chimur Hills, is one of the most charming parts of the national park we were told. As we were not looking for tigers this time around, there was no sense of urgency—no scanning the ground for pug marks or listening for cheetal and sambar alarm calls that might indicate where the striped cat might be lurking. It was time to look up and admire the biodiversity around us: soaring teak trees, bone-white Indian ghost trees, creaking bamboo groves and mahua trees on whose fermented fruit langurs and sloth bears get drunk. We learned to appreciate the ingenuity of creation in the tangled canopy around us: a marching column of flaming red fire ants; a long-tailed rufous tree pie; an oriental magpie robin… we stopped and cut the engine of our vehicle to listen to the song of the forest; the rustling of leaves blending in with a symphony of bird calls.
“How was the safari?” someone asked as we rolled into the resort. Before we could reply ‘amazing’, the guest who had shared our vehicle snapped: “Nothing. We saw nothing.” Were the two cheetal stags, horns locked in combat, nothing? Was the sambar with her fawn, their fur coats glinting in the rays of the morning sun, nothing? Sadly, our companion was wearing tiger blinkers, which blinded him to the abundant beauty that is Tadoba Andhari Tiger Reserve.
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After completing a collection of 350 close-up portraits of famous authors, photographer Rohil Chawla set his sights on his next project: 3D portrait sculptures that take us into the studios of India’s greatest artists. We got a first glimpse recently at a group exhibition at Art Alive Gallery, New Delhi. This latest offering, titled *The Artist, Unboxed*, featured nine artists: Raza and Ram Kumar (both were shot a short time before their deaths recently), Akbar Padamsee, Krishen Khanna, Sakti Burman, Atul and Anju Dodiya, Anjolie Ela Menon and Paresh Maity. Five years in the making, the series pays homage to Indian modernists and the sanctity of the artist’s studio. “These artist photo sculptures of sorts are meant to be immersive in spirit and add a physical dimension to the portrait but retain the essential purist approach of the original image through ‘the box’, my continuing and favourite graphic device of choice,” writes Chawla in his artist’s note.
*Clockwise from top left: Akbar Padamsee; Anjolie Ela Menon; Anju & Atul Dodiya; Krishen Khanna*
A century in service
Ahdoos, the eatery of choice for those living in and those visiting Srinagar, turned 100 this year. Owner Ghulam Hasan speaks to Shyamola Khanna about his family’s legacy.
Ghulam Hasan (in pic) looks impeccable in his long white Pathani kurta and shalwar. He sits on an easy chair and keeps a watchful eye on the family business. His son Hayat Alam Bhat is crunching numbers at the billing counter.
As the gentle afternoon sun seeps in and delicate aromas waft through the air, Hasan, 72, is reflective. Srinagar’s legendary eatery Ahdoos’s completed 100 eventful years earlier this year, with four generations of his family at the helm. Established in 1918 by Hasan’s grandfather Mohammad Sultan, Ahdoos’s was the first bakery in Srinagar. “It was a sensation when it opened,” he says, “because, back then, no one in the Valley had heard of baked goods.”
Hasan tells us it was the then Maharaja of Kashmir who sent his grandfather to be an apprentice at Firpo’s, the East India Company’s confectionary in Calcutta. When he returned, Sultan and his cousin set up Ahdoo and Sons in 1918, naming it after Abdullah Ahad, Hasan’s great-grandfather, who was an accountant for Maharaja Hari Sigh. In the early days, Ahdoos’s, as it was later called, used to cater to the Maharaja and his family, but it was also open to the general public.
The bakery’s success over decades led to the opening of a restaurant that serves sumptuous Kashmiri cuisine and lodging facilities and has stood open through thick and thin, right above the bakery. Hasan himself has been around for over half a century, networking with authorities, seeking permissions and safeguarding the establishment.
“Through the 1970s, we had a tough time keeping the hotel rooms open,” he remembers. “We struggled but we survived. When the city was under the siege of insurgents, foreign diplomats were in Srinagar to get first-hand accounts of the situation on the ground. They stayed with us and we got a lot of attention from international and Indian journalists, which put us on the map.”
legacy Since 2010, the day-to-day functioning of Ahdoos’s has been handed over to his son Hayat Alam Bhat. “Hayat has free reign over the establishment and has grand plans of taking the brand to Mumbai and Delhi,” says Hasan. He, on the other hand, involves himself in the one place he cannot stay out of: the kitchen. “I get to taste everything that is being cooked,” he says with a smile.
Hasan arrives at Ahdoos’s much before the restaurant opens to hungry customers and goes straight to the kitchen. He supervises everything, especially the work on the meats and various masalas. “Ours is a very meat-oriented cuisine, lovingly prepared with lots of dried herbs and spices, which allow us the freedom to cook throughout the year,” Hasan tells us with pride. Having spent most of his life around this kitchen, he knows how to treat his meat. “For the classic rista and gushtaba [meatballs] the meat is pounded for hours till it develops an elasticity of its own, so we don’t need to use eggs or other binders. Our rogan josh is a world apart from the one served in northern India as part of Mughlai cuisine.”
Vegetarian food is scarce on the menu, but there are a few concessions. “Our haak, or collard greens, is unique to the valley; this leafy vegetable does not grow anywhere else. Then there is methi chaman, one of the typical Kashmiri dishes favoured by the Pandits.”
People come to Ahdoo’s from far and wide in search of the legendary Kashmiri wazwan, the fabulous spread of primarily mutton dishes that make up a typical Kashmiri festival repast. “One young lady had come to relive her father’s experience,” Hasan remembers. “She said he had travelled to Srinagar via Rawalpindi before Independence and had told her about our restaurant where he had a meal.”
Indeed, amid the violence and chaos that has plagued the Kashmir valley in the decades following Independence, Ahdoo’s has managed to remain open. In the early 1990s, the establishment earned the nickname ‘mini Press Club’ as it was the only lodging option for out-of-state media personnel stationed there. According to Hassan, it was very difficult to run the place during the militancy. “The only reason it stayed open was because when the situation went down, both Indian and foreign journalists occupied the rooms. The hotel is right in the centre of the city, and most of the news going out of Kashmir was telecast from here.”
Through it all, the staff at Ahdoo’s have stood their ground and gone about their work cautiously but dedicatedly. Hasan is inordinately proud that he has no ‘new’ members on staff—everyone who works at Ahdoo’s has been around for over 25 years. With a nod in their direction, Hasan says, “Ghulam Nabi, who is probably 68 or 69—no one knows for sure!—is the oldest person on staff, followed by Sayeed Yousuf, who is 65.” Ahdoo’s also pays a pension to three retired employees, one of whom is nudging 90!
When the 2014 floods devastated and destroyed the capital city, Ahdoo’s had to resume operations quicker than other establishments. “We had to reopen because of customers, and we could because our restaurant and rooms are above the ground floor” says Hasan. This was also a chance for Hayat Alam to redo the place with a touch of his own design sensibilities. While the restaurant is typically Kashmiri with wooden panels and wooden furniture, the hotel lobby has a gallery of archival photographs of old tribal valley leaders from at least a hundred years ago.
As Hasan walks us along the gallery, he admits that he cannot stay away from Ahdoo’s. “When would I stop coming here? I am 72 now, so maybe after 10 or 15 years!” he says with a twinkle in his eye. Finally, he leaves us with some words of warning. “People who are not used to too much meat should try our dishes one at a time. So have the gustaba one day and come back for the rogan josh the next day. Try the rista on the third day. You can always have the methi chaman and the haak to ease the palate,” he says with a wink.
I wasn’t mesmerised, I was enchanted. Her [Naina Devi’s] voice came from another world. Nainaji was not just a musician but also a dear friend who was deeply saddened by the plight of the singing and dancing girls and would always rue the sanitisation drive (anti-nautch movement) in the country. She wasn’t from their world but learned from them. The word tawaif deserves respect, not disdain. A lot of them were singers and not sex workers. People think of them as prostitutes, undermining their value as great musicians. In all these years, I’ve realised that one needs to give these women their due respect. And I plan to keep speaking on their behalf.
—Author Pran Neville, 95, who was the oldest living author in India till he passed away on 11 October, speaking on his long association with Hindustani classical vocalist Naina Devi in his last interview to The Indian Express
Koeli Mukherji Ghose, 51, allows the energy of her materials—paper, water and ink—to decide the form and texture of her art as her imagination intercedes only through a few simple tools. We watched her at work at her open art studio at the Ailamma Art Gallery in Hyderabad, as she conjured up some fabulous figurative abstracts through the ancient Japanese art of *suminagashi*. In a candid chat, the art curator introduces us to her work and her muse. Excerpts:
**What is an open art studio?**
The concept of the open art studio is not new. It is an exhibition of my work as well as a chance for young artists to see how I work. It creates a bridge between the viewer and the artist.
**Tell us a little about *suminagashi*.**
*Suminagashi* is a Japanese technique that dates back to the early 12th century. It is the art of harnessing the energy of water with the help of marbling inks (also called *suminagashi* inks) and creating a base. The colours flow with the water and create their own shapes, after which you take a print of the marbling. With that as a base, I create my own line drawings. It is a lot like finding shapes in clouds. It also then becomes a collaborative art form between the water, the inks and the energies therein.
**What have you learnt from this experiment?**
When I take my studio out in the open, it is not just an exposition of my work. I await an interaction with those who walk in and bring their own thoughts and experiences, and convince me to think in another way. I felt I should do *suminagashi* here as it is a non-threatening kind of art. The water carries my work forward and to a different level. I have no expectations; the texture of the paper asks me to move in a certain direction and I do.
**How did you get into art and painting?**
I was in Class 11 when my father took me to watch M F Husain at the Tata Centre, Mumbai. I was amazed at his speed. He told me that if I had an idea, I should work on it quickly and without hesitation. To date, I try to copy the late master in speed and dexterity.
—Shyamola Khanna
Kripal Singh Shekhawat was best known for his work reviving the Jaipur blue pottery tradition. But a recent retrospective of the late artist’s works at the Ceramics Triennale reveals the varied art forms that influenced and inspired him. Over 100 works of art will be on display at the exhibition, titled *Kripal: The Art of Kripal Singh Shekhawat*, until 19 November at Jawahar Kala Kendra in Jaipur, where a book of the same name was also released. “Not only did he introduce new patterns and designs, he combined *deshi rang* or the mineral pigments from the Rajasthani miniature and fresco painting traditions with knowledge of Japanese natural dyes, pigments, inks and paper which complemented his understanding of the ceramic techniques inherent to the blue pottery medium,” writes curator and author Kristine Michael in the book.
He combined *deshi rang* or the mineral pigments from the Rajasthani miniature and fresco painting traditions with knowledge of Japanese natural dyes, pigments, inks and paper which complemented his understanding of the ceramic techniques inherent to blue pottery.
Only thrice has India won a Test series on English soil. The captains were Ajit Wadekar (1971), Kapil Dev (1986) and Rahul Dravid (2007). Ironically, not one of the above three has ever been rated very highly as a captain in India. In fact, captains who lost or drew the series in England have been eulogised in the Indian media! Cricket history reveals that the England tour is always the most difficult for Indians. Since 1932, India has played 17 Test series on English soil and lost 13 of them. Most Indian captains who lost or drew have been those who were supposed to possess exceptional cricket brains.
Yet, the exceptional achievements of the three successful Indian captains in England have not received their due recognition. Superb leaders of men like Ajit Wadekar, Kapil Dev and Rahul Dravid never received any acclaim for their leadership qualities. Very strange, indeed. And very unfortunate.
Wadekar’s captaincy career was a giant wheel in motion. For a period of three years, he was right on top, having won every series that came his way. Then, in a matter of weeks in 1974, he came crashing down. He became a villain whom everybody wanted to curse and kick.
People forgot that he had won a series against West Indies in their backyard in 1971, and repeated his success in England against a very strong team in 1971. The following season, in 1972-73, his team beat England in India. Australia had just beaten England. So if there was a system of ranking at the time, India would have been the top cricketing nation in the world in 1972. Thus, Wadekar won three series in succession, a feat no other Indian captain has ever been able to replicate. He was indeed unlucky that he never had Zimbabwe and Bangladesh in the opposition.
Wadekar received almost no credit for his team’s success. It was always claimed that he won with ‘Tiger Pataudi’s men’! Till the last day of his life, he maintained, “If that were the issue, why did Tiger not win with his own men?” Absolutely to the point.
However, in 1974, Wadekar’s team lost all its three Tests in England. It was a disastrous tour for India with all the top stars available. The moment that happened, his house in Mumbai became the target of stones and bricks. Ajit Wadekar actually had almost the same players as he did in 1974. Yet the media forgot all about ‘Tiger Pataudi’s men’ and laid all the blame on Wadekar’s captaincy! Disappointed and upset, Wadekar retired immediately from all forms of cricket on his return from England in 1974.
There is a notion in India that Indian cricket came of age in 1983 when the Prudential World Cup was won in England. Actually, huge amounts of money began to flow into Indian cricket since 1983 on account of the great achievement of Kapil Dev and his men. In reality, Indian cricket began to get the respect of the oppositions from 1971. That particular year was the turning point of Indian cricket in more ways than one. Except in one series, in 1968-69, Indian cricketers had always been on the losing end on overseas tours ever since their inaugural tour of England in 1932.
In 1968-69 Mansur Ali Khan Pataudi’s men won a series abroad for the first time. The opponents were the weak New Zealanders. No one took the Kiwis seriously at the time. In fact, along with New Zealand, teams from India and Pakistan were considered weak oppositions away from home. After having experimented with a host of potential talents for about two years, in 1971 the chairman of the national selection committee Vijay Merchant—among the best-ever openers—omitted Pataudi from the captaincy saddle. This was major ‘news’ at the time. The obvious choice was his deputy Chandu Borde. He, too, was dropped. A studious, reticent young man by the name of Ajit Wadekar was elevated to the post amid much accusation of provincial bias.
But Merchant stuck to his ideas. He brought in young people with outstanding performance in domestic cricket. Merchant had no time for ‘fancy players’ with supposed potential and no performance. All those who were tried and had failed to perform during those two seasons were gently sidelined.
Thus, Ajit Wadekar was fortunate that he had the ‘grey matter’ of Merchant to guide him. He was selected as captain because he had led Bombay and West Zone to innumerable victories in domestic cricket. He knew what leadership was all about and, very important, knew how to win.
Surprisingly, Wadekar never played serious cricket while at school. He was a very bright student and had once even maxed his algebra paper. While a school student, his cricket was restricted to casual matches with his neighbourhood peers. In college, his cricket suddenly flowered and he became a regular in the strong Bombay University side.
At the time, he was a fluent player of exceptional elegance. His stylish stroke play was a connoisseur’s delight. Drives and cuts came naturally to him. He joined Shivaji Park Gymkhana, one of the bastions of Marathi cricketers in Bombay. There, he honed his skills under the careful guidance of various former cricketers, as is the custom in Mumbai even today.
Wadekar was not satisfied in being stylish alone. He developed a gluttony for runs and more runs. No amount of high scores would satisfy his appetite. This approach stayed with him in every domestic championship. He would ‘murder’ spin bowling under any conditions. High-rising deliveries of extreme pace troubled him. But then who did not have problems against such deliveries? As the great Rohan Kanhai, among the greatest of ‘hookers’, once said, “None of us like 90 mph deliveries coming to our face; it is only that some play them better than others.”
Unfortunately, Wadekar was ignored for a long time by the national selectors. Finally, when he could not be neglected any more by the sheer weight of his performances, he made his debut in 1967 in his late 20s. But, by then, his style had changed beyond belief. He was no longer the fluid stroke maker of yore. His approach was of a man who had come to make the most of his limited opportunities. He was very effective, no doubt, but no longer the graceful striker he had been.
Wadekar led from the front. He taught us that we were good enough to beat the best in the world by our own methods. He did not copy others. Did not bother to find out what Australia, England and West Indies were doing. He concentrated on India’s strength. He relied on spin bowling and on close-in catching to win matches for India.
Wadekar selected his XI on the basis of ‘horses for courses.’ The moment the genius of Salim Durani gave India the victory at Port of Spain, skipper Wadekar’s total concentration was to hold on to the lead till the last day of the series. In England, too, at the Oval he realised that if anybody could give India a victory, it would be Bhagwat Chandrasekhar. He had Chandra to plunge the dagger in and hold on till the opposition submitted. Wadekar had a set of the most brilliant foursome around the batters to accept even catches that could hardly be rated as chances. Men like Eknath Solkar, Venkataraghavan, Abid Ali and he formed a quartet that was the best-ever close-in cordon the world had ever seen.
People who criticise Wadekar conveniently forget that he did not possess a single pace bowler worth mentioning. He had a wicketkeeper who was more of a showman. Apart from the young Viswanath and the younger Gavaskar, skipper Ajit Wadekar never possessed another batter of world renown. He fought the best with very limited talent. But the brilliant man got his mix in the right proportion. He taught India that we could beat the best in their own backyard. Today, it may not appear to be a difficult task, but back in the 1970s it was a yeoman effort. None thought it could be achieved. When it did happen, our media was so servile that instead of praising Wadekar and his boys, they began to say that the opposition was weak!
Ajit Wadekar never played to the gallery. He made no friends with the media for support, never compromised on his tough approach. He preferred the company of books to the company of flatterers at the bar. An everlasting memory of Wadekar was at the Moin-ud-Dowlah Trophy championship at Hyderabad in the early 1970s. While most players would be at the lounge on the first floor of the Fateh Maidan’s Lal Bahadur Shastri Stadium, nursing their drinks, the India skipper would be seen in his room with a book and beer for company. He evinced a keen interest in the book I was reading. He borrowed it and returned it within two days mentioning, “I am a fan of Che Guevara as well.”
The next time I met him was in his chamber at a nationalised bank in Mumbai. He was the sports convenor of the Banks’ Sports Board. As the representative from Calcutta, I asked him if it would be possible to have observers sent to the neglected northeast of India to unearth sports talent. Wadekar kept his ears open and gave his assent.
Some banks carried out the directive very diligently. One of the discoveries happened to be a teenager from Sikkim, Bhaichung Bhutia. Actually, it was a former football player from Wadekar’s bank, Bhaskar Ganguly, who can be given the credit for the discovery.
Kolkata-based Mukherji is a former cricket player, coach, selector, talent scout, match referee and writer
Her name is preceded by the self-conferred title ‘Kamadevika’, meaning the goddess of love. London-based Seema Anand is a mythologist and narrative practitioner, working with the uses and implications of ‘oralness’, specialising in storytelling. “We are the stories we tell,” she observes.
An acknowledged authority on the *Kama Sutra*, Anand lectures on Eastern erotology, tantric philosophy and the mahavidya, among other subjects. Her work on the revival and reproduction of oral literature from India is associated with the UNESCO project for Endangered Oral Traditions. Her book *The Arts of Seduction* (Aleph Book Company; ₹ 499; 188 pages) draws inspiration from the *Kama Sutra*, and is a guide to making what has been reduced to an act of instant gratification into an art form. In an email interview with Srirekha Pillai, Anand talks about all things sexual. Excerpts:
**How has the sexual act evolved over time with specific reference to India?**
I’m not sure I would call our attitude to sex an ‘evolution’. As Indians, I find we live in a twilight zone when it comes to sexual attitudes. We are born of the soil that produced the *Kama Sutra*, considered the act of love to be a form of bhakti, that nurtured the *leela* of divine and mortal lovers, and believed sex should be refined to the level of an art form. But we are also all brought up on missionary attitudes, which considered sex to be the original sin, the work of the devil. And directly or indirectly, this is the attitude that pervades our thinking and colours our sexual behaviour. And it has screwed us up completely!
Look at our reaction to the language we use. The word ‘orgasm’ has undertones of the ‘dirty’, of something that shouldn’t be mentioned in polite society. The words *kama* or *rasa*, however, stir up feelings of deliciousness, images of sun-kissed bodies glowing with fragrant oils, perfumed hair wound around the lover’s neck…everything is poetic.
**Why is the *Kama Sutra* groundbreaking?**
This is the first book that acknowledged that both men and women have an equal right to pleasure. Till this point, which is around the 3rd CE, Hindu dharma had held that women did not have an independent source of pleasure. Unlike men, a woman did not have visible erections and orgasms; it was impossible to see either her arousal or satisfaction. So it was believed that a woman’s pleasure depended on the pleasure of a man—when he came, that was when she experienced orgasm too.
The *Kama Sutra* says that not only do women have an independent source of pleasure but they do not even need a man for it. It explains the intrinsic difference between the sexuality of men and women. The man’s arousal, says the *Kama Sutra*, is like fire, with his heat starting at the genitals and flaring upwards, easy to ignite, easy to douse. A woman’s arousal is like water, beginning at the head (the
mind) and flowing downwards. It takes much longer to bring to the boil but also much longer to cool down.
It explains how the nature of a woman’s orgasm differs from a man’s—something that even Freud, as late as the 19th century, wasn’t able to do. With understanding far beyond its time, the *Kama Sutra* explains that women are the recipients of pleasure and attention in equal measure to men. It says that it is the man’s role equally to learn and practise the arts of seduction; it is his reputation equally that depends on how well he can please his lover; and it is his job to make sure that he brings his lover to a satisfying orgasm—much as she would do for him.
**What are the therapeutic effects of sex?**
Sexual energy is the highest form of energy. During sex, every part goes into activity: breathing changes, blood circulation speeds up, every gland secretes hormones, literally every part of the body metabolises. In olden times they believed that with the help of breathing patterns and different sexual positions, you could move this energy around the body as a healing force. But, I think if we approach intimacy with an attitude of real pleasure and joy, and take our time to enjoy it, even that will have a therapeutic effect. Sex is good for you. Good sex is great for you!
**How relevant is sex for silvers, given our whole emphasis on vanaprastha?**
I think sex is something one should want to enjoy for the entire length of your life, like chocolate. Moreover, sex with a long-term partner has far more potential for pleasure. The *Kama Sutra* says lovers are not easy to come by and should not be discarded easily either. Good sex is developed over time with equal participation from both partners. Familiarity, comfort and a lack of instant arousal—all the things you think make things boring—are what make for the best sex. Because the longer it takes for arousal to happen, the more enjoyment and pleasure it leads to.
**How can silvers keep themselves engaged in physical pleasures?**
One of the most important reasons to have sex as you get older is that it is the best medicine ever. It keeps the body and brain working better; during sex your bodily functions are energised, which means your metabolism improves. Science has determined that sexual activity produces more grey cells! Sex is also the most effective way to stop boredom creeping into a marriage and keeping the relationship close and loving. So in an ideal world, we should all be enjoying sex or physical intimacy or at least the desire for it for the entire length of our lives. Desire and pleasure should be a state of mind. Physical intimacy should be a natural result of having shared a life with someone. It should be something that one wants, as opposed to a distasteful or annoying duty. The reality, however, is very different.
The *kama shastra* say ‘habit’ is the death of desire. For excitement to occur, one has to try something new; one has to feel that there will be some kind of surprise, even if it is a tiny little one, to look forward to. For most couples, as they grow older, sex becomes quicker and more habitual (if it happens at all), which leaves the men feeling dissatisfied and grumpy and women feeling dissatisfied and disinclined. And the weird thing is, even though the benefits of changing our attitudes towards sex are so great—and it’s not difficult to do—this is the one thing most people are unwilling to work at. It’s just too much effort and too much water under the bridge. But good sex is better than Vitamin-B complex and will save you a lot of money on doctor’s bills.
**What are your top five tips and props for silvers?**
Getting back into sex doesn’t mean doing it every night. Remember, it’s not a duty. Start with once a month. Make it a date night. Prepare for it: bathe, perfume yourself, change the sheets, put flowers near the bed, whatever makes you feel good. Make it special. Organise a few fantasies in your head to help you along, in case it doesn’t work at the beginning. Decide that you are going to enjoy it. Don’t jump straight into it. Lie in bed and watch TV together for a while as you kiss and chat. Let this be your foreplay. Don’t feel that you have to go all ‘hot and heavy’.
Relax completely and take it slow. Flirt with different types of *paan*. There is a whole vocabulary and set of traditions around *paan* in lovemaking. Explore it. It’s subtle, suggestive and sexy at the same time. Kiss each other more often. Kiss each other in passing for no reason—just a quick brush on the lips. Make your partner feel irresistible. Once a week, go out together and gossip. The *Kama Sutra* says that two lovers sitting together exchanging gossipy stories is a form of foreplay; it builds up intimacy and anticipation.
Let there be pleasure….
Check out the extended interview on www.harmonyindia.org
Hailing from a family of farmers, Perumal Murugan, the face of contemporary Tamil writing, offers a unique insight into the life of a goat in *POONACHI – OR THE STORY OF A BLACK GOAT* (Westland; ₹ 499; 173 pages), imbuing it with a full range of emotions. The book begins like a fable, with an unnamed silver couple being gifted a goat kid by an unknown, mysterious stranger. Through the book, the relationship between the kid—now named Poonachi—and the silver couple evolves—shifting from its purely loving nature to one more transactional, leading to a tragic ending. The author makes our hearts well with tenderness for the eponymous goat, who discovers that freedom comes at a price. Shortlisted for the JCB Prize for Literature 2018, the book, meticulously translated by N Kalyan Raman, takes a dig at man’s proclivity for power and abuse, bondage and greed, and surveillance and subjugation. A classic Murugan novel, it’s a social and political commentary of our times, a stirring fable that reminds us of the beast man is!
The remarkable thing about a master storyteller like Sarat Chandra Chattopadhyay is the manner in which he writes about the obvious and the ordinary, making it intriguing and exceedingly engaging. In *BIPRADAS: THE MAN WHO WALKS ALONE* (Niyogi Books; ₹ 395; 259 pages), he once again portrays the famed feudal landscape of Bengal with a range of characters. Bordering on a conflict of cultures, the story pivots on the intricate grid of human relationships. Bipradas’s stoic character is put to test with the introduction of Bandana, his wife’s cousin—a young, beautiful, emancipated girl whose questioning temperament unsettles the Mukhuiye’s household, which is steeped in ancient Hindu traditions. Complementing the hero is his younger sibling Dwijadas, who is rational and a believer in free thought. Sukhendu Ray’s nuanced translation highlights the novelist’s panache for narrating stories in a simple manner.
**Also on stands**
*To Obama*
Jeanne Marie Laskas
Bloomsbury; ₹ 499; 416 pages
An intimate look at one man’s relationship with the American people at a time when empathy intersected with politics in the White House.
*Muhammad Ali*
Hana Ali
Penguin; ₹ 699; 460 pages
Penned by Ali’s daughter, a moving, behind-the-scenes portrait of the greatest sporting icon of our age.
*The New Silk Roads*
Peter Frankopan
Bloomsbury; ₹ 599; 304 pages
A major reassessment of world history and a reminder that we live in a world that is profoundly interconnected.
See it through
Edgar Albert Guest celebrates the resilience of the human spirit and its ability to bounce back.
When you’re up against a trouble,
Meet it squarely, face to face;
Lift your chin and set your shoulders,
Plant your feet and take a brace.
When it’s vain to try to dodge it,
Do the best that you can do;
You may fail, but you may conquer,
See it through!
Black may be the clouds about you
And your future may seem grim,
But don’t let your nerve desert you;
Keep yourself in fighting trim.
If the worst is bound to happen,
Spite of all that you can do,
Running from it will not save you,
See it through!
Even hope may seem but futile,
When with troubles you’re beset,
But remember you are facing
Just what other men have met.
You may fail, but fall still fighting;
Don’t give up, whate’er you do;
Eyes front, head high to the finish.
See it through!
A prolific English-born American poet, Guest (1881-1959) was known as the People’s Poet for his inspirational verses.
Small acts of kindness are sometimes powerful enough to make major headlines. In fact, you’ve probably read about or watched a few of these stories. Here’s how it usually plays out: One person will do a good deed—such as placing a cup of coffee on reserve for a homeless person, or paying off a stranger’s layaway balance at Kmart—then a trend will start, with more and more people getting in on the act. The result is a feel-good story for all. The benefactors are happy to have done a good deed and the recipients are pleased to have been given a small but meaningful helping hand.
However, the circle of generosity doesn’t end there—in fact, it’s exponentially bigger. Recipients of kindness generally want to keep paying it forward, says James Fowler, professor of medical genetics and political science at the University of California, San Diego. In fact, in one of Fowler’s studies, he found that a single act of kindness typically inspired several more acts of generosity. The scientific name for this chain of altruism is ‘upstream reciprocity’, but you can think of it as a domino effect of warm and fuzzy feelings: If you drop a quarter into an expired parking meter, the recipient of that small act of generosity will be inspired to do a kind act for someone else, and on and on.
So where do these good feelings come from? When you are kind to another person, your brain’s pleasure and reward centres light up, as if you were the recipient of the good deed, not the giver, according to research from Emory University. This phenomenon has actually earned the nickname ‘helper’s high’ among psychologists who study generosity, and some researchers theorise that the sensation is also due to a release of endorphins, those feel-good chemicals associated with runner’s high. It’s no surprise then, that a 2010 Harvard Business School survey of happiness in 136 countries found that people who are altruistic—in this case, people who were generous financially, such as with charitable donations—were happiest overall.
Of course, part of why giving feels good is because we know we’re lifting someone else’s spirits. Receiving a gift, assistance or even an encouraging smile activates the brain’s reward centre, a phenomenon that’s hard to explain but easy to feel—just think back to the last time a stranger held the door for you or your partner surprised you with your favourite meal. The sudden appearance of these positive feelings is what helps keep the giving chain alive: Somebody who has just received a bit of kindness is elevated, happy and grateful, making them likely to help someone else, according to a 2007 study from Harvard University.
But there’s more. The effects of kindness can be so great that you actually don’t have to be directly linked to a giving chain to get in on the act. By simply witnessing generosity you may be inspired to do something generous of your own, according to new research from Fowler, who found that simply observing kindness can spur more acts of good. Humans often mimic behaviour they see, and that includes generosity, which explains why some of these stories of small acts of kindness become bigger news: Even people who simply hear about a giving chain are often inspired to give, starting a chain of positivity all their own.
Cassity is the author of Better Each Day: 365 Expert Tips for a Healthier, Happier You. She writes on health, fitness, and happiness for various publications.
India’s premier magazine for senior citizens, Harmony-Celebrate Age, is now available on international digital news stand Magzter.
The magazine can now be downloaded and read on a variety of digital platforms such as iPad, iPhone, Android, Windows 8 and tablets.
Download the free Magzter app or log on to http://www.magzter.com/IN/Harmony-for-Silvers-Foundation/Harmony---Celebrate-Age/Lifestyle/ today to read the latest issue of Harmony-Celebrate Age.
An aviation milestone, it shrank the world and changed the way air travel was conducted. The Boeing 747, unveiled at the custom-built assembly plant in Everett, near Seattle, on 30 September 1968, was designed to fly long-haul flights with twice as many passengers as Boeing’s pioneering 707. Over six stories tall, the aircraft seated 374 passengers and weighed 300 tonne. At a time when flying was considered elite, it opened up the skies, making air travel affordable. Indeed, with the 747, the age of the jumbo jet had taken off!
Everything about the 747 was ‘jumbo’. It took 50,000 construction workers, mechanics and engineers to assemble it. Even the assembly plant at Everett—which can hold 75 football fields—remains one of the largest buildings in the world by volume. Incidentally, the aircraft’s genesis can be traced to a military request for a transport carrier for heavy loads. Although Boeing lost its bid, the research and designs were put together to roll out what became known as the ‘Queen of the Skies’.
Today, the 747, with its distinctive ‘giant hump’ in the front, enjoys a coveted place in popular culture, having starred in movies such as *Air Force One*, *Airport 1975* and *Executive Decision*, among others. Versions of the 747 have also operated as Air Force One, ferrying the US president across the globe. Until 2007, the 747 remained the largest civilian airplane in the world. Though many airlines are now retiring their fleet of passenger jumbos after decades of reliable service, the 747 continues its journey as a freight carrier.
**THIS MONTH, THAT YEAR: NOVEMBER 1968**
- On 5 November, Republican candidate Richard Nixon was elected the 37th president of the US.
- On 8 November, the divorce between The Beatles’ John Lennon and first wife Cynthia came through, leaving him free to marry Yoko Ono.
- On 12 November, NASA announced it would launch three astronauts as part of Apollo 8, to be the first persons to orbit the moon.
- On 14 November, Yale University announced it would admit women students for the first time in its 267-year history.
The first day at school
The first time you rode the bicycle.
The first crush you had at thirteen
The first drama you got a part in
The first day at college
The first date you went on
The first kiss
The first time you proposed
The first job interview
The first board meeting you addressed
The first day after retirement
BUTTERFLIES never retire
The first click of the mouse.
www.harmonyindia.org
harmony
celebrate age
abhinivesha
Abhinivesha is a Sanskrit word meaning ‘self-love’ or ‘will to live’. In Indian philosophy, abhinivesha was regarded as an aspect of avidya (ignorance). Some other manifestations of avidya were said to be fear, attachment, and aversion, all of which were thought to generate karmic bondage and prevent one from attaining spiritual liberation. Lumped together with these, abhinivesha has a negative connotation, even though in the Indian tradition it was not necessarily wrong, and even commendable at times, to exhibit self-love and a healthy will to live and prosper in the material world. So presumably, the negative connotation of abhinivesha is an indication that what may be otherwise permissible can be improper or morally wrong if pursued in excess or for the wrong reason.
A FORTIORI ARGUMENT
an argument that moves from the premises that everything that possesses (a) certain characteristic(s) will possess some further characteristic(s) and that certain things possess the relevant characteristic(s) to an eminent degree to the conclusion that a fortiori (even more so) these things will possess the further characteristic(s). The second premise is often left implicit, so a fortiori arguments are often enthymemes (an argument in which one premise is not explicitly stated). An example of an a fortiori argument can be found in Plato’s *Crito*: “We owe gratitude and respect to our parents and so should do nothing to harm them. Athenians owe even greater gratitude and respect to the laws of Athens and so a fortiori should do nothing to harm those laws.”
agape
Unselfish love for all persons. An ethical theory according to which such love is the chief virtue, and actions are good to the extent that they express it, is sometimes called agapism. Agape is the Greek word most often used for love in the New Testament, and is often used in modern languages to signify whatever sort of love the writer takes to be idealised there. In New Testament Greek, however, it seems a general word for love, so that any ethical ideal must be found in the text’s substantive claims, rather than in the linguistic meaning of the word.
BLACK BOX
A hypothetical unit specified only by a functional role, in order to explain some effect or behaviour. The term may refer to a single entity with an unknown structure, or unknown internal organisation, which realises some known function, or to any one of a system of such entities, whose organisation and functions are inferred from the behaviour of an organism or entity of which they are constituents. Within behaviourism and classical learning theory, the basic functions were taken to be generalised mechanisms governing the relationship of stimulus to response, including reinforcement, inhibition, extinction and arousal. The organism was treated as a black box realising these functions. Within cybernetics, though there are no simple input–output rules describing the organism, there is an emphasis on functional organisation and feedback in controlling behaviour. The components within a cybernetic system are treated as black boxes. In both cases, the details of underlying structure, mechanism and dynamics are either unknown or regarded as unimportant.
philosophia perennis
A Latin phrase meaning a supposed body of truths that appear in the writings of the great philosophers, or the truths common to opposed philosophical viewpoints. The term *philosophia perennis* is derived from the title of a book, *De Perenni Philosophia*, published by Agostino Steuco of Gubbio in 1540. It suggests that the differences between philosophers are inessential and superficial and that the common essential truth emerges, however partially, in the major philosophical schools. Many philosophers have used the phrase to characterise Neo-Thomism as the chosen vehicle of essential philosophical truths.
ousia
An ancient Greek term traditionally translated as ‘substance’. Formed from the participle for ‘being’, the term *ousia* refers to the character of being, beingness, as if this were itself an entity. Just as redness is the character that red things have, so *ousia* is the character that beings have. Thus, the *ousia* of something is the character that makes it be, its nature. But *ousia* also refers to an entity that possesses being in its own right; for consider a case where the *ousia* of something is just the thing itself. Such a thing possesses being by virtue of itself; because its being depends on nothing else, it is self-subsistent and has a higher degree of being than things whose being depends on something else. Such a thing would be an *ousia*.
ch’i
Chinese term for ether, air, corporeal vital energy, and the ‘atmosphere’ of a season, person, event, or work. *Ch’i* can be dense/impure or limpid/pure, warm/rising/active or cool/settling/still. The brave brim with *ch’i*; a coward lacks it. *Ch’i* rises with excitement or health and sinks with depression or illness. *Ch’i* became a concept coordinate with *li* (pattern), being the medium in which *li* is embedded and through which it can be experienced. *Ch’i* serves a role akin to ‘matter’ in Western thought, but being ‘lively’ and ‘flowing’, it generated a distinct and different set of questions.
infima species
A Latin word meaning ‘lowest species’; a species that is not a genus of any other species. According to the theory of classification, division and definition that is part of traditional or Aristotelian logic, every individual is a specimen of some *infima* species. An *infima* species is a member of a genus that may in turn be a species of a more inclusive genus, and so on, until one reaches a summum genus, a genus that is not a species of a more inclusive genus. Socrates and Plato are specimens of the *infima* species human being (mortal rational animal), which is a species of the genus rational animal, which is a species of the genus animal, and so on, up to the summum genus substance. Whereas two specimens of animal—e.g., an individual human and an individual horse—can differ partly in their essential characteristics, no two specimens of the *infima* species human being can differ in essence.
per accidens
Latin phrase meaning by, as, or being an accident or non-essential feature. A *per accidens* predication is one in which an accident is predicated of a substance. An ens (entity) *per accidens* is either an accident or the ‘accidental unity’ of a substance and an accident. (Descartes, e.g., insists that a person is not a *per accidens* union of body and mind.)
Compiled from *The Cambridge Dictionary of Philosophy*, accessible at http://stoa.usp.br/rdeangelo/files/-1/10954/Cambridge+Dictionary+of+Philosophy.pdf
“We are trying to create awareness that using cloth during the menstrual cycle is unhygienic and that pads are not a luxury, but a need”
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—Aakanksha Bajpai
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Hibiscus Amla Bhringraj Shikakai Aloe vera Brahmi Jatamansi Methi Neem
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MERIDIONAL SURFACES AND (1, 1)-KNOTS
Mario Eudave-Mu˜noz and Enrique Ram´ırez-Losada
Abstract. We determine all (1 , 1)-knots which admit an essential meridional surface, namely, we give a construction which produces (1 , 1)-knots having essential meridional surfaces, and show that if a (1 , 1)-knot admits an essential meridional surface then it comes from the given construction.
1. Introduction
We are interested in finding closed incompressible surfaces or meridional incompressible surfaces in the complement of knots in S 3 . This problem has been studied for many classes of knots, for example for 2-bridge knots [GL],[HT], Montesinos knots [O], alternating knots [M], closed 3-braids [LP],[F], etc.
Let k be a knot in a 3-manifold M . Recall that a surface properly embedded in the exterior of k in M is meridional if its boundary consists of a collection of meridians of k (and possibly some curves on ∂M ). A surface S properly embedded in the exterior of k (either closed or meridional), is meridionally compressible if there is a disk D embedded in M , so that D ∩ S = ∂D is an essential curve in S (non-contractible in S and non-parallel in S to a meridian of k), such that k intersects D transversely in exactly one point (or in other words, there is an annulus A embedded in the exterior of k, with ∂A = ∂0A ∪ ∂1A, such that A ∩ S = ∂0A and ∂1A is a meridian of k); if there is no such a disk, we say that the surface is meridionally incompressible. We say that a meridional surface S is essential if it is incompressible and meridionally incompressible.
A class of knots that has been widely studied is that of tunnel number one knots (a knot k has tunnel number one if there is an arc τ embedded in S 3 , with k∩τ = ∂τ such that S 3 − int η(k ∪ τ ) is a genus 2 handlebody). By work of Gordon and Reid [GR], these knots do not admit any planar meridional incompressible surface. However, some of these knots do admit closed incompressible surfaces or meridional incompressible surfaces of genus one or greater. Morimoto and Sakuma [MS] determined all tunnel number one knots whose complements contain an incompressible torus. The first
1991
Mathematics Subject Classification
. 57M25, 57N10.
Key words and phrases.
(1,
1)-knot, essential meridional surface.
author constructed for any g ≥ 2 infinitely many tunnel number one knots whose complements contain closed incompressible surfaces of genus g [E1][E2], and for any g ≥ 1 and h ≥ 1, infinitely many tunnel number one knots whose complements contain an essential meridional surface of genus g and 2h boundary components [E2]. An interesting problem would be to determine, characterize or classify all tunnel number one knots which admit a closed or meridional incompressible surface. With this objective we initiated studying incompressible surfaces in a special class of tunnel number one knots, that of (1, 1)-knots. A knot k is said to be a (1, 1)-knot if there is a standard torus T in S 3 such that k is a 1-bridge knot with respect to T , that is, T and k intersect transversely in two points, which divide k into two arcs, and such that each arc is isotopic to an arc lying on T . Equivalently, consider T × I ⊂ S 3 , where I = [0, 1]; k is a (1, 1)-knot if k lies in T × I, so that k ∩ T ×{0} = k0 is an arc, k ∩ T ×{1} = k1 is an arc, and k ∩ T × (0, 1) consists of two straight arcs, i.e., arcs which cross every torus T × {x} transversely. The family of (1, 1)-knots is an interesting class of knots which contains torus knots, 2-bridge knots, and which has received much attention recently (see for example [CM],[CK], [GMM]). All satellite tunnel number one knots classified by Morimoto and Sakuma are in fact (1, 1)-knots, and many of the knots constructed in [E1] are also (1, 1)-knots. In the paper [E3] it is proved that if k is a (1, 1)-knot whose complement contains a closed incompressible and meridionally incompressible surface, then k comes from the construction given in [E1].
The class of (1, 1)-knots can be defined for any manifold M admitting a Heegaard decomposition of genus 1, i.e., it can be defined when M = S 3 , S 1 × S 2 , or a lens space L(p, q), the definition is the same, with T being a Heegaard torus.
Let M = S 3 , S 1 × S 2 , or a lens space L(p, q). In this paper we construct all (1, 1)knots in M having a meridional essential surface. First, we give a general construction which produces (1, 1)-knots which admit a meridional essential surface (Section 2), and then prove that if a (1, 1)-knot admit a meridional essential surface then it comes from the given construction (Section 3). In particular we show that for any given integers g ≥ 1 and h ≥ 0, there exist (1, 1)-knots which admit a meridional essential surface of genus g and 2h boundary components. As we said before, (1, 1)-knots in S 3 do not admit any meridional essential surface of genus 0, but when M = L(p, q), we show that for any given integer h ≥ 1, there exist (1, 1)-knots which admit a meridional essential surface of genus 0 and 2h boundary components.
We remark that the knots constructed here are different from the ones in [E2]; in fact, most of the knots constructed in [E2] do not seem to be (1, 1)-knots.
Throughout, 3-manifolds and surfaces are assumed to be compact and orientable. If X is contained in a 3-manifold M, then η(X) denotes a regular neighborhood of X in M.
2. Construction of the meridional surface
In this section we construct meridional surfaces for (1, 1)-knots. We construct the surfaces by pieces, that is, we define some surfaces in a product T × I or in a solid
torus, getting 6 types of basic pieces, denoted by ˜ A, ˜ B, ˜ C, ˜ D, ˜ E, ˜ F. By assembling the pieces appropriately we get a (1, 1)-knot having an essential meridional surface.
2.1 Let T be a torus, and for any two real numbers a, b, a < b, define Na,b = T × [a, b], and ∂aNa,b = T × {a}, ∂bNa,b = T × {b}. A properly embedded arc in Na,b is straight if it intersects each torus T × {x} in one point, for all a ≤ x ≤ b. Let A be a once punctured annulus (i.e. a pair of pants) properly embedded in Na,b, such that a boundary component of A, say ∂0A, and which we call the puncture, lies on ∂aNa,b and is a trivial curve in this torus; the other components, denoted by ∂1A, are a pair of essential curves on ∂bNa,b. Assume that A has been isotoped so that A has only one saddle singularity with respect to the projection Na,b → [a, b], that is, there is a real number y, a < y < b, so that A ∩ (T × {z}) consists of a trivial curve in T × {z} for a ≤ z < y, A ∩ (T × {z}) consists of two essential curves in T × {z} for y < z ≤ b, and A ∩ (T × {z}) consists of a curve with a selfintersection if z = y. Two such punctured annuli A1, A2 are parallel if A1 × I is embedded in Na,b such that A1 × {0} = A1, A1 × {1} = A2, and ∂0A1 × I (∂1A1 × I) lies on ∂aNa,b (∂bNa,b).
We defined in the introduction the notion of meridional incompressibility of a surface with respect to a knot in a 3-manifold, but note that the same definition can be given with respect to a link or with respect to a collection of arcs properly embedded in a 3-manifold.
2.2 Pieces of type ˜ A.
Let Na,c = Na,b ∪ Nb,c, for a < b < c. Denote by A1, . . ., Ar a collection of disjoint, parallel, once punctured annuli properly embedded in Na,b as in 2.1. Note that the curves ∂0Ai are a collection of r trivial, nested curves in ∂aN , i.e., each of them bounds a disk Di, such that Di ⊂ Di+1, for i ∈{1, 2, ..., r−1}. The curves ∂1Ai are a collection of 2r parallel essential curves in ∂bN . Let A ′ 1 , ..., A ′ r be another collection of properly embedded parallel once punctured annuli in Nb,c, again as in 2.1, but such that the curves ∂0A ′ i , i.e. the punctures, lie on ∂ c N b,c and bound disks D ′ i , and the curves ∂ 1 A ′ i lie on ∂bNb,c. Suppose furthermore that {∂1Ai} = {∂1A ′ i } . Note that the boundaries of an annulus in one side may be identified to curves belonging to two different annuli in the other side. Let A ′ be the union of the annuli Ai and A ′ i . A ′ is a surface properly embedded in Na,c. Note that each component of A ′ is a torus with an even number of punctures, and that A ′ could be connected. Let η(∂bNa,b) be a regular neighborhood of ∂bNa,b in Na,c such that η(∂bNa,b) ∩A ′ consists of a collection of 2r parallel vertical annuli. Let ta,c be two straight arcs properly embedded in Na,c such that ta,c ∩ ∂aNa,c consists of two points contained in D1, and similarly ta,c ∩∂cNa,c consists of two points contained in D ′ 1 . Suppose also that the arcs of t a,c intersect A ′ in finitely many points, all of which lie in η(∂bNa,b). Assume these intersection points lie at different heights; denote the points and the height at which they occur by x1, x2, . . ., xn, which are ordered according to their heights. It should be clear from the context whether we refer to an intersection point or to a level in which the point lies.
2.2.1 Let A = A ′ − int η(ta,c). We call a product Na,c together with a surface A and a pair of arcs ta,c, a piece of type ˜ A. We assume that a piece of type ˜ A satisfies the
following:
(1) The part of A1 up to level x1, D1 and an annulus E1 in T ×{x1} bound a solid torus N1 ⊂ Na,x1. Suppose there is no a meridian disk D of N1, disjoint from ta,c, and whose boundary consists of an arc on A1, and one arc in E1. Note that if this condition is not satisfied, and so there is such a meridian disk, then the subarc t of ta,c which starts at D1 and ends at x1, is parallel onto A1, that is, there is a disk F embedded in N1, with ∂F = t ∪ α ∪ β, where α is an arc on D1 and β an arc on A1, and intF ∩ ta,c = ∅. So we can slide the arc t until is at the level of the disk D1, and so there is a meridional compression disk for A. That is, if the condition is not satisfied, then the surface A will be meridionally compressible. On the other hand, it is not difficult to see that if the arc t is parallel to an arc on A1, then there is a meridian disk for N1 disjoint from ta,c.
In particular, if the first point of intersection of t ′ with A ′ is x2, then we are assuming that x1 and x2 lie on different vertical annuli. Note that if this condition is not satisfied then condition (1) would be meaningless, i.e., we could always slide the arcs and find a meridional compression disk for A.
(2) One arc of ta,c start at D1 and arrives to the point x1. Let t ′ be the other arc of ta,c. Assume that either (i) t ′ is disjoint from A ′ ; or (ii) x1 and the first point of intersection of t ′ with A ′ , say xj, lie on different vertical annuli of η(∂bNa,b) ∩A ′ ; or (iii) xj and x1 lie on the same vertical annulus, but there is no disk D ⊂ η(∂bNa,b), so that ∂D = α ∪ β ∪ γ, where α ⊂ t ′ , β ⊂A ′ , which connects xj with a point x ′ 1 at level T × { x 1 } , γ is an arc on T × { x 1 } , and int D is disjoint from both ta,c and A ′ . In other words, t ′ cannot be slided to lie at level T × {x1}.
(3) Suppose a subarc of ta,c intersects a vertical annulus in two points, say xi, xj, but does not intersect any other annulus between these two points. Then this subarc, say β, is not parallel to an arc on the vertical annulus. That is, if D is any disk in Na,c with interior disjoint from A ′ , such that ∂D = α ∪ β, where α is an arc on the vertical annulus, then ta,c necessarily intersects int D. If this condition is not satisfied then the surface A will be clearly compressible.
(5) For D ′ 1 and the arcs adjacent to it we have a similar condition as in (2).
(4) For the part of A ′ 1 between levels T × { x n } and T × { c } we have a similar condition as in (1).
(6) In case ta,c is disjoint from A ′ , we assume the following: In this case the annulus Ai is glued to the annulus A ′ i . Let k be the knot obtained by joining the endpoints of ta,c contained in D1 with an arc lying on D1, and by joining the endpoints contained on D ′ 1 with an arc lying on D ′ 1 . Then we get a knot contained in the solid torus bounded by D1 ∪ A1 ∪ A ′ 1 ∪ D ′ 1 . Assume this knot has wrapping number ≥ 2 in such a solid torus. This is required to avoid meridional compression disks.
Note that it is not difficult to construct pieces of type ˜ A where all of these conditions are satisfied. See Figure 1.
Remark. Condition 2.2.1(1) has an alternative description. Embed the solid torus N1 in S 3 so that it is an standard solid torus and A1 ∩ (T × {x1}) is a preferred longitude of such solid torus. Connect the endpoints of ta,c ∩ N1 contained in D1 with an arc lying in D1. The other endpoints of ta,c ∩ N1 lie on E1; let α be the boundary of a meridian disk of N1, passing through these points and which is disjoint from D1. The endpoints of ta,c ∩ N1 separate α into two arcs; joint these points by the arc of α that is not contained in E1. This defines a knot k in S 3 , which by construction has a presentation with two maxima. Note that if condition 2.2.1(1) is not satisfied, then k will be the trivial knot. So, a sufficient condition for the condition 2.2.1(1) to be satisfied is that k is a non-trivial 2-bridge knot. With a little work, it can be shown that this condition is also necessary. Observe that any 2-bridge knot can result from this construction, as shown in Figure 3.
Suppose that the components of ∂(η(∂bNa,b)), which are two tori, lie at levels x0 and xn+1, so that a < x0 < x1 < · · · < xn < xn+1 < c. Consider the torus T ×x0. The annuli Ai intersect this torus in 2r curves which divide it into 2r horizontal annuli. Consider the collection of these annuli, except the one which intersects ta,c, and denote the collection by B. Take also an horizontal annulus at a level between x1 and x2, which does intersect ta,c in one point, and denote it by B ′ . But if different components of ta,c define the points x1 and x2, i.e., a component of ta,c goes from D1 to x1, and the other goes from D1 to x2, then choose B ′ as an annulus between x2 and x3; in this case B ′ is disjoint from ta,c. Note that in this case the points x1 and x2 lie on different vertical annuli, for otherwise it contradicts condition 2.2.1(2). Analogously define horizontal annuli C at level xn+1 and an annulus C ′ at a level between xn and xn −1 (or between xn −1 and xn −2). If ta,c is disjoint from A ′ , then consider only the
collection of annuli B.
Lemma 2.2.2. The surface A is incompressible and meridionally incompressible in Na,c − int η(ta,c).
Proof. Suppose first that the arcs ta,c do intersect the surface A ′ . Suppose A is compressible or meridionally compressible, and suppose that D is a compression disk for A, which is disjoint from ta,c, or intersects it in one point. Assume D intersects transversely the annuli B, B ′ , C, C ′ . Let γ be a simple closed curve of intersection between D and the annuli which is innermost in D, and then it bounds a disk D ′ . Note that γ must be trivial in the corresponding annulus, for the core of the annulus is an essential curve in Na,c, and then γ bounds a disk D ′′ in such annulus. If D ′′ intersects the arcs ta,c in two points, then D ′ ∪ D ′′ bounds a 3-ball containing part of the arcs, and one subarc of ta,c will have endpoints on D ′′ , which is not possible. So the disk D ′′ is disjoint from the arcs ta,c or intersects them in one point, depending if the innermost disk in D intersects or not the arcs ta,c; but in any case, by doing an isotopy this intersection curve is eliminated.
Suppose then that the intersection consists only of arcs, and let γ be an outermost arc in D, which we may assume cuts offa disk D ′ from D which is disjoint from ta,c. Let ∂D ′ = γ ∪ α. The arc γ lies in one of the annuli, and suppose first it is not an spanning arc in the corresponding annulus. So γ bounds a disk E in such annulus. If E is contained in one of the annuli B or C, then E and ta,c are disjoint, and then by cutting D with E (or with an innermost disk lying on E), we get another compression disk having fewer intersections with the annuli. Suppose then that E lies in B ′ or in C ′ . If E is disjoint from ta,c, the same argument applies, so assume it intersects ta,c. There are two cases, either D ′ lies in the region between B ′ and D1 (or C ′ and D ′ 1 ), or it lies in a region bounded by B ′ , two vertical annuli and C ′ or one of the annuli C (or bounded by C ′ , two vertical annuli and B ′ or one of the annuli B).
Suppose first that D ′ lies in the region between B ′ and D1. Let ˆ A1 be the part of A1 lying between T × {a} and the level determined by B ′ . The arc α lies on ˆ A1, with endpoints on the same boundary component of ˆ A1. Then α is a separating arc in ˆ A1, and cuts offa subsurface E ′ , which is a disk or an annulus (depending if E ′ contains or not ∂0A1). If E ′ is a disk, then D ′ ∪ E ∪ E ′ is a sphere intersecting the arcs ta,c in one point, which is impossible (note that in this case the point x1 cannot lie in E ′ ). If E ′ is an annulus, then D ′ ∪ E ∪ E ′ ∪ D1 bound a 3-ball P , so that ∂P intersects the arcs ta,c in at least 3 points, so it must intersect them in 4 points, and then the point x1 must lie on E ′ . As the arcs lie in the 3-ball P , it is clear that there is a meridian disk of the solid torus bounded by D1 ∪ ˆ A1 ∪ B ′ which is disjoint from the arcs ta,c, contradicting condition 2.2.1(1). The case when D ′ lies in the region between C ′ and D ′ 1 can be handled in a similar way.
Suppose now that D ′ lies in a region bounded by B ′ , two vertical annuli, and C ′ or one of the annuli C. The arc α cuts offa disk E ′′ from one of the vertical annuli. The disks E, D ′ and E ′′ form a sphere which intersects ta,c in at least two points. If intersects it in more than 2 points, then there is a subarc of ta,c arc going from E to
E ′′ , and at least one sub arc with both endpoints on E ′′ . As the arcs are monotonic, these cannot be tangled, so any arc with both endpoints on E ′′ must be parallel to E ′′ , which contradicts 2.2.1(3). If the sphere E ∪ D ′ ∪ E ′′ intersects ta,c in two points, then there is an arc of ta,c which intersects E ′′ at the point xj, say. We can isotope the arc so that intersects the vertical annuli at a level just below B ′ ; this changes the order of the intersection points xi, so that the point xj now becomes x2. Note that x1 and x2 lie on different vertical annuli because of condition 2.2.1(2). Now B ′ is disjoint from ta,c, and by an isotopy we get a disk having fewer intersections with B ′ .
We have shown that the outermost arc γ in D cannot bound a disk in one of the annuli. Suppose then that γ is an spanning arc of the corresponding annulus. Remember that ∂D ′ = γ ∪ α. If γ lies in B or C, then α must be a spanning arc of Ar or A ′ r , and then γ ∪ α is an essential curve in N a,b , so it cannot bound a disk. If γ lies in B ′ , then γ ∪ α must be a meridian of the solid torus D1 ∪ ˆ A1 ∪ B ′ , but then condition 2.2.1(1) is not satisfied. Analogously, if γ lies on C ′ , condition 2.1.1(4) is not satisfied.
Therefore, if there is a compression or meridional compression disk D for A, it must be disjoint from the annuli B, B ′ , C, C ′ . If D lies in a region bounded by two vertical annuli and B (or B ′ ) and C (or C ′ ), then as the arcs ta,c are straight, it is not difficult to see that there is a subarc parallel to one of the vertical annuli, which contradicts condition 2.2.1(3). If D lies in the solid torus determined by ˆ A1, B ′ and D1, then either this contradicts condition 2.2.1(1), or D is not a compression or meridional compression disk. If D lies in any of the remaining regions, then it is not difficult to see that it cannot be a compression disk.
Suppose now that the arcs ta,c are disjoint from A ′ . If D is a compression disk for A ′ which is disjoint from the arcs ta,c or intersects them in one point, a similar argument as above shows that D is disjoint from the annuli B, and then D must lie in the solid torus bounded by D1 ∪ A1 ∪ A ′ 1 ∪ D ′ 1 . This implies that the wrapping number of the knot k defined in 2.2.1(6) is 0 or 1, contradicting that condition. □
2.3 Pieces of type ˜ B.
Let T be a torus, and let Na,b = T × [a, b]. Denote by A1, . . ., Ar a collection of disjoint, parallel, once punctured annuli properly embedded in Na,b as in 2.1. Note that the punctures of these annuli, ∂0Ai, are a collection of r trivial, nested curves on ∂aNa,b; each of them bounds a disk Di, such that Di ⊂ Di+1, for i ∈{1, 2, . . ., r − 1}. The curves ∂1Ai, are a collection of 2r parallel essential curves on ∂bNa,b. Let A ′ 1 , ..., A ′ r be a collection of properly embedded parallel annuli in a solid torus Rb, such that the boundaries of the annuli are a collection of 2r essential curves in ∂Rb, each one going at least twice longitudinally around Rb. Assume that A ′ 1 separates a solid torus N 2 ⊂ R b , such that N2 ∩ ∂Rb is an annulus parallel to A ′ 1 , and that the interior of N 2 does not intersect any A ′ i . Identify ∂ b N a,b with ∂R b , so that the collection of curves { ∂ 1 A i } is identified with the collection {∂A ′ i } . Note that the boundaries of an annulus in one side may be identified to curves belonging to two different annuli in the other side. Let B ′ be the union of the annuli Ai and A ′ i . The surface B ′ is properly embedded
in the solid torus Na,b ∪ Rb. Note that each component of B ′ is a punctured torus, and that B ′ could be connected. Let η(∂bNa,b) be a regular neighborhood of ∂bNa,b in Na,b ∪ Rb such that η(∂bNa,b) ∩ Rb consists of a product neighborhood ∂Rb × [b, b + ǫ], and η(∂bNa,b) ∩B ′ consists of a collection of 2r parallel vertical annuli. Let t be an arc properly embedded in Na,b ∪ Rb, such that: t ∩ ∂aNa,b consists of two points contained in D1, t ∩ Na,b consists of two straight arcs properly embedded in Na,b, t ∩ Rb consists of an arc contained in the product neighborhood ∂Rb × [b, b + ǫ], which has only one minimum in there, i.e., it intersects each torus twice, except one, which intersects precisely in a tangency point. Suppose t intersects B ′ in finitely many points, all of which lie in η(∂bNa,b), and suppose these intersection points lie at different heights; denote the points and the height at which they occur by x1, x2, . . ., xn, which are ordered according to their heights.
2.3.1 Let B = B ′ − int η(t). We call a solid torus together with a surface B and an arc t, a piece of type ˜ B. We assume that a piece of type ˜ B satisfies the following:
(1) The part of A1 up to level x1 satisfy the same condition as in 2.2.1(1).
(2) The same condition as in 2.2.1(2) is satisfied.
(3) Suppose a subarc of t, which does not contain the minimum of t, intersects a component of B ′ in two points, say xi, xj, but does not intersect any other component between these two points. Then this part of the arc, say β, is not parallel to an arc α on B ′ . That is, if D is any disk in Na,b ∪ Rb with interior disjoint from B ′ , such that ∂D = α ∪ β, ∂D ∩B ′ = α, then t necessarily intersects int D. If this condition is not satisfied then the surface B will be clearly compressible.
(4) Assume that the subarc of t which contains the minimum is contained in the solid torus N2, and that the point xn lies on the curve A ′ 1 ∩ ∂R b . The endpoints of the arc t ∩ Rb lie on the annulus N2 ∩ ∂Rb. Suppose there is no a meridian disk D of N2, disjoint from t, and whose boundary consists of an arc on A ′ 1 , and one arc in ∂Rb. Note that if this condition is not satisfied, and so there is such a meridian disk, then the subarc t ′ of t lying in N2, is parallel onto ∂N2, that is, there is a disk F embedded in N2, with ∂F = t ′ ∪ α ∪ β, where α is an arc on A ′ 1 and β an arc on ∂Rb, and int F ∩ t ′ = ∅. So we can slide the arc t ′ until it is contained in ∂Rb; by sliding it further, we could find a compression disk for A.
(5) A condition similar to 2.2.1(4) is satisfied for xn. That is, one subarc of t starts at the maximum of t and arrives to the point xn. Let t ′ be the other subarc of t that starts at the maximum. Assume that either (i) t ′ is disjoint from B ′ ; or (ii) xn and the first point of intersection of t ′ with B ′ , say xj, lie on different vertical annuli of η(∂bNa,b) ∩B ′ ; or (iii) xn and xj lie on the same vertical annulus, but there is no disk D ⊂ η(∂bNa,b), with ∂D = α ∪ β ∪ γ, so that α ⊂ t ′ , β ⊂B ′ , which connects xj with a point x ′ n at level T × { x n } , γ is an arc on T × {xn}, and int D is disjoint from t and from B ′ . In other words, t ′ cannot be slided to lie at level T × {xn}.
This condition complements condition (4), for if this is not satisfied, the arcs
could be slided into a position in which (4) fails.
(6) In case t is disjoint from B ′ , we assume the following: In this case the annulus Ai is glued to the annulus A ′ i , for all i . Let k be the knot obtained by joining the endpoints of t lying on D1 with an arc on D1. Then we get a knot lying in the solid torus bounded by A1 ∪ A ′ 1 . Assume that this knot has wrapping number ≥ 2 in such a solid torus. If this is not satisfied, then the surface will be compressible or meridionally compressible.
It is not difficult to construct pieces of type ˜ B where all of these conditions are satisfied. See Figure 2.
If the annulus A1 goes just one longitudinally around the solid torus Rb, and t intersects B ′ , then it is not difficult to see that B will be compressible; if t is disjoint from B ′ , then B is incompressible but each of its components will be parallel into ∂aNa,b.
Remark. Condition 2.2.1(4) has an alternative description. Embed the solid torus N2 in S 3 in a standard manner, so that A ′ 1 ∩ ∂R b is a preferred longitude of such solid torus. Suppose the point xn lies on the curve A ′ 1 ∩ ∂R b . As before, the endpoints of the arc t ∩ Rb lie on the annulus N2 ∩ ∂Rb and the point xn lies on the curve A ′ 1 ∩ ∂R b Let α be the boundary of a meridian disk of N2 which passes through these points. The endpoints of t ∩ Rb separates α into two arcs; connect them with the subarc of α which intersects A ′ 1 . This defines a knot k in S 3 , which by construction has a presentation with two minima. It can be shown that Condition 2.2.1(4) is satisfied if and only if k is a non-trivial 2-bridge knot. Note that any 2-bridge knot k can result from this construction, as shown in Figure 3.
A'
Suppose that the components of ∂(η(∂bNa,b)) lie at levels x0 and xn+1, so that a < x0 < x1 < . . . xn < xn+1 ≤ b + ǫ. Consider the torus T × {x0}; note that B ∩ (T × {x0}) consist of 2r curves which divide that torus into 2r horizontal annuli. Consider the collection of these annuli, except the one which intersects t, and denote the collection by B. Take also an horizontal annulus at a level between x1 and x2, which intersects t in one point, and denote it by B ′ . But if different subarcs of t define the points x1 and x2, i.e., a subarc of t goes from D1 to x1, and the other goes from D1 to x2, then choose B ′ as an annulus between x2 and x3; in this case B ′ is disjoint from t, and the points x1, x2 lie on different vertical annuli. Analogously define horizontal annuli C at level xn+1 and annulus C ′ at a level between xn and xn −1 (or between xn −1 and xn −2) . If t is disjoint from B ′ , then consider only the collection of annuli B.
Lemma 2.3.2. The surface B is incompressible and meridionally incompressible in (Na,b ∪ Rb) − int η(t).
Proof. Suppose first that the arc t does intersect the surface B ′ . Suppose D is a compression disk for B, which is disjoint from t, or intersects it in one point. Suppose D intersects transversely the annuli B, B ′ , C, C ′ . Let γ be a simple closed curve of intersection between D and the annuli which is innermost in D. Note that γ must be trivial in the corresponding annulus, for the core of the annulus is an essential curve in T × [a, b] or in Rb. So γ bounds a disk in such annulus, which is disjoint from the arc t or intersects it in one point, depending if the innermost disk in D intersects or not the arc t, but in any case an isotopy eliminates this intersection.
Suppose then that the intersection between D and the annuli consists only of arcs, and let γ be an outermost arc in D, which we may assume it cuts offa disk D ′ from D which is disjoint from t. Let ∂D ′ = γ ∪ α. The arc γ lies in one of the annuli, and suppose first it is not an spanning arc in the corresponding annulus. So γ bounds a disk E in such annulus. If E is contained in one of the annuli B or C, then E and t are disjoint, and then by cutting D with E (or with an innermost disk lying on E),
we get another compression disk having fewer intersections with the annuli. Suppose then that E lies in B ′ or in C ′ . If E is disjoint from t, the same argument as above applies, so assume it intersects t. There are three cases, either D ′ lies in the region between B ′ and D1; or it lies in a region bounded by B ′ , two vertical annuli and C ′ or one of the annuli C; or it lies in the region bounded by C ′ and A ′ 1 .
Suppose now that D ′ lies in a region bounded by B ′ , two vertical annuli, and C ′ or one of the annuli C. The arc α cuts offa disk E ′′ from one of the vertical annuli. The disks E, D ′ and E ′′ form a sphere which intersects t in at least two points. If intersects it in more than 2 points, then there is one subarc of t going from E to E ′′ , and at least one arc with both endpoints on E ′′ . As the arcs are monotonic, these cannot be tangled, so any arc with both endpoints on E ′′ must be parallel to E ′′ , which contradicts 2.3.1(2). If the sphere E ∪ D ′ ∪ E ′′ intersects t in two points, then there is an arc of t which intersects E ′′ at the point xj, say. We can isotope the arc so that intersects the vertical annuli at a level just below B ′ ; this changes the order of the intersection points xi, so that the point xj now becomes x2. Note that x1 and x2 lie on different vertical annuli because of condition 2.3.1(2). Now B ′ is disjoint from t, and by an isotopy we get a disk having fewer intersections with B ′ .
Suppose first that D ′ lies in the region between B ′ and D1. Let ˆ A1 be the part of A1 lying between T × {a} and the level determined by B ′ . The arc α lies on ˆ A1, with endpoints on the same boundary component of ˆ A1. Then α is a separating arc in ˆ A1, and cuts offa subsurface E ′ , which is a disk or an annulus (depending if E ′ contains or not ∂0A1). If E ′ is a disk, then D ′ ∪ E ∪ E ′ is a sphere intersecting the arcs t in one point, which is impossible (note that in this case the point x1 cannot lie in E ′ ). If E ′ is an annulus, then D ′ ∪ E ∪ E ′ ∪ D1 bound a 3-ball P , so that ∂P intersects the arcs t in at least 3 points, so it must intersect them in 4 points, and then the point x1 must lie on E ′ . As the arcs lie in the 3-ball P , it is clear that there is a meridian disk of the solid torus bounded by D1 ∪ ˆ A ∪ B ′ which is disjoint from the arcs t, contradicting condition 2.3.1(1)
Suppose then that D ′ lies in the region bounded by C ′ and A ′ 1 . The arc α cuts offa disk E ′ from A ′ 1 . Note that D ′ does not intersect the arc t , so E and E ′ both intersect t in one point, and D ′ ∪ E ∪ E ′ bounds a 3-ball containing a subarc of t. Then there is a meridian disk of the solid torus bounded by C ′ and A ′ 1 disjoint from t , but this contradicts 2.3.1(4).
We have shown that the outermost arc γ in D cannot bound a disk in one of the annuli. Suppose then that γ is a spanning arc of the corresponding annulus. Remember that ∂D ′ = γ ∪ α. If γ lies in B or C, then α must be a spanning arc of Ar or A ′ r ,and then γ ∪α is an essential curve in Na,b, so it cannot bound a disk (the curve γ ∪α could bound a disk only if A ′ r were a longitudinal annulus in R b ). If γ lies in B ′ , then γ ∪ α must be a meridian of the solid torus bounded by D1 ∪ ˆ A1 ∪ B ′ , but then condition 2.3.1(1) is not satisfied. Analogously, if γ lies on C ′ , condition 2.3.1(4) is not satisfied.
Therefore, if there is a compression or meridional compression disk for B, it must be disjoint from the annuli B, B ′ , C, C ′ . If D lies in a region bounded by two vertical annuli and B (or B ′ ) and C (or C ′ ), then as the arcs t are straight, it is not difficult
to see that there is a subarc parallel to one of the vertical annuli, which contradicts condition 2.3.1(3). If D lies in the solid torus determined by ˆ A1, B ′ and D1, then either this contradicts condition 2.3.1(1), or D is not a compression or meridional compression disk. If D lies in any of the remaining regions, then it is not difficult to see that it cannot be a compression disk.
The remaining case is when t is disjoint from B ′ . In this case the annulus B ′ is not defined. Let D a compression or meridional compression disk. Again, we can make D disjoint from the annuli B. Then D lies in the solid torus determined by A1 ∪ A ′ 1 . If ∂D is essential in that torus, this implies that the wrapping number of the knot k defined in 2.3.1(6) is 0 or 1, contradicting that condition. □
2.4 Pieces of type ˜ C.
Let T be a torus, and let Na,b = T × [a, b]. Denote by A1, . . ., Ar a collection of disjoint, parallel, once punctured annuli properly embedded in Na,b as in 2.1. Note that the punctures of these annuli, ∂0Ai, are a collection of r trivial, nested curves in ∂aN , each bounding a disk Di, and ∂1Ai consists of a collection of 2r essential parallel curves on ∂bNa,b. Let A ′ 1 , ..., A ′ 2r be a collection of meridian disks in a solid torus R b . Identify ∂bNa,b with ∂Rb, so that the collection of curves {∂1Ai} are identified with the collection {∂A ′ i } , and say, the annulus A i is glued with the disks A ′ i and A ′ 2r − i+1 . Let C ′ be the union of the annuli Ai and the disks A ′ i . C ′ is a surface properly embedded in the solid torus Na,b ∪ Rb. Note that each component of C ′ is a disk. Let η(∂bNa,b) be a regular neighborhood of ∂bNa,b in Na,b ∪ Rb such that η(∂bNa,b) ∩ Rb consists of a product neighborhood ∂Rb × [b, b + ǫ], and η(∂bNa,b) ∩C ′ consists of a collection of 2r parallel vertical annuli. Let t be an arc properly embedded in Na,b ∪ Rb, such that: t ∩ ∂aNa,b consists of two points contained in the disk D1, t ∩ Na,b consists of two straight arcs properly embedded in Na,b, t ∩ Rb consists of an arc contained in the product neighborhood ∂Rb × [b, b + ǫ], which has only one minimum in there, i.e., it intersects each torus twice, except one, which intersects precisely in a tangency point. Assume that the arc t intersects C ′ in finitely many points, all of which lie in η(∂bNa,b). Suppose these intersection points lie at different heights, are denoted by x1, x2, . . ., xn, and are ordered according to their heights.
2.4.1 Let C = C ′ − int η(t). We call a solid torus together with a surface C and an arc t, a piece of type ˜ C. We assume that a piece of type ˜ C satisfies the following:
(1) The part of A1 up to level x1 satisfies the same condition as in 2.2.1(1).
(2) A similar condition as in 2.2.1(2) is satisfied.
(3) Suppose a subarc of t, say β, which does not contain the minimum of t, intersects a component of C ′ , in two points, say xi, xj, but does not intersects any other component between these two points. The same condition as in 2.3.1(3) is satisfied, that is, if D is any disk in Na,b ∪ Rb with interior disjoint from C ′ , such that ∂D = α ∪ β, ∂D ∩C ′ = α, then t necessarily intersects int D.
(4) The subarc of t which contains the minimum has endpoints on two different disks A ′ i and A ′ j .
Note that in this case the arc t necessarily intersects the surface C ′ . It is not difficult to construct examples of pieces satisfying these conditions. See Figure 4.
Suppose that the components of ∂(η(∂bNa,b)) lie at levels x0 and xn+1, so that a < x0 < x1 < . . . xn < xn+1 ≤ b + ǫ. Consider the torus T × {x0}, and note that C ∩ (T × {x0}) consists of 2r curves which divide that torus into 2r horizontal annuli. Consider the collection of these annuli, except the one which intersects t, and denote the collection by B. Note that in this case the core of any of the annuli B is a trivial curve in Na,b ∪ Rb. Take also an horizontal annulus at a level between x1 and x2, which intersects t in one point, and denote it by B ′ . But if different subarcs of t define the points x1 and x2, i.e., a subarc of t goes from D1 to x1, and the other goes from D1 to x2, then choose B ′ as an annulus between x2 and x3; in this case B ′ is disjoint from t, and the points x1, x2 lie on different vertical annuli.
Lemma 2.4.2. The surface C is incompressible and meridionally incompressible in Na,b ∪ Rb − int η(t).
Proof. Suppose D is a compression disk for C, which is disjoint from t, or intersects it in one point.
Suppose first that the disk is not in the 3-ball bounded by A1 ∪ A ′ 1 ∪ A ′ 2r . Suppose D intersects transversely the annuli B. Let γ be a simple closed curve of intersection between D and the annuli which is innermost in D. If γ bounds a disk in one of the annuli, then this disk is disjoint from the arc t and an isotopy eliminates this intersection. Suppose then that γ is an essential curve in one of the annuli B; if this happens then the arc t is disjoint from a meridian of the solid torus Na,b ∪ Rb or it intersects a meridian in one point. This implies that condition 2.4.1(3) is not satisfied,
except if t intersects each of the disks Ai ∪ A ′ i ∪ A ′ 2r − i+1 in two points, but in this case it is not difficult to see that ∂D would not be essential in C ′ .
Suppose then that the intersection between the disk D and the annuli B consists only of arcs, and let γ be an outermost arc in D, which we may assume it cuts offa disk D ′ from D which is disjoint from the arc t. Let ∂D ′ = γ ∪ α. The arc γ lies in one of the annuli B, and suppose first it is not an spanning arc in the corresponding annulus. So γ bounds a disk E in such annulus. As E is contained in an annulus in B, E is disjoint from t, and then by cutting D with E (or with an innermost disk lying on E), we get another compression disk having fewer intersections with the annuli. Suppose then that γ is an spanning arc of the corresponding annulus. Then α must be an arc contained in one of the components of C, and the only possibility is that it is in the component formed by Ar ∪ A ′ r ∪ A ′ r+1 , for it is the only component which intersects a single annulus of B in two curves. But then γ ∪ α is an essential curve in Na,b, which cannot bound a disk. If the intersection between the disk D and the annuli B is empty, then it is not difficult to see either condition 2.4.1(3) is not satisfied, or ∂D is not essential in C ′ .
Suppose now that the disk D is contained in the ball bounded by A1 ∪ A ′ 1 ∪ A ′ 2r . Assume D intersects transversely the annulus B ′ . Note that the annulus B ′ plus two disks contained in A1 ∪ A ′ 1 ∪ A ′ 2r bound a 3-ball B ′′ which contains all the points of intersection between t and A1 ∪ A ′ 1 ∪ A ′ 2r , except x 1 (and x 2 , in case B ′ is disjoint from t). Suppose there is an outermost arc of intersection γ in D, which cuts offa disk D ′ from D, with interior disjoint from B ′ and t. Suppose that γ is not an spanning arc in B ′ ; so it cuts offa disk E from B ′ . If E is disjoint from t, by cutting D with E, we get a compression disk having fewer intersections with B ′ . So suppose that E intersects t in one point.
There are two cases, either D ′ lies in the region between B ′ and D1, or it lies in the 3-ball B ′′ . Suppose first that D ′ lies in the region between B ′ and D1. Let ˆ A1 be the part of A1 lying between T × {a} and the level determined by B ′ . The arc α lies on ˆ A1, with endpoints on the same boundary component of ˆ A1. Then α is a separating arc in ˆ A1, and cuts offa subsurface E ′ , which is a disk or an annulus (depending if E ′ contains or not ∂0A1). If E ′ is a disk, then D ′ ∪ E ∪ E ′ is a sphere intersecting the arcs t in one point, which is impossible (note that in this case the point x1 cannot lie in E ′ ). If E ′ is an annulus, then D ′ ∪ E ∪ E ′ ∪ D1 bound a 3-ball P , so that ∂P intersects the arcs t in at least 3 points, so it must intersect them in 4 points, and then the point x1 must lie on E ′ . As the arcs lie in the 3-ball P , it is clear that there is a meridian disk of the solid tours bounded by D1 ∪ ˆ A ∪ B ′ which is disjoint from the arcs t, contradicting condition 2.4.1(1)
Suppose now that D ′ lies in the 3-ball B ′′ . The arc α cuts offa disk E ′′ from one of the vertical disks. The disks E, D ′ and E ′′ form a sphere which intersects t in at least two points. If intersects it in more than 2 points, then there is a subarc of t going from E to E ′′ , and at least one arc with both endpoints on E ′′ . As the arcs are monotonic, these cannot be tangled, so any arc with both endpoints on E ′′ must be parallel to E ′′ , which contradicts 2.4.1(3). If the sphere E ∪ D ′ ∪ E ′′ intersects t in two points, then
there is a subarc of t which intersects E ′′ at the point xj, say. We can isotope the arc so that intersects the vertical disk at a level just below B ′ ; this changes the order of the intersection points xi, so that the point xj now becomes x2. The points x1 and x2 lie on different vertical annuli because of condition 2.4.1(2). Now B ′ is disjoint from t, and by an isotopy we get a disk having fewer intersections with B ′ .
We have shown that the outermost arc γ in D cannot bound a disk in B ′ . Suppose then that γ is an spanning arc of B ′ . The only possibility is that D ′ lies in the region between B ′ and D1. Then D ′ must be a meridian of the solid torus bounded by D1 ∪ ˆ A1 ∪ B ′ , but then condition 2.4.1(1) is not satisfied.
We have shown that there are no outermost arcs of intersection in D, so the intersection between D and B ′ is either empty or contains simple closed curves (and possibly some arcs). Let γ be a simple closed curve of intersection between D and B ′ which is innermost in D, and bounds a disk D ′ ⊂ D. If γ bounds a disk in B ′ , then this disk is disjoint from the arc t or intersects it in one point, depending if D ′ intersects or not the arc t, but in any case an isotopy eliminates this intersection. If γ is essential in the annulus B ′ , then D ′ must be contained in the 3-ball B ′′ , and then condition 2.4.1(3) is not satisfied, unless the arc t intersects A1 ∪ A ′ 1 ∪ A ′ 2r in 2 or 4 points. If there are two points of intersection, just x1 and x2, then ∂D is either parallel to ∂(A1 ∪ A ′ 1 ∪ A ′ 2r ), which implies that the arc t is disjoint from A1 ∪ A ′ 1 ∪ A ′ 2r , or ∂D encloses a disk containing just one of the points of t, which implies that ∂D is not essential. Suppose then that t intersects A1 ∪ A ′ 1 ∪ A ′ 2r in 4 points; in this case D ′ intersects t . Any other closed curve of intersection between D and B ′ must be concentric with γ in D, for otherwise there is an innermost curve bounding a disk disjoint from t. This implies that there is no arc of intersection between D and B ′ , for there will be an outermost one. So the intersection consists only of curves. As these are concentric, if there is more than one these can be removed by an isotopy. So, the intersection between D and B ′ consists only of the curve γ. The only possibility is that ∂D is in fact parallel to ∂B ′ , and then the disk is parallel to a disk lying on A1 ∪ A ′ 1 ∪ A ′ 2r , a contradiction.
The only possibility left is that D is disjoint from B ′ . Then it is not difficult to see that D is parallel to a disk in A1 ∪ A ′ 1 ∪ A ′ 2r , a contradiction. □
2.5 Pieces of type ˜ D.
Let Ra and Rb be two solid tori. Let A1, ..., Ar be a collection of properly embedded parallel annuli in the solid torus Ra, such that the boundaries of the annuli are a collection of 2r curves in ∂Ra which go at least twice longitudinally around Ra. Let A ′ 1 , ..., A ′ r be a collection of properly embedded parallel annuli in the solid torus R b , such that the boundaries of the annuli are a collection of 2r curves in ∂Rb which go at least twice longitudinally around Rb. Identify ∂Ra with ∂Rb, so that the collection of curves {∂Ai} are identified with the collection of curves {∂A ′ i } . Note that the boundaries of an annulus in one side may be identified to curves belonging to two different annuli. Let D ′ be the union of the annuli Ai and A ′ i . D ′ is a surface embedded in Ra ∪Rb. Note that each component of D ′ is a torus and that D ′ could be connected. Let η(∂Ra) be a regular neighborhood of ∂Ra in Ra ∪ Rb such that η(∂Ra) ∩ Ra is
a product neighborhood ∂Ra × [−ǫ, 0], and η(∂Ra) ∩ Rb is a product neighborhood ∂Ra × [0, ǫ]. Assume that η(∂Ra) ∩D ′ consists of a collection of 2r parallel vertical annuli. Let t be a knot embedded in Ra ∪ Rb, such that: t ∩ Rb consists of an arc properly embedded in the product neighborhood ∂Ra × [0, ǫ] containing only a minimum (as defined as in 2.3), t ∩ Ra consists of an arc properly embedded in the product neighborhood ∂Ra × [−ǫ, 0], containing only a maximum (defined analogously to a minimum), and t intersects D ′ in finitely many points, all contained in η(∂Ra)∩D ′ . Suppose these intersection points lie at different heights (in ∂Ra × [−ǫ, ǫ]), are denoted by x1, x2, . . ., xn, and are ordered according to their heights.
2.5.1 Let D = D ′ − int η(t). We call a solid torus together with a surface D and an arc t, a piece of type ˜ D. We assume that a piece of type ˜ D satisfies the following:
(1) Note that A1 separates a solid torus N1 ⊂ Ra. Assume that the subarc of t which contains the maximum is contained in N1. A similar condition as in 2.3.1(4) is satisfied.
(2) For A1 and the minimum of t, a similar condition as in 2.3.1(5) is satisfied.
(3) Suppose an arc, which does not contain the minimum or maximum of t, intersects a component of D ′ in two points, say xi, xj, but does not intersects any other component between these two points. The same condition as in 2.3.1(3) is satisfied.
(5) For A ′ 1 and the maximum of t , a similar condition as in 2.3.1(5) is satisfied.
(4) The annulus A ′ 1 separates a solid torus N 2 ⊂ R b . Assume that the subarc of t which contains the minimum is contained in N2. The same condition as in 2.3.1(4) is satisfied.
(6) If t is disjoint from D ′ , then Ai is glued to the annulus A ′ i and t is a knot lying in the solid torus bounded by Ai ∪ A ′ i . In this case assume that the knot t has wrapping number ≥ 2 in such a solid torus.
Note that if one of the annuli Ai or A ′ i is longitudinal in R a or R b , then the surface D will be compressible.
The space Ra ∪ Rb can be S 3 , S 1 × S 2 or a lens space L(p, q). It is not difficult to construct examples of knots and surfaces satisfying these conditions for any of the possible spaces Ra ∪ Rb. See Figure 5 for a specific example of such a piece in S 3 , where D ′ is made of two annuli, i.e., D ′ = A1 ∪ A ′ 1 (shown with gray lines), and say, Rb is the solid torus standardly embedded in S 3 , and Ra is the complementary torus, which contains the point at infinity. The knot t intersects D ′ in two points, which divide it into two arcs; the black bold arc is the one which contains the maximum of t. Note that in this example the torus D ′ is in fact isotopic to ∂Ra in S 3 , but D is incompressible and meridionally incompressible in S 3 − int η(t), while ∂Ra − int η(t) is compressible.
Lemma 2.5.2. The surface D is incompressible and meridionally incompressible in Ra ∪ Rb − int η(t).
Proof. It is similar to the proof of Lemma 2.3.2.
2.6 Pieces of type ˜ E.
Let Ra and Rb be two solid tori. Let A1, ..., Ar be a collection of properly embedded parallel annuli in the solid torus Ra, such that the boundaries of the annuli are a collection of 2r curves in ∂Ra which go at least twice longitudinally around Ra. Let A ′ 1 , ..., A ′ 2r be a collection of meridian disks in a solid torus R b . Identify ∂R a with ∂Rb, so that the collection of curves {∂Ai} are identified with the collection {∂A ′ i } . Let E ′ be the union of the annuli Ai and the disks A ′ i . E ′ is a surface embedded in Ra ∪ Rb and each of its components is a sphere. Note that Ra ∪ Rb can be any lens space L(p, q), but it cannot be S 3 nor S 1 × S 2 . Let η(∂Ra) be a regular neighborhood of ∂Ra in Ra ∪ Rb such that η(∂Ra) ∩ Ra is a product neighborhood ∂Ra × [−ǫ, 0], and η(∂Ra) ∩ Rb is a product neighborhood ∂Ra × [0, ǫ]. Assume that η(∂Ra) ∩E ′ consists of a collection of 2r parallel vertical annuli. Let t be a knot embedded in Ra ∪ Rb, such that: t ∩ Rb consists of an arc properly embedded in the product neighborhood ∂Ra × [0, ǫ] containing only a minimum (as defined as in 2.3), t ∩ Ra consists of an arc properly embedded in the product neighborhood ∂Ra × [−ǫ, 0], containing only a maximum, and t intersects E ′ in finitely many points, all lying in η(∂Ra) ∩E ′ . Suppose these intersection points lie at different heights (in ∂Ra × [−ǫ, ǫ]), are denoted by x1, x2, . . ., xn, and are ordered according to its height.
2.6.1 Let E = E ′ − int η(t). We call a solid torus together with a surface E and an arc t, a piece of type ˜ E. We assume that a piece of type ˜ E satisfies the following:
(1) Note that A1 separates a solid torus N1 ⊂ Ra. A similar condition as in 2.3.1(4) is satisfied.
(2) A similar condition as in 2.3.1(5) is satisfied.
(3) Suppose an arc, which does not contain the maximum not the minimum of t,
intersects a component of E ′ , in two points, say xi, xj, but does not intersects any other component between these two points. The same condition as in 2.3.1(3) is satisfied.
(4) The subarc of t which contains the minimum has endpoints on different disks.
It is not difficult to construct examples of pieces satisfying all these conditions. If the knot t does not intersect the surface E ′ , then this is a sphere bounding a 3-ball in a lens space L(p, q) and t is a trivial knot lying in that ball.
Lemma 2.6.2. The surface E is incompressible and meridionally incompressible in Ra ∪ Rb − int η(t).
Proof. It is similar to the proof of Lemma 2.4.2.
Remark. We have a degenerate case of this construction, which happens when E is formed by an annulus of meridional slope in Ra, and two meridians disks in Rb. In this case E is a separating sphere in S 1 × S 2 which bounds a 3-ball, and t is a trivial knot in such 3-ball. In this case, if t intersects E, then clearly the surface will be compressible, i.e., a meridian of Ra will make a compression disk.
2.7 Pieces of type ˜ F.
Let Ra and Rb be two solid tori. Let A1, ..., Ar be a collection of parallel meridian disk in the solid torus Ra and let A ′ 1 , ..., A ′ r be a collection of parallel meridian disks in a solid torus Rb. Identify ∂Ra with ∂Rb, so that the collection of curves {∂Ai} are identified with the curves {∂A ′ i } . Let F ′ be the union of the disks A i and A ′ i . F ′ is a surface embedded in Ra ∪ Rb = S 1 × S 2 . Note that each component of F ′ is a nonseparating sphere. Let η(∂Ra) be a regular neighborhood of ∂Ra in Ra ∪ Rb such that η(∂Ra) ∩ Ra is a product neighborhood ∂Ra × [−ǫ, 0], and η(∂Ra) ∩ Rb is a product neighborhood ∂Ra×[0, ǫ]. Assume that η(∂Ra)∩F ′ consists of a collection of 2r parallel vertical annuli. Let t be a knot embedded in Ra ∪ Rb, such that: t ∩ Rb consists of an arc properly embedded in the product neighborhood ∂Rb × [0, ǫ] containing only a minimum (as defined as in 2.3), t ∩ Ra consists of an arc properly embedded in the product neighborhood ∂Ra × [−ǫ, 0], containing only a maximum, and t intersects F ′ in finitely many points, all lying in η(∂Ra) ∩F ′ . Suppose these intersection points lie at different heights (in ∂Ra × [−ǫ, ǫ]), are denoted by x1, x2, . . ., xn, and are ordered according to its height.
2.7.1 Let F = F ′ − int η(t). We call a solid torus together with a surface F and an arc t, a piece of type ˜ F. We assume that a piece of type ˜ F satisfies the following:
(1) Suppose an arc, which does not contain the minimum nor the maximum of t, intersects a component of F ′ , in two points, say xi, xj, but does not intersects any other component between these two points. The same condition as in 2.3.1(3) is satisfied.
(2) The subarc of t which contains the minimum (maximum) has endpoints on different disks, or in the same disk but intersect it from different sides.
It is not difficult to construct examples of pieces satisfying these conditions. If the knot t does not intersect the surface F ′ , then t is a trivial knot in S 1 × S 2 , and if t intersects a component of F ′ in one point, then t is of the form S 1 × {∗}, and any component of F ′ is a sphere of the form {∗} × S 2 .
Lemma 2.7.2. The surface F is incompressible and meridionally incompressible in Ra ∪ Rb − int η(t).
Proof. It is similar to the proof of Lemma 2.4.2.
2.8 The meridional surface.
2.8.1 Let T be a Heegaard torus in M , and let I = [0, 1]. Consider T × I ⊂ M . T × {0} = T0 bounds a solid torus R0, and T1 = T × {1} bounds a solid torus R1, such that M = R0 ∪ (T × I) ∪ R1. (If M = S 3 , assume R0 contains the point at infinity). Choose 2n + 1 distinct points on I, b0 = 0, a1, b1, a2, . . ., an, bn = 1, so that ai < bi < ai+1, for all i ≤ n − 1. Consider the tori T × {ai} and T × {bi} (so T × {b0} = T0, T × {bn} = T1). If β and γ are two simple closed curved on T , ∆(β, γ) denotes, as usual, its minimal geometric intersection number; if the curves lie on parallel tori, then ∆(β, γ) denotes that number once the curves have been projected into a single torus.
Denote by µM the essential simple closed curve on T ×{bn} which bounds a meridional disk in R1, and denote by λM the essential simple closed curve on T ×{b0} which bounds a disk in R0. So ∆(µM , λM ) = 1 if M = S 3 , ∆(µM , λM ) = 0 if M = S 1 × S 2 , and ∆(µM , λM ) = p if M = L(p, q).
Let γi be a simple closed essential curve embedded in the torus T × {bi}. Let Γ be the collection of all the curves γi .
Suppose that Γ satisfies the following:
(1) Either γ0 = λM , or ∆(γ0, λM ) ≥ 2, that is, γ0 is not homotopic to the core of the solid torus R0.
(2) ∆(γi, γi+1) ≥ 2, for all 0 ≤ i ≤ n − 1.
(3) Either γn = µM , or ∆(γn, µM ) ≥ 2, that is, γn is not homotopic to the core of the solid torus R1.
Suppose a such Γ = {γi}, with n ≥ 2 is given. If γ0 is a meridian of R0, choose a piece of type ˜ C in R0 ∪ (T × [0, a1]), denoted ˜ C0, and which is determined by a surface C0 such that C0 ∩ T0 is a collection of curves parallel to γ0. If γ0 is not a meridian of R0 choose a piece of type ˜ B in R0∪(T ×[0, a1]), denoted ˜ B0, and determined by a surface B0 so that B0 ∩ T0 is a collection of curves parallel to γ0. For γi, i ̸= 0, n, choose a piece of type ˜ A in T ×[ai, ai+1], denoted ˜ Ai, determined by a surface Ai so that Ai∩(T ×{bi}) is a collection of curves parallel to γi. If γn is a meridian of R1, choose a piece of type ˜ C in R1∪(T ×[an, 1]), denoted ˜ Cn, determined by a surface Cn such that Cn∩T1 is a collection of curves parallel to γn. If γn is not a meridian of R1 choose a piece of type ˜ B in R1 ∪(T ×[an, 1]), denoted Bn, determined by a surface Bn so that Bn ∩T1 is a collection of curves parallel to γn. Furthermore suppose that C0 ∩ (T × {a1}) = A1 ∩ (T × {a1})
or B0 ∩ (T × {a1}) = A1 ∩ (T × {a1}), Ai ∩ (T × {ai+1}) = Ai+1 ∩ (T × {ai+1}) for 1 ≤ i ≤ n−1, and Cn∩(T ×{an}) = An∩(T ×{an}) or Bn∩(T ×{an}) = An∩(T ×{an}), that is, the boundary curves of the surface in a piece are identified with the boundary curves of the surface in an adjacent piece. Suppose also that the endpoints of the arcs coincide so that the union of all the arcs is a knot K in M . Note that the union of all the surfaces becomes a surface S properly embedded in M −int η(K), whose boundary consists of meridians of the knot K, so S is a meridional surface. It is not difficult to construct examples of surfaces satisfying those conditions.
Suppose now Γ = {γ0}. In this case the surface is given by a piece of type ˜ D, ˜ E or ˜ F. More precisely, if γ0 is not a meridian of R0 and not a meridian of R1, then take a piece of type ˜ D, so that the intersection of the surface D with the torus T × {b0} consists of curves parallel to γ0. Similarly, if γ0 is a meridian of only one of R0 or R1, take a piece of type ˜ E, and if γ0 is a meridian of both solid tori, then take a piece of type ˜ F, or a degenerate piece of type ˜ E.
Theorem 2.8.2. Let K be a knot and S a meridional surface as constructed in 2.8.1. Then K is a (1, 1)-knot and S is an essential meridional surface.
Proof. As in 2.8.1, let T be a Heegaard torus in M , and let I = [0, 1]. Consider T × I ⊂ M . T × {0} = T0 bounds a solid torus R0, and T1 = T × {1} bounds a solid torus R1, such that M = R0 ∪(T ×I) ∪R1. As in 2.8.1, there are 2n +1 distinct points on I, b0 = 0, a1, b1, a2, . . ., an, bn = 1, so that ai < bi < ai+1, for all i ≤ n − 1.
If S is made of one piece, i.e., it is of type ˜ D, ˜ E or ˜ F, then it follows from Lemmas 2.5.2, 2.6.2 and 2.7.2 that the surface is essential. Suppose then that the S is made of several pieces.
In each level ai, consider the nested disks Di, and between each two consecutive levels ai, ai+1, take the annuli B, B ′ , C, C ′ as defined 2.2.1, 2.3.1 or 2.4.1. Suppose S is compressible in S 3 − K or meridionally compressible, and let D be a compression disk which intersects K in at most one point. Assume that D intersects transversely the annuli B, B ′ , C, C ′ and the disks Di. Then the intersection consists of a finite collection of simple closed curves and arcs. Simple closed curves of intersection can be removed as in Lemmas 2.2.2, 2.3.2, 2.4.2. Suppose then that the intersections between D and the annuli and disks consists only of arcs. Let α be a such outermost arc. This can be eliminated as in those lemmas, except in two cases.
Second, the disk D ′ ⊂ D cutoffby α lies in a region between two annuli of type B or C, i.e., a region where two different pieces of type ˜ A are glued, or where ˜ C0 or ˜ B0 are glued to ˜ A1. The boundary of this disk will consist of an arc on lying on S and the arc α, which lies on B. Now condition 2.8.1(2) and Lemma 3.1 of [E1] show that this is not possible. Then the disk D is disjoint from the collection of annuli and disks. Again, by the lemmas, the only possibility left, is that the disk lies in a region between annuli of type B and C, and then it is disjoint from K. Again by Condition
First, the arc α lies in a disk D1, and the disk D ′ ⊂ D cutoffby α lies in a region between D1 and an annulus B ′ or C ′ . It follows that one of the conditions 2.2.1(1), 2.3.1(1) or 2.4.1(1) is not satisfied
2.8.1(2) and Lemma 3.1 of [E1] this is not possible.
Note that by construction the knot K lies in a product T × [−ǫ, 1+ ǫ], so that it has a maximum at T ×{−ǫ}, a minimum at T ×{1+ ǫ}, and intersect any other horizontal torus in 2 points. From this follows that K is a (1, 1)-knot. □
Note that if a surface S does not satisfy one of the conditions 2.8.1(1)-(3), then it will be compressible. For example, suppose that condition 2.8.1(1) is not satisfied. Then the piece ˜ B0 is made with annuli which go once longitudinally around R0. If t intersect B0, it was observed in 2.3.1 that the surface will be compressible; if the knot is disjoint from B0, then this part of the surface S is isotopic into the level torus T × {a1}, and then there is a compression disk lying in T × [a1, b1].
It follows from this construction that for any M , and any given integers g ≥ 1 and h ≥ 0, there exist (1, 1)-knots which admit a meridional essential surface of genus g and 2h boundary components. In fact, there are knots which contain two or more meridional surfaces which are not parallel in the knot complement. Note that if in the construction the knot is disjoint from the surface, then what we get is one of the knots and surfaces constructed in [E1], possibly with several parallel components. As we said before, (1, 1)-knots in S 3 do not admit any meridional essential surface of genus 0, but when M = L(p, q), it follows that for any given integer h ≥ 1, there exist (1, 1)-knots which admit a meridional essential surface of genus 0 and 2h boundary components. These are given by pieces of type ˜ E. In particular, there exists composite (1, 1)-knots in lens spaces, i.e., knots which admit an essential meridional planar surface with two boundary components. It follows from 3.6.1(1) that these knots are obtained as a connected sum of the core of a Heegaard torus in a lens space with a two-bridge knot in the 3-sphere.
As a special case consider (1, 1)-knots which admit a meridional surface of genus 1. Note that a piece of type ˜ A or of type ˜ B consists of punctured tori, so a surface S of genus 1 constructed as in 2.8.1 cannot contain two pieces of type ˜ A, or two pieces of type ˜ B, or a piece of type ˜ A and a piece of type ˜ B. So a surface of genus 1 must consists either of a piece of type ˜ A and two pieces of type ˜ C, or of a piece of type B and a piece of type ˜ C, or it is just a piece of type ˜ D. Suppose now we have a meridional surface of genus 1 with 2 punctures in the exterior of a (1, 1)-knot. Note that in a piece of type ˜ C, each component always intersects the knot in at least two meridians. So if we have a meridional surface of genus 1 with two punctures, then it must consist either of a piece of type ˜ B and a piece of type ˜ C, or it is a piece of type ˜ D. In the first case, the piece of type ˜ B consist of just a once punctured torus without intersections with the knot, and the piece of type ˜ C consist of a disk intersecting the knot in two meridians, so the surface looks like a torus with a bubble. In the second case, the piece of type ˜ D consists of a torus which either is the boundary of a regular neighborhood of a torus knot in M , or it is isotopic (in M ) to the Heegaard torus T , as in Figure 5.
It follows from [CGLS, 2.0.3] that any of the knots constructed here will have a closed incompressible surface in its complement, which will be in general meridionally compressible. However, we do not intend here to determine which is that surface.
Theorem 3.1. Let K be a (1, 1)-knot in a closed 3-manifold M , and let S be an essential meridional surface for K. Then K and S come from the construction of 2.8, that is, K and S can be isotoped so that they look as one of the knots and surfaces constructed in 2.8.
Proof. Let T be a Heegaard torus in M , and let I = [0, 1]. Consider T × I ⊂ M . T ×{0} = T0 bounds a solid torus R0, and T1 = T ×{1} bounds a solid torus R1, such that M = R0 ∪ (T × I) ∪ R1. Let k be a (1, 1)-knot, and assume that k lies in T × I, such that k ∩ T × {0} = k0 is an arc, k ∩ T × {1} = k1 is an arc, and k ∩ T × (0, 1) consists of two straight arcs.
Suppose there is a meridional surface S in M −int η(k), which is incompressible and meridionally incompressible. Consider S as a surface embedded in M which intersects k in a finite number of points. Assume that S intersects transversely T0 and T1. Let S0 = S ∩R0, S1 = S ∩R1, and ˜ S = S ∩(T ×I). We can assume that all the intersection points between S and k lie on ˜ S. Let π : T × I → I be the height function, where we choose 0 to be the highest point, and 1 the lowest. We may assume that the height function on ˜ S is a Morse function. So there is a finite set of different points X = {x1, x2, . . ., xm} in I, so that ˜ S is tangent to T × {xi} at exactly one point, and this singularity can be a local maximum, a local minimum, or a simple saddle. Assume also that no point of intersection between ˜ S and k lie on one of the levels T ×{xi}. For any y / ∈ X, T × {y} intersects ˜ S transversely, so for any such y, ˜ S ∩ T × {y} consists of a finite collection of simple closed curves called level curves, and at a saddle point xi, either one level curve of ˜ S splits into two level curves, or two level curves are fused into one curve.
Define the complexity of S by the pair c(S) = (|S0| + |S1| + | ˜ S|, |X|) (where |Y | denotes the number of points if Y is a finite set, or the number of connected components if it is a surface, and give to such pairs the lexicographical order). Assume that S has been isotoped so that c(S) is minimal.
Claim 3.2. The surfaces S0, S1 and ˜ S are incompressible and meridionally incompressible in R0, R1, and T × I − int η(k) respectively.
Proof. Suppose one of the surfaces is compressible or meridionally compressible, say ˜ S, and let D be a compression disk, which it is disjoint from k, or intersects it in one point. Then ∂D is essential in ˜ S but inessential in S. By cutting S along D we get a surface S ′ and a sphere E. Note that S and S ′ are isotopic in M − k (see the remark below the proof of this claim). For S ′ we can similarly define the surfaces S ′ 0 , S ′ 1 and ˜ S ′ . Note that |Si| = |S ′ i | + | E ∩ R i | , i = 1 , 0, then either | S ′ 0 | < | S 0 | or | S ′ 1 | < | S 1 | , for E intersects at least one of R0, R1. Also | ˜ S ′ | ≤| ˜ S|, so c(S ′ ) < c(S), but this contradicts the choice of S. □
Remark. The surfaces S and S ′ could be non-isotopic if one of the following cases occur: a) There is a non-separating sphere disjoint from the knot; or b) there is a
separating sphere intersecting the knot in two points, which bounds a 3-ball containing a non-prime knotted arc of the knot. In the first case it is not difficult to see that the knot has to be trivial, and it follows from the proof of Theorem 3.1 that the second case is impossible, for any such sphere determines a piece of type ˜ E which has a prime summand, in fact a 2-bridge knot summand.
This implies that S0 is a collection of trivial disks, meridian disks and essential annuli in R0. If a component of S0 is a trivial disk E, then ∂E bounds a disk on T0 which contains k0, for otherwise |S0| could be reduced. If a component of S0 is an essential annulus A, then A is parallel to an annulus A ′ ⊂ T0, and A ′ must contain k0, for otherwise |S0| could be reduced. This implies that the slope of ∂A cannot consists of one meridian and several longitudes, for in this case A would also be parallel to T0 −A ′ , and then |S0| could be reduced. This also implies that S0 cannot contain both essential annuli and meridian disks. A similar thing can be said for S1.
Claim 3.3. ˜ S does not have any local maximum or minimum.
Proof. Suppose ˜ S does have a maximum. It will be shown that ˜ S has a component which is either a disk, an annulus, a once punctured annulus, or a once punctured torus which is parallel to a subsurface in T1. Choose the maximum at lowest level, say at level xi, so that there are no other maxima between xi and 1. So ˜ S ∩ (T × {xi}) consists of a point and a collection of simple closed curves. Just below the level {xi}, the surface ˜ S intersects the level tori in simple closed curves, so below the maximum, a disk E1 is being formed; if xi is the last singular point then the disk E1 will be parallel to a disk on T1.
Look at the next singular level xi+1, xi < xi+1. Note that the disk E1 may intersect k. If the singular point at xi+1 is a local minimum, or a saddle whose level curves are disjoint from the boundary curve of E1, then we can interchange the singularities. If it is a saddle point involving the curve ∂E1 and another curve, then both singular points cancel each other, by pushing down the maximum; this can also be done if one of the arcs of k intersects E1, for a given arc cannot intersect E1 more than once (for otherwise a subarc of k will be isotopic to an arc on S, and then S would be compressible). If the singular point at xi+1 is a saddle formed by a selfintersection of the curve ∂E1, then the disk E1 below the maximum transforms into an annulus E2. If this singularity occurs inside a 3-ball bounded by E1 and a disk of a level torus, then it is not difficult to see that E2 would be compressible or meridionally compressible in T × [y1, y2], for certain levels y1, y2, and then either ˜ S would be compressible or meridionally compressible or could be isotoped to reduce the number of singular points. So the singularity occurs outside such 3-ball, and then the annulus E2 must be parallel to an annulus in some T × {y}. For any y just below xi+1, ∂E2 consists of two parallel curves c1 and c2. If c1 is a trivial curve on T × {y} which bounds a disk disjoint from k, then by cutting ˜ S with such disk, we get a surface S ′ isotopic to S, but with c(S ′ ) < c(S), for S ′ has less singular points than S. If c1 bounds a disk which intersects k once, then S would be meridionally compressible. So there remain two possibilities, either c1 and c2 are essential curves on T × {y} or c1 bounds
a disk which intersects k twice. Note that if k intersects E1 then necessarily c1 and c2 are essential curves on T × {y}. Look at the next singular level xi+2. If it is a local minimum or a saddle whose level curves are disjoint from the annulus E2, then again we can interchange the singularities (note that these curves cannot be inside the solid torus bounded by E2 and an annulus in T × {xi+2}, for there would be a maximum in there). If it is a saddle joining the annulus E2 with another curve, then by pushing E2 down the singular point xi+2 is eliminated. Again note that this can also be done if one of the arcs of k intersects E2, for a given arc cannot intersect E2 more than once, for otherwise S would be compressible. So this singular point has to be of the annulus with itself, and then a new surface E3 is formed. The surface E3 has to be a once punctured torus or a once punctured annulus. Suppose first that the surface E3 is not parallel to some T × {y ′ }, i.e., the singular point xi+2 occurs inside the solid torus bounded by E2 and an annulus in T × {xi+2}. It is not difficult to see that in this case the surface E3 is compressible or meridionally compressible; this is because the arcs of k are straight, and if they look complicated inside E2, we can find a level preserving isotopy which make them look "straight". Then the surface E3 is parallel to some surface in T × {y ′ }. Note that if the knot intersects E2 then this surface will be compressible or meridionally compressible. If not, then there may be one more singular point of E3 with itself, but then the surface E4 which will be formed would be compressible, for a component of its boundary would bound a disk in some T × {y ′′ } disjoint from k.
We conclude that either ˜ S is compressible, meridionally compressible, the number of singular points is not minimal, or a component of ˜ S, say S ′ , it is parallel to a surface in T1. In the latter case, if the surface S ′ is disjoint from k, then it can be pushed to R1, reducing c(S). If it not disjoint from k, then by pushing S ′ into T1, we see that the arc k1 would be parallel to S, implying that S is compressible. □
At a nonsingular level y, ˜ S ∩ (T × {y}) consists of simple closed curves. If such a curve γ is trivial in T ×{y}, then it bounds a disk in that torus. If such a disk is disjoint from k, then by the incompressibility of ˜ S, γ bounds a disk in ˜ S, which give rise to a single maximum or minimum, contradicting Claim 3.3. Such a disk cannot intersect k once, for S is meridionally incompressible, so γ bounds a disk which intersects k twice.
Claim 3.4. Only the following types of saddle points are possible.
(1) A saddle changing a trivial simple closed curve into two essential simple closed curves.
(2) A saddle changing two parallel essential curves into a trivial curve.
Proof. At a saddle, either one level curve of ˜ S splits into two level curves, or two level curves are joined into one level curve. If a level curve is trivial in the corresponding level torus and at a saddle the curve joins with itself, then the result must be two essential simple closed curves, for if the curves obtained are trivial, then ˜ S would be compressible or meridionally compressible. If a curve is nontrivial and at the saddle joins with itself, then the result is a curve with the same slope as the original and
a trivial curve, for the saddle must join points on the same side of the curve, by orientability. If two trivial level curves are joined into one, then because the curves must be concentric, the surface S would be compressible or meridionally compressible. So only the following types of saddle points are possible:
(1) A saddle changing a trivial simple closed curve into two essential simple closed curves.
(2) A saddle changing two parallel essential curves into a trivial curve.
(3) A saddle changing an essential curve γ into a curve with the same slope as γ and a trivial curve.
,
(4) A saddle changing an essential curve γ and a trivial curve into an essential curve with the same slope as γ.
We want to show that only saddles of types 1 and 2 are possible. Look at two consecutive saddle points. We note that in many cases ˜ S can be isotoped so that two consecutive singular points can be put in the same level, and in that case a compression disk for ˜ S can be found. Namely,
(1) A type 3 is followed by a type 1, see Figure 6(a).
(2) A type 3 followed by a type 2, see Figure 6(b).
(3) A type 1 is followed by a type 4, see Figure 6(c).
(4) A type 2 followed by a type 4, see Figure 6(d).
(5) A type 3 followed by a type 4, see Figure 6(e) and 6(f).
Figure
6
The dots in Figure 6 indicate the points of intersection between k and some T ×{y}, and the dotted line indicates the path followed by the second saddle point. Note that in all the other cases it may not be possible to put the two saddles points in the same level. Note also that the knot does not intersect ˜ S between two of these singular points in any of the six cases, because there is a trivial curve in each level bounding a disk which intersects k twice.
Suppose there are singularities of type 3, and take the lowest one, say at level xm. If there is a singularity at level xm+1, then it is of type 1, 2, or 4, which contradicts the previous observation. So xm is in fact the last singularity. Again note that there is no intersections of k with the surface ˜ S after the singular point xm. Then S1 consists of at least a disk, and at least one annulus or a meridian disk. Isotope S so that the saddle at xm is pushed into R1, this can be done without moving k1. If S1 contained a meridian disk and a trivial disk, which joined in xm, then now there is just one meridian disk, reducing |S1| and |X| by 1, then reducing c(S). If S1 contained an annulus and a disk, which joined in the singularity, then now there is just one annulus, again reducing c(S).
If there is a saddle of type 4, then take the highest one. If it is not at level x1, then it is preceded by a singularity of type 1, 2, or 3, which is a contradiction. So it is a level x1. Push the singularity to R0. Doing an argument as in the previous case we get a contradiction. □
Claim 3.5.
S
0
(
S
1
) consists only of annuli or only of meridian disks.
Proof. Suppose S0 contains a trivial disk. Look at the first singularity. Suppose it is of type 2. If there is an annulus in S0, then its boundary components are joined in the saddle, but because there is the trivial disk, it is not difficult to see this implies that S is compressible. If there is a pair of meridian disks in S0, and their boundaries are joined in the saddle, then we get a disk which can be pushed to S0, reducing |S0| by 1. So the first singularity has to be of type 1, and a trivial disk touches with itself. Push the singularity to R0, so instead of the disk we have now an annulus, this leaves |S0| unchanged, but reduces |X| by one. □
Claim 3.6. If |X| = 0, then S is a piece of type ˜ D, ˜ E or ˜ F.
Proof. As ˜ S has no singular points, then it has to be a collection of annuli. Then S0 and S1 determine the same slope in T0 and T1 respectively. If S0 and S1 consist of annuli then we have a piece of type ˜ D, if one consists of annuli and the other of meridian disks then we have a piece of type ˜ E, and if both consist of meridian disks then we have a piece of type ˜ F. Note that the conditions 2.5.1, 2.6.1 or 2.7.1 for the arcs must be satisfied for otherwise the surface S would be compressible or meridionally compressible. □
Claim 3.7. Suppose that |X| > 0. Then S is a meridional surface as in 2.8, and it is made of a union of pieces of type ˜ A, ˜ B and ˜ C.
Proof. The surface S0 consists only of annuli or only of meridian disks, so ∂S0 consists of p essential curves. This implies that the first saddle is of type 2, changing two essential curves into a trivial curve. The knot k may intersect the surface before the first singularity, but it cannot intersect it right after that singularity, for a trivial curve is formed. If p > 2, then the next singularity is again of type 2, for if it is type 1, the new essential curves that are formed will have the same slope as the original curves, and then it is not difficult to see that there is a compression disk for ˜ S. So there will
be singularities of type 2, until no essential curve is left, so there are in total p/2 of these singularities. In particular this shows that p is even; this was clear if S0 consists of annuli, but it is not clear if it consists of meridian disks. This shows that S0 and a part of ˜ S form a piece of type ˜ B or type ˜ C, depending if S0 consists of annuli or meridian disks. After the p/2 singularities, the intersection of S0 with a level torus consists of p/2 trivial curves, which are nested, and bound a disk which intersect k in two points. The next singularity has to be of type 1, changing a trivial curve into 2 essential curves. If the next singularity after that one is of type 2, again we have a compression disk, so the singularities are all of type 1, until there is no more trivial curves. Then there are p/2 of such singularities. The knot may intersect the surface only after the p/2 singularities of type 1, i.e., after there are no trivial curves in a level, for otherwise S would be compressible or meridionally compressible. If there are no more singularities, then we get at level 1, and then S1 consists of annuli or meridian disks, and then we have another piece of type ˜ B or ˜ C. If there are more singularities, the next p/2 singularities are of type 2, and then the next ones are of type 1. Note again that the knot cannot intersect the surface in the levels in which there are trivial curves of intersection. This will form a piece of type ˜ A. Continuing in this way, it follows that S is made of pieces of type ˜ A, ˜ B or ˜ C. The conditions on the curves and on the arcs must be satisfied, for otherwise the surface will be compressible or meridionally compressible. □
This completes the proof of Theorem 3.1.
□
Acknowledgment. Part of this work was done while we were visiting the Department of Mathematics of The University of Texas at Austin. We are grateful for their hospitality. The first author was supported by CONACYT grant 36507-E and by PAPIIT-UNAM grant IN115105.
References
[CM] A. Cattabriga and M. Mulazzani, (1 , 1)-knots via the mapping class group of the twice punctured torus, Adv. Geom. 4 (2004), 263-277.
[CK] Doo Ho Choi and Ki Hyoung Ko, Parameterizations of 1-bridge torus knots,, J. Knot Theory Ramifications 12 , 463-491.
[CGLS] M. Culler, C. McA. Gordon, J. Luecke and P.B. Shalen, Dehn surgery on knots, Annals of Mathematics 125 , 237-300.
[E1] M. Eudave-Mu˜noz, Incompressible surfaces in tunnel number one knot complements, Topology Appl. 98 (1999), 167-189.
[E2] , Meridional essential surfaces for tunnel number one knots, Bol. Soc. Mat. Mex. (3) 6 (2000), 263-277.
[E3] , Incompressible surfaces and (1 , 1)-knots, to appear in J. Knot Theory Ramifications.
[F] E. Finkelstein, Closed incompressible surfaces in closed braid complements, J. Knot Theory Ramifications 7 (1998), 335-379.
[GMM] H. Goda, H. Matsuda and T. Morifuji, Knot Floer homology of (1,1)-knots, Geom. Dedicata 112 (2005), 197-214.
[GL] C. McA. Gordon and R.A. Litherland, Incompressible surfaces in branched coverings, The Smith conjecture (New York, 1979), Pure Appl. Math., 112, pp. 139-152.
[GR] C.McA. Gordon and A. Reid, Tangle decompositions of tunnel number one knots and links, J. Knot Theory Ramifications 4 (1995), 389-409.
[HT] A, Hatcher and W. Thurston, Incompressible surfaces in 2-bridge knot complements, Invent. Math. 79 (1985), 225-246.
[LP] M.T. Lozano and J. Przytycki, Incompressible surfaces in the exterior of a closed 3-braid. I. Surfaces with horizontal boundary components., Math. Proc. Cambridge Philos. Soc. 98 (1985), 275-299.
[M] W. Menasco, Closed incompressible surfaces in alternating knot and link complements, Topology 23 (1984), 37-44.
[MS] K. Morimoto and M. Sakuma, On unknotting tunnels for knots, Math. Ann. 289 (1991), 143-167.
[O] U. Oertel, Closed incompressible surfaces in complements of star links, Pacific J. Math. 111 (1984), 209-230.
Instituto de Matem´aticas, UNAM, Ciudad Universitaria, 04510 M´exico D.F., MEXICO
E-mail: mario@ matem.unam.mx
Centro de Investigaci´on en Matem´aticas, Apdo. Postal 402, 36000 Guanajuato, Gto., MEXICO
E-mail: kikis@ cimat.mx
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Change Is Good…You Go First
Dr. John Reeb
Choluteca Bridge in Honduras
Choluteca Bridge in Honduras
Why is thinking about this important?
Military*
Confidence in Institutions
Very Little or
| 1973 | | |
|---|---|---|
| Great Deal or Quite a Lot | Very Little or None | Great Deal or Quite a Lot |
| 65% | 11% | 38% |
| 45 | 17 | 37 |
| 42 | 14 | 11 |
| 52 | 16 | 37 |
| 58 | 11 | 29 |
| 58 | 12 | 74 |
* Base year - 1975
Source: https://news.gallup.com/poll/1597/confidence-institutions.aspx
Each generation imagines itself to be more intelligent than the one that went before it, and wiser than the one that comes after it.
- George Orwell
Describe the characteristics of each generation.
(You have 6 minutes.)
Groups of 2 or 3
Bridging the Multigenerational Gap in the Workplace
Can we agree that many of these characteristics are stereotypes?
Are stereotypes wrong?
What was your life like when little?
Events:
1. WW2
2. Korean War
3. Vietnam War
4. Iran Hostages
5. Fall of Soviet Union
6. 1 st Iraq War
7. 2 nd Iraq/Afghan War
Music:
1. Sinatra
2. Presley
3. Beatles
4. Bee Gees
5. Madonna
6. Nirvana
7. Beyoncé
Parenting:
1. Went to the store alone
2. Played in the street
3. Rode bike everywhere
4. Given a house key
5. Went to childcare
6. Mom hovered
7. "You figure it out"
A group of people born about the same time that experience the same:
* Economy
* Parental trends
* Educational trends
* Technology
Communication & Technology
Gen B … Boomers 1945-1960
* Optimistic
Preferred Communication
* Quality-Minded
* Course-Oriented
* Collaborative
* Organization Loyalty
* Driven
* Telephone
* Face-to-face
Technology Growing Up
* Rotary Dial Phone
* TV
* Calculator
Gen Y … Millennials 1981-1995
* Urgent
Preferred Communication
* Collaborative
* Desires Feedback
* Continuously Learning
* High Self-Esteem
* Impatient
* Work-Life Integration
* Impactful Work
* Instant Message
* Text
Technology Growing Up
* Desktop
* Cellphone
* Internet
Gen X … Xers 1961-1980
* Skeptical
Preferred Communication
* Work-Life Balance
* Self-Reliant
* Efficient
* Independent
* Focus on Results
Gen Z … iGen
* Resilient
* Resourceful
* Technology-Savvy
* Less Entitled
* Meaningful Work
* Strong Work Ethic
* Email
* Text
Technology Growing Up
* Touch Tone Phone
* Pager
* Word Processor
1996-2015
Preferred Communication
* Text
* Social Media
Technology Growing Up
* Tablet
* Smartphone
* Social Media
What does any of this have to do with change?
"Hey! They're lighting their arrows! . . . Can they DO that?"
Change Five
* Find a partner. (Introduce yourself.)
* Stand face-to-face. Observe their appearance.
* Stand back-to-back. Change 5 things about your appearance.
* Face one another. Take turns noting your partner's changes.
Feelings of Change
Awkward, uncomfortable, self-conscious
Alone
Focus on loss, not gain
Concerned about resources
Different levels of change readiness
Get more creative over time
Revert back to old behaviors
Group Discussion (2's or 3's)
Why do people resist change?
List reasons and/or examples of why people resist change that you are experiencing now or have in the past.
4 Reasons for Resisting Change
1 They don't perceive the change to be beneficial.
2 They don't perceive the sacrifice to be worth the benefits.
3 They didn't help create the change.
4 They don't trust the architects of the change.
Resistance To Change
“Anticipating Reactions”
Passive
Active
Stability at point
of change
Inability to act
Denial
Anger
Bargaining
Depression
Testing
Acceptance
Time
Source: Robert Heller, Managing Change, p. 38.
Bridging the Multigenerational Gap in the Workplace Brief History of Change in the Church
Traditional
Contemporary
(1990's)
German
English
(1940's)
Catholic
Lutheran
(1500's)
Persecution
Constantine
(300's)
Failure
Boldness
(~33)
Old Testament
New Testament
(~0)
Unless you are prepared to give up something valuable you will never be able to truly change at all, because you'll be forever in the control of things you can't give up."
- Andy Law, "Creative Company"
Scholars of innovation observe that in the face of complexity, organizations must have good conversations about assumptions.
- Dwight J Zscheile, "The Agile Church"
Christian community cannot be assumed; it must be cultivated intentionally, both within established congregations and with new neighbors.
- Dwight J Zscheile, "The Agile Church"
"When [assumptions] no longer fit where we are today, they must be revised and adapted, which requires holding the life and patterns of our churches lightly enough to change them for the sake of loving our neighbors in Christ."
Group Discussion (2's or 3's)
What assumptions are you making?
What assumptions are holding you back?
```
(Here's one: "Everybody loves a potluck!")
```
Here's the key question: Are you willing to let go of old assumptions and embrace the new?
Which one is easier to steer?
Why?
Failure shows us what doesn't work.
Failure is not sin!
A calm sea never made a skilled mariner."
Too often, we look at change as a onetime deal.
What are the takeaways?
What will you do?
Choluteca Bridge in Honduras
Accept that flaming arrows are coming your way. Learn how to adapt.
Generations
Millennials & iGen are much different than you. What can you do to reach them more effectively?
Understand how others…and you…react to change. Help people move through this cycle more quickly so that the work of the LWML can continue and grow.
Bridging the Multigenerational Gap in the Workplace Brief History of Change in the Church
Remember – Christians have been through this before and will continue to go through these types of changes. We are not unique.
Go back to your church and discuss the assumptions you are making with your teams and which of those are holding you back.
Once identified, clarify with the people you're trying to get involved.
Get yourself moving!
Try different approaches. You will fail…fail early and fail often!
Accept the fact that change will be with you until you leave this world for heaven (even then, I bet God has some good changes in store for us!). Get used to it!
Change is Good…You Go First!
Change is Good…YOU Go First!
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European Association of Health Law 2009 Conference:
Learning Lessons and Making Differences: Improving the Future of Health Law in Europe Royal College of Physicians, Edinburgh 15-16 October 2009
Draft Programme
Wednesday, 14 October 2009
6.30 pm
Public Event - 'Should we legalise assisted suicide? Lessons from across Europe'. Debate with Expert Panel. Drinks reception to follow, Teviot House, University of Edinburgh
Thursday, 15 October 2009 Contemporary Challenges in Health Law in Europe
9:00
Registration and Coffee
9:30
9.45
Welcome & Opening
Keynote Address – Prof. dr. Henriette D.C. Roscam Abbing
(Emeritus
Professor of Health Law, Univeristy of Utrecht)
:
Patients' rights in a technology and market driven Europe
CHAIR: Grame Laurie
10.30
Coffee Break
11.00 Parallel Sessions
Parallel-1: Stem Cell Research and Regulation: Funding and patentability of stem cell research in the European Union - A critical legal review of European legislation, Malene Rowlandson (University of Southern Denmark) and Janne Rothmar Herrmann (University of Copenhagen); Abortion and human embryonic stem cell regulation in México, Italy and Spain: ethical, legal and political conflicting issues, Maria de Jesus Medina (University of Manchester)
CHAIR: Lukas Prudil
Parallel-2: Genetic Engineering and Embryo Screening: Genetic engineering: playing with genes or playing God?, Vera Lúcia Raposo (Coimbra University); The legal challenges of selective procreation and embryo screening, Alexander Schuster (University of Trento)
CHAIR: Elisabeth Rynning
Parallel-3: Organ Donation:Healthcare professionals' experiences in applying presumed consent legislation in organ donation in three European countries: a phenomenological study, Barbara Neades (Napier University); The potential tension between the safeguarding role of organ donation legislation and the need to increase the availability of donor-organs through organ donation legislation, R. Coppen (NIVEL, Utrecht), R.D. Friele (Tilburg University) and J.K.M. Gevers (University of Amsterdam)
CHAIR: Salla Lötjönen
Parallel-4: Access and Governance: Is access to advanced therapy medicinal products egalitarian in the European Union?, Aurélie Mahalatchimy (INSERM), Biobanking and regulation – Portuguese solutions in a comparative perspective, Rafael Vale e Reis (Coimbra University)
CHAIR: Nils Hoppe
12:00
Lunch (Advisory Board Lunch)
13.30 Keynote Address – Dr Anne-Maree Farrell (School of Law, University of Manchester): Governing risk: examining the politics of EU regulation of human material
CHAIR: Anne-Marie Duguet
14.15
Parallel Sessions
Parallel-5: Rights to Health and Healthcare:
Nature of health care and the right to health care, Percivil Carrera (University of Heidelberg); On the relationship between competition law and the right of a patient to quality of care, Diego Fornaciari and Stefaan Callens (KU Leuven); The rights and obligations of patients and physicians: towards a European treatment contract?, Tom Goffin (KU Leuven)
CHAIR: Anne-Marie Duguet
Parallel-6: Professional Discipline, Complaints and Reporting: Reforms of the Dutch disciplinary rules in health care, F.Y. Alhafaji, B.J.M. Frederiks and J. Legemaate (F.Y. Alhafaji presenting) (Vrije University); The role of complaints handling in regaining complainants' trust in health care, an empirical analysis, Roland D. Friele (Tilburg University); Blame free reporting: international developments, Johan Legemaate (Vrije University)
CHAIR: Herman Nys
Parallel-7: Data Protection: Securing access to medical data: European constraints and the Belgian case, Jean Herveg (University of Namur); The NHS and data-protection best-practice for European healthcare research, Jamie Grace (University of Derby); Is consent the best way to conduct medical/clinical trials with regard to personal data protection?, Jean-Marc Van Gyseghem (University of Namur)
CHAIR: Oddný Mjöll Arnardóttir
15.45 Coffee Break
16:00 Plenary session: Dr Mihail Kritikos (Research Programme Manager - Ethics Review Sector Directorate for Science, Economy and Society - Directorate General for Research - European Commission): Health as an object of ethical and legal inquiry at the EU level: the role of the Commission's Ethics Review procedures.
CHAIR: Herman Nys
16:30 General Assembly
19:00
Conference Dinner – The Royal College of Surgeons
Logo Competition
Friday, 16 October 2009
Comparison and Harmonisation in Health Law in Europe
9:00
Coffee
9.30 Keynote Address – Professor Mette Hartlev (Professor of Health Law and Bioethics, University of Copenhagen) Diversity and Harmonisation in European Health Law - Trends and Challenges
CHAIR: Graeme Laurie
10.15 Parallel Sessions
Parallel-8: Advance Directives: Advance directives for health care: is a common European policy possible?, Roberto Andorno (University of Zurich); Advance directives – is a common European position required and feasible?, Amina Salkic (IMGB, Universities of Heidelberg and Mannheim)
CHAIR: Herman Nys
Parallel-9: Unborn and Newborn: The legal position of the unborn child in health care in a children's rights perspective, Jozef H.H.M. Dorscheidt (University of Groningen); Euthanasia and the new born, Helena Moniz (University of Coimbra)
CHAIR: Henriette Roscam-Abbing
Parallel-10: Negligence, Harm and Compensation: Claims for loss of a chance in medical negligence - building on the French experience, Gemma Turton (University of Leicester); A half-million baby mix-up: compensation of immaterial harm in Czech health law, Ondrej Dostal (Charles University in Prague) CHAIR: Lukas Prudil
11.15 Coffee break
11.30 Parallel Sessions
Parallel-11: Quality of Care, Consolidation and Competition Law
SESSION CANCELLED - The presentation by Diego Fornaciari and Stefaan Callens has been moved to Session 5,
Parallel-12: Health Privacy: The Protection of privacy interests in genetic information particularly in research biobanks: the results of the Privileged Project David Townend (Maastricht University) and Mark Taylor (University of Sheffield); Clinical photography in healthcare: aspects of patient privacy and confidentiality, Ian Berle (formerly of Barts and the London NHS Trust)
CHAIR: Salla Lötjönen
Parallel-13: Consumerism and Healthcare: Is the medically examined applicant for insurance a patient? His legal status compared, Sarah Defloor (KU Leuven); Purchasing 'additional care': blurring the boundaries between NHS and private provision?, Amy Ford (University of Manchester)
CHAIR: Maria Bottis
12.30 Lunch (Working Lunch for Working Groups)
14.00 Keynote Address – Professor Toma Birmontiene (Professor of Law, Mykolas Romeris University, and Judge of the Constitutional Court of Lithuania): The Development of Health Law as a Way to Change Traditional Attitudes in National Legal Systems. Influence of International Human Rights Law, What is Left for the National Legislator?
CHAIR: Anne-Maree Farrell
14.45 Coffee Break
15:00 Parallel Sessions
Parallel-14: Human Rights: Why UK health lawyers should embrace the margin of appreciation, Marleen Eijkholt (University of Manchester); From biology to society: The Convention on the Rights of Persons with Disabilities and international non-discrimination law, Oddný Mjöll Arnardóttir (Reykjavík University); Death worship – A European perspective. How should the law acknowledge the different social statuses of Death?, Thomas Deutch (University of Helsinki)
CHAIR: Nils Hoppe
Parallel-15: The State and the Individual: The criminal protection of collective
legal interests: the example of public health, Susana Aires de Sousa (University of Coimba); The use of physical restraints in the care of the elderly, Nicole P.Y.M. de Bijl (Laurentius Ziekenhuis Roermond);Confidentiality in mental health care in prisons – the ethical dilemma and the legal context in Switzerland, Bernice Elger (University of Geneva)
CHAIR: Sjef Gevers
Parallel-16: Intellectual Property: Patenting medical methods: a controversy at the crossroads of health law and intellectual property, Maria Bottis (Ionian University);Patentable innovation in the NHS: more than your job's worth?, Amanda Odell-West (University of Manchester); IP, precaution and public health, Phoebe Chienwen Hung (University of Edinburgh)
CHAIR: Henriette Roscam-Abbing
16.30 Thank You & Closing Prizes for Posters
Poster Presentations
1. Choice of Foreign Care: Issues and prospects for the German patient, Percivil Carrera (University of Heidelberg)
2. The use of medical information outside health care: Medical examination within the framework of private insurances, Sarah DeFloor (KU Leuven)
3. The role of human dignity in divergent legal regulation of human embryonic stem cells: Mexico, Costa Rica, France and the UK, María de Jesús Medina (University of Manchester)
4. Economic Rights for Sale: Protecting Patient Rights in a Market-Oriented Health Reform, Ondrej Dostal (Charles University in Prague)
5. "Patients' rights" in the Directive on the application of patients' rights in crossborder healthcare. A misleading concept, Tom Goffin (KU Leuven)
6. PHEIC in International Public Health Law, Phoebe C. Hung (University of Edinburgh)
7. Direct-to-consumer (DTC) genetic tests. A necessary strive for regulation? Selected remarks from an international and comparative law perspective, Julia Kapelanska-Pregowska (University of Nicolaus Copernicus in Toruń)
8. Health Security and Maritime Transportation: An Analysis of the International Legal Framework, Saiful Karim (Macquarie University)
9. Radiological Informed Consent: a particular case of risks communication, Maria Manuel Meruje (Independent Commission for Radiological Protection and Nuclear Safety)
10. Deceased not protected in Latvia. Lack of legal protection and violence of bodily integrity after death, Solvita Olsena (University of Latvia, Riga Stradins University)
11. Advance Directives in Europe - and its Regulation in Portugal, Fabiana Rego (University of Coimbra)
12. Disclosure of genetic information to at-risk relatives – a Swedish perspective, Ulrika Sandén (Umea University)
13. The Right to Know One's Genetic Origins: Portuguese Solutions in a Comparative Perspective, Rafael Vale e Reis (Coimbra University)
14. Patient mobility and medical tourism in Hungary, Eszter Varga (ESKI, Budapest)
15. Legal aspects of health program "Polish 400 Cities Project" as an example of government impact on decreasing the inequality in health, Lubomira Wengler, Piotr Popowski, Tomasz Zdrojewski, Marzena Zarzeczna- Baran, Agnieszka Wojtecka (Medical University of Gdansk)
16. Important Key Issues for Improving European Law Relating to Privacy and the Use of Genetic Databases and Biobanks in Research, Jessica Wright (University of Sheffield)
17. Autonomy, reproduction and the European Court of Human Rights – a jurisprudential enquiry, Katri Lõhmus (University of Edinburgh)
18. Securing Stable Participation in Biobanking by Safeguarding Subjects' Collective Altruism, Kuan-Hsun Chen (University of Edinburgh)
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Lifestyle and Wellness Strategist and Speaker
301.742.1815
Cathy Richards, M.A.
[email protected]
CathyRichards.net
Sample Mini Video Topics
- What Does Wellness Mean to Me?
- Longevity Lessons: Common Habits of Those that Live to 100
- Get Motivated to Get Moving
- Exercise is Your Magic Pill
- Boost Your Brain Power
-
Brain Games
- Goodbye Back Pain*
- Strong Abdominal Muscles in Two-Minutes Per Day*
- Time for a Stretch Break*
- One Upper Body, One Lower Body, One Core Exercise and You're DONE (No equipment needed!)*
- Your Favorite Exercise Routine with Nothing but an Exercise Band!*
- Get Your Heart Pumping for 10 Minutes*
- Healthy Hearing
- The Top Tips for Falls Prevention
- Better Balance with These Five Exercises*
- Four Ways to Fight Fatigue
- Hydration Help
- Stress Rx
- Getting a Good Night's Sleep
- Deep Breathing for Relaxation
- Mindset Reset for Your Wellbeing
- Resilience: Thriving Despite Life's Stresses
- Weight Loss Tips for the Sensible, Long Term Approach
- Metabolism Magic
- Nutrition Nuggets and the Superfoods
- Protein Power
- Good vs. Bad Fats
- Benefits of A Plant-Based Diet
- The Energizing Breakfast
- Superpower Snacks
- Mealplan Makeover
- Three-Minute Energizer
- Self Care: You Deserve It!
- The Importance of Family Conversations about Your Wishes
- Top Ten Tangible Wellness Tips (can be done one tip per day)
- Managing My Blood Pressure
- My Doc Says I Have High Cholesterol, Now What?
- Osteoporosis Help is Here
- …Your custom titles related to wellness. Just ask!
*All exercise demonstration topics are available in seated/lower intensity versions suitable for senior living (the BOOM "Never Too Late" track) or floor/higher intensity versions suitable for a working-age population (the BOOM "Never Too Early" track).
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1 of 4 DOCUMENTS 1 of 4 DOCUMENTS
BRITTANY PITTS, Plaintiff, vs. JOSEPH R. FRANCIS; MRA HOLDING, LLC, a California Limited Liability Company; and MANTRA FILMS, INC., an Oklahoma Corporation, Defendants. BRITTANY PITTS, Plaintiff, vs. JOSEPH R. FRANCIS; MRA HOLDING, LLC, a California Limited Liability Company; and MANTRA FILMS, INC., an Oklahoma Corporation, Defendants.
CASE NO. 5:07cv169-RS-EMT
UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF FLORIDA, PANAMA CITY DIVISION UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF FLORIDA, PANAMA CITY DIVISION
2007 U.S. Dist. LEXIS 93047 2007 U.S Dist LEXIS 93047
December 19, 2007, Decided December 19, 2007, Filed December 19, 2007, Decided December 19, 2007, Filed
CORE TERMS: mediation, girl, gone, settle, settlement, bias, incarceration, film, mediator, mediate, disqualification, disqualify, jail, sentencing, pled guilty, good faith, contempt, extrajudicial, impartiality, sentence, evidentiary hearing, sentencing hearing, settlement conference, scheduling, cameraman, coercive, defense counsel, biased, civil lawsuit, civil contempt CORE TERMS: mediation, girl, gone, settle, settlement, bias, incarceration, f ilm, mediator, mediate, disqualifcation, disqualify, jail, sentencing, pled guilty, good faith, contempt, extrajudicial, impartiality, sentence, evidentiary hearing, sentencing hearing, settlement conference, scheduling, cameraman, coercive, defense counsel, biased, civil lawsuit, civil contempt
COUNSEL: [*1] For BRITTANY PITTS, Plaintiff: LAWRENCE ELDRIDGE BURKHALTER, LEAD ATTORNEY, WEINBERG WHEELER HUDGINS, COCONUT GROVE, FL; MARK ARDEN CASTO, LEAD ATTORNEY, BENNETT AND CASTO PC, COLUMBUS, GA. COUNSEL: [*1] For BRITTANY PITTS, Plaintiff: LAWRENCE ELDRIDGE BURKHALTER, LEAD ATTORNEY, WEINBERG WHEELER HUDGINS, COCONUT GROVE, FL; MARK ARDEN CASTO, LEAD ATTORNEY, BENNETT AND CASTO PC, COLUMBUS, GA.
For JOSEPH R FRANCIS, MRA HOLDING LLC, A CALIFORNIA LIMITED LIABILITY COMPANY, MANTRA FILMS INC, AN OKLAHOMA CORPORATION, Defendant: JEAN MARIE DOWNING, DOWNING LAW OFFICES PA, PANAMA CITY BEACH, FL. For JOSEPH R FRANCIS, MRA HOLDING LLC, A CALIFORNIA LIMITED LIABILITY COMPANY, MANTRA FILMS INC, AN OKLAHOMA CORPORATION, Defendant: JEAN MARIE DOWNING, DOWNING LAW OFFICES PA, PANAMA CITY BEACH, FL.
JUDGES: RICHARD SMOAK, UNITED STATES DISTRICT JUDGE. JUDGES: RICHARD SMOAK, UNITED STATES DISTRICT JUDGE.
OPINION BY: RICHARD SMOAK OPINION BY: RICHARD SMOAK
OPINION
ORDER ON MOTION TO DISQUALIFY OR RECUSE ORDER ON MOTION TO DISQUALIFY OR RECUSE
Before me is Defendants' Motion to Disqualify or Recuse Under 28 U.S.C. § 455(a) (Docs. 11 & 20). Plaintiff opposes the motion (Docs. 16, 22 & 24). Before me is Defendants' Motion to Disqualify or Recuse Under 28 U.SC § 455(a) (Does. 11 & 20). Plaintiff opposes the motion (Does. 16, 22 & 24).
I. Background 1. Background
Plaintiff Brittany Pitts has sued Defendant Joseph R. Francis and Defendant business entities operating under the name "Girls Gone Wild." Pitts alleges that in April 2003, while on her spring break vacation in Panama City Beach, Florida, Francis and another Girls Gone Wild employee approached her on the beach and coerced her into exposing her breasts on film. Pitts contends that she did not consent to be filmed and was sixteen years of age, a sophomore in high school, at the time of the alleged incident. Pitts' image was displayed on the cover of a Girls [*2] Gone Wild video and DVD, which were sold and distributed throughout the United States. The five-count First Amended Complaint asserts claims for unjust enrichment; violations of the Florida Deceptive and Unfair Trade Practices Act, Fla. Stat. 501.201 et seq.; unauthorized publication of likeness under Fla. Stat. § 540.08; commercial misappropriation of one's likeness; and false light doctrine of invasion of privacy (Am. Compl., Doc. 15.) Plaintiff Brittany Pitts has sued Defendant Joseph R. Francis and Defendant business entities operating under the name "Girls Gone Wild." Pitts alleges that in April 2003, while on her spring break vacation in Panama City Beach, Florida, Francis and another Girls Gone Wild employee approached her on the beach and coerced her into exposing her breasts on flm. Pitts contends that she did not consent to be flmed and was sixteen years of age, a sophomore in high school, at the time of the alleged incident. Pitts' image was displayed on the cover of a Girls [*2] Gone Wild video and DVD, which were sold and distributed throughout the United States. The f ive-count First Amended Complaint asserts claims for unjust enrichment; violations of the Florida Deceptive and Unfair Trade Practices Act, Fla. Stat. 501.201 et seq.; unauthorized publication of likeness under Fla. Stat. § 540.08; commercial misappropriation of one's likeness; and false light doctrine of invasion of privacy (Am. Compl., Doc. 15.)
The motion requests that I disqualify or recuse myself from this case under 28 U.S.C. § 455(a) 1 . Defendants contend that my impartiality in this case might be questioned based on the history of civil and criminal proceedings involving Defendants and a former Girls Gone Wild cameraman over which I have presided. The motion requests that I disqualify or recuse myself from this case under 28 U.SC § 455(a) 1. Defendants contend that my impartiality in this case might be questioned based on the history of civil and criminal proceedings involving Defendants and a former Girls Gone Wild cameraman over which I have presided.
See Doe v. Francis, 5:03cv260-RS-WCS, (N.D. Fla. filed October 8, 2003); United States v. Mantra Films, Inc., 5:06cr78-RS, (N.D. Fla. filed September 12, 2006); United States v. Schmitz, 5:06cr81-RS, (N.D. Fla. filed September 12, 2006). As grounds for disqualification and/or recusal, Defendants contend that: See Doe v. Francis, 5:03cv260-RS-WCS, (N.D. Fla. fled October 8, 2003); United States v. Mantra Films, Inc., 5:06cr78-RS, (N.D. Fla. filed September 12, 2006); United States v. Schmitz, 5:06cr81-RS, (N.D. Fla. fled September 12, 2006). As grounds for disqualifcation and/or recusal, Defendants contend that:
1. I forced Francis to settle the civil lawsuit under the threat of incarceration; 1. I forced Francis to settle the civil lawsuit under the threat of incarceration;
2. I would not consider "less onerous alternatives" other [*3] than incarceration to compel Francis' compliance with my order to mediate the civil lawsuit; 2. I would not consider "less onerous alternatives" other [*31 than incarceration to compel Francis' compliance with my order to mediate the civil lawsuit;
3. I required that Francis personally attend a criminal sentencing hearing and read aloud a victim impact statement on behalf of his corporation, Mantra Films, Inc., after the corporation pled guilty to committing federal crimes 2 ; and 3. I required that Francis personally attend a criminal sentencing hearing and read aloud a victim impact statement on behalf of his corporation, Mantra Films, Inc., after the corporation pled guilty to committing federal crimes 2 and
4. I made various comments to Francis and to Mark Schmitz, a Girls Gone Wild cameraman, at judicial proceedings. Defendants contend that the comments demonstrate bias and prejudice against them. The comments are set forth and addressed in this opinion. 4. I made various comments to Francis and to Mark Schmitz, a Girls Gone Wild cameraman, at judicial proceedings. Defendants contend that the comments demonstrate bias and prejudice against them. The comments are set forth and addressed in this opinion.
1 28 U.S.C. § 455(a) states, in relevant part, that "any judge of the United States shall disqualify himself in any proceeding in which his impartiality might reasonably be questioned." 1 28 U.SC § 455(a) states, in relevant part, that "any judge of the United States shall disqualify himself in any proceeding in which his impartiality might reasonably be questioned."
2 The crimes included: 2 The crimes included:
(1) knowingly producing sexually explicit DVDs for which Mantra Films, Inc. failed to create and maintain individually identifiable age and identification records pertaining to every performer portrayed in the DVDs, in violation of 18 U.S.C. § 2257(f)(1); and (1) knowingly producing sexually explicit DVDs for which Mantra Films, Inc. failed to create and maintain individually identifable age and identifcation records pertaining to every performer portrayed in the DVDs, in violation of 18 U.S C § 22570 (1);
(2) knowingly selling sexually explicit DVDs which did not have affixed to them a statement describing where the required age documentation records for all [*4] performers depicted in the DVDs could be located, in violation of 18 U.S.C. § 2257(f)(4). (2) knowingly selling sexually explicit DVDs which did not have affxed to them a statement describing where the required age documentation records for all [*41 performers depicted in the DVDs could be located, in violation of 18 U.SC § 22570(4).
and
II. Analysis
A. Preliminary Statements
1. In my more than 34-year history as a trial attorney and judge, the pending motion to disqualify, filed by Joe 1. In my more than 34-year history as a trial attorney and judge, the pending motion to disqualify, fled by Joe
Francis and Girls Gone Wild, is the first time that anyone represented by counsel has ever filed a motion questioning my ethics or moved to disqualify me from presiding over a case. I have never had, nor do I currently harbor, any animosity, bias, or prejudice toward Joe Francis or Girls Gone Wild that would cause me to question my ability to fairly and impartially preside over this case. I have no interest, personally, professionally, or politically, in the outcome of this or any other litigation involving Joe Francis and Girls Gone Wild other than to fulfill my sworn duties under the law. 3 The fact that Joe Francis and Girls Gone Wild have filed a motion to disqualify me from this case does not, in any way, alter my ability to preside fairly, objectively, and impartially over this case. Francis and Girls Gone Wild, is the frst time that anyone represented by counsel has ever filed a motion questioning my ethics or moved to disqualify me from presiding over a case. I have never had, nor do I currently harbor, any animosity, bias, or prejudice toward Joe Francis or Girls Gone Wild that would cause me to question my ability to fairly and impartially preside over this case. I have no interest, personally, professionally, or politically, in the outcome of this or any other litigation involving Joe Francis and Girls Gone Wild other than to fulfill my sworn duties under the law. 3 The fact that Joe Francis and Girls Gone Wild have fled a motion to disqualify me from this case does not, in any way, alter my ability to preside fairly, objectively, and impartially over this case.
3 28 U.S.C. § 453 states, in relevant part, that: 3 28 U.SC § 453 states, in relevant part,
that:
Each judge of the United States shall take the following oath or affirmation before performing the duties of his [*5] office: Each judge of the United States shall take the following oath or affirmation before performing the duties of his [*51 office:
"I do solemnly swear (or affirm) that I will administer justice without respect to persons, and do equal right to the poor and to the rich, and that I will faithfully and impartially discharge and perform all the duties incumbent upon me as judge under the Constitution and laws of the United States. So help me God." "I do solemnly swear (or affirm) that I will administer justice without respect to persons, and do equal right to the poor and to the rich, and that I will faithfully and impartially discharge and perform all the duties incumbent upon me as judge under the Constitution and laws of the United States. So help me God."
2. Defendants emphasize that they are not contending that I am actually biased against Joe Francis or Girls Gone Wild 4; rather, they contend that a reasonable, objective person with knowledge of all facts would perceive me as biased. Based on that representation, I question whether this Court may properly exercise jurisdiction over the motion. If Joe Francis and Girls Gone Wild do not themselves perceive me as biased but contend only that the public or some hypothetical, non-existent individual who is not a party to the case perceives me as biased, I must find that Defendants lack standing to request my disqualification. 2. Defendants emphasize that they are not contending that I am actually biased against Joe Francis or Girls Gone Wild 4; rather, they contend that a reasonable, objective person with knowledge of all facts would perceive me as biased. Based on that representation, I question whether this Court may properly exercise jurisdiction over the motion. If Joe Francis and Girls Gone Wild do not themselves perceive me as biased but contend only that the public or some hypothetical, non-existent individual who is not a party to the case perceives me as biased, I must fnd that Defendants lack standing to request my disqualifcation.
4 Defendants state: "To clarify and restate the disqualification basis, Defendants do not seek to have this Court declare that it is biased and cannot 4 Defendants state: "To clarify and restate the disqualifcation basis, Defendants do not seek to have this Court declare that it is biased and cannot
be impartial in this matter. Nor do Defendants claim that this Court has a personal bias against [*6] Defendants." (Reply, Doc. 20-2, p. 2 at P 4.) be impartial in this matter. Nor do Defendants claim that this Court has a personal bias against [*61 Defendants." (Reply, Doc. 20-2, p. 2 at P 4.)
See Allen v. Wright, 468 U.S. 737, 751, 104 S. Ct. 3315, 3324, 82 L. Ed. 2d 556, 569-70 (1984) (stating that the constitutional prerequisite of standing requires that a movant allege personal injury that is "distinct and "palpable," not "abstract or conjectural or hypothetical," and prohibits a litigant from raising another person's legal rights). See Allen v. Wright, 468 U.S 737, 751, 104 S. Ct. 3315, 3324, 82 L. Ed 2d 556 569-70 (1984) (stating that the constitutional prerequisite of standing requires that a movant allege personal injury that is "distinct and "palpable," not "abstract or conjectural or hypothetical," and prohibits a litigant from raising another person's legal rights).
3. Defendants ignore the most relevant, objective evidence of a reasonable person's perception of my impartiality and lack of bias toward Joe Francis and Girls Gone Wild: 3. Defendants ignore the most relevant, objective evidence of a reasonable person's perception of my impartiality and lack of bias toward Joe Francis and Girls Gone Wild:
In the proceedings relating to Joe Francis and Girls Gone Wild over which I have presided, Joe Francis and Girls Gone Wild were, at all times, represented by an entourage of private counsel. Defendants cannot therefore complain that they were not adequately represented in any of the proceedings before me. In each proceeding, counsel for Joe Francis and Girls Gone Wild did not object to; did not appeal; or appealed the rulings and comments of which they now complain and lost. See Doe v. Francis, 5:03cv260-RS-WCS (N.D. Fla. 2007), appeal docketed, No. 07-11513-C (11th Cir. April 11, 2007) (denying Francis' emergency motion to stay [*7] my order finding him in civil contempt and ordering his incarceration); Doe v. Francis, 5:03cv260-RS-WCS (N.D. Fla. 2007), appeal docketed, No. 07-11513-C (11th Cir. June 4, 2007) (dismissing Francis' appeal for lack of jurisdiction); Doe v. Francis, 5:03cv260-RS-WCS (N.D. Fla. 2007), appeal docketed, No. 07-11513-C (11th Cir. August 1, 2007) (denying Francis' motion to reconsider Eleventh Circuit's order dismissing his appeal for lack of jurisdiction); United States v. Mantra Films, Inc., 240 Fed. Appx. 372, 2007 WL 2509852 (11th Cir. September 6, 2007) (unpublished) (affirming my sentence requiring that Francis personally perform community service on behalf of Mantra Films, Inc., after the corporation pled guilty to having committed federal crimes). I find it particularly disturbing that counsel for Defendants chose to omit this crucial, seemingly dispositive, information from the motion. In the proceedings relating to Joe Francis and Girls Gone Wild over which I have presided, Joe Francis and Girls Gone Wild were, at all times, represented by an entourage of private counsel. Defendants cannot therefore complain that they were not adequately represented in any of the proceedings before me. In each proceeding, counsel for Joe Francis and Girls Gone Wild did not object to; did not appeal; or appealed the rulings and comments of which they now complain and lost. See Doe v. Francis, 5:03cv260-RS-WCS (N.D. Fla. 2007), appeal docketed, No. 07-11513-C (11th Cir. April 11, 2007) (denying Francis' emergency motion to stay [*71 my order finding him in civil contempt and ordering his incarceration); Doe v. Francis, 5:03cv260-RS-WCS (N.D. Fla. 2007), appeal docketed, No. 07-11513-C (11th Cir. June 4, 2007) (dismissing Francis' appeal for lack of jurisdiction); Doe v. Francis, 5:03cv260-RS-WCS (N.D. Fla. 2007), appeal docketed, No. 07-11513-C (11th Cir. August 1, 2007) (denying Francis' motion to reconsider Eleventh Circuit's order dismissing his appeal for lack of jurisdiction); United States v. Mantra Films, Inc., 240 Fed. Appx. 372, 2007 WL 2509852 (11th Cir. September 6, 2007) (unpublished) (affrming my sentence requiring that Francis personally perform community service on behalf of Mantra Films, Inc., afer the corporation pled guilty to having committed federal crimes). I fnd it particularly disturbing that counsel for Defendants chose to omit this crucial, seemingly dispositive, information from the motion.
B. Purpose
Because the grounds asserted for my disqualification rely on past judicial proceedings unrelated to this case, I Because the grounds asserted for my disqualifcation rely on past judicial proceedings unrelated to this case, I
find it proper and necessary to revisit those proceedings in order to fully assess the merits of the motion: f ind it proper and necessary to revisit those proceedings in order to fully assess the merits of the motion:
a. The History - Doe v. Francis a. The History - Doe v. Francis
The pending motion is not the first [*8] time that Girls Gone Wild and its attorneys have made charges of unethical conduct against members of the bar and sought their disqualification. In Doe v. Francis, Case No. 5:03cv260-RS-WCS, Girls Gone Wild and counsel then representing it levied charges of attorney misconduct at and moved to disqualify two experienced attorneys from representing the plaintiffs in that case. See Doe v. Francis, Case No. 5:03cv260-RS-WCS (Doc. 123). Plaintiffs' counsel had never before, in their combined 62 years of experience in the practice of law, been accused of ethical wrongdoing by motion filed in a court. (Hr'g Tr., Doc. 170, p. 21, lines 21-25, p. 22, lines 1-3, p. 124, lines 3-8.) The pending motion is not the frst [*8] time that Girls Gone Wild and its attorneys have made charges of unethical conduct against members of the bar and sought their disqualifcation. In Doe v. Francis, Case No. 5:03cv260-RS-WCS, Girls Gone Wild and counsel then representing it levied charges of attorney misconduct at and moved to disqualify two experienced attorneys from representing the plaintiffs in that case. See Doe v. Francis, Case No. 5:03cv260-RS-WCS (Doc. 123). Plaintiffs' counsel had never before, in their combined 62 years of experience in the practice of law, been accused of ethical wrongdoing by motion fled in a court. (Hr'g Tr., Doc. 170, p. 21, lines 21-25, p. 22, lines 1-3, p. 124, lines 3-8.)
Although the motion to disqualify in Doe v. Francis purported to allege instances of attorney misconduct, the bulk of the motion attacked the credibility of the plaintiffs instead, a tactic designed to poison the potential jury pool via the public dockets of this Court. (Doc. 153, p. 3 at P 2) (although the motion purported to allege instances of attorney misconduct, Defendants dedicated more than twice the amount of pages devoted to any single allegation of attorney misconduct, to attacking the credibility of the [*9] Plaintiffs themselves). Exposing the motion in doe v. Francis for what it was - a "below-the-belt" cheap shot at plaintiffs and their attorneys - I wrote that: Although the motion to disqualify in Doe v. Francis purported to allege instances of attorney misconduct, the bulk of the motion attacked the credibility of the plaintifs instead, a tactic designed to poison the potential jury pool via the public dockets of this Court. (Doc. 153, p. 3 at P 2) (although the motion purported to allege instances of attorney misconduct, Defendants dedicated more than twice the amount of pages devoted to any single allegation of attorney misconduct, to attacking the credibility of the [*91 Plaintiffs themselves). Exposing the motion in doe v. Francis for what it was - a "below-the-belt" cheap shot at plaintiffs and their attorneys - I wrote that:
This Court is presented with a Motion filed by an attorney who accuses experienced members of the bar of wrongdoing; attacks the credibility of the Plaintiffs in a manner that is wholly irrelevant to the Motion; fails to explain and pursue several of the allegations; fails to inquire about and confirm the accuracy of many of his beliefs; calls no witnesses other than himself to support these beliefs; fails to report the alleged misconduct as required by the Florida Rules of Professional Conduct; delays 28 months in raising several of the alleged ethical violations; and requests no relief at the evidentiary hearing other than a "public This Court is presented with a Motion filed by an attorney who accuses experienced members of the bar of wrongdoing; attacks the credibility of the Plaintiffs in a manner that is wholly irrelevant to the Motion; fails to explain and pursue several of the allegations; fails to inquire about and confrm the accuracy of many of his beliefs; calls no witnesses other than himself to support these beliefs; fails to report the alleged misconduct as required by the Florida Rules of Professional Conduct; delays 28 months in raising several of the alleged ethical violations; and requests no relief at the evidentiary hearing other than a "public
airing" of his grievances.
(Doc. 153 at 5.) Under the same "reasonable person" standard advocated by Defendants, I note that a reasonable person could well perceive the pending motion requesting my disqualification as simply an attempt by Joe Francis, Girls Gone Wild, and their counsel to broaden the campaign of ethical assaults on members of the bar to now include a member of the judiciary. (Doc. 153 at 5.) Under the same "reasonable person" standard advocated by Defendants, I note that a reasonable person could well perceive the pending motion requesting my disqualifcation as simply an attempt by Joe Francis, Girls Gone Wild, and their counsel to broaden the campaign of ethical assaults on members of the bar to now include a member of the judiciary.
b. The [*10] Present b. The [*10] Present
Although Girls Gone Wild contends in the pending motion that I have improperly acquired extrajudicial knowledge about it that has resulted in bias against it, Girls Gone Wild incredibly attaches, as exhibits to the motion, the very same extrajudicial information - in the form of newspaper articles, an internet blog entry, and a law journal article - that it preaches is improper. (See Mot., Doc. 11, Exs. 2-5.) The motion then "warns" that "[o]ther public perceptions articles proliferate the Internet and may be submitted to this Court upon further review." (Mot., Doc. 11, p. 9 at n. 10.) Although Girls Gone Wild contends in the pending motion that I have improperly acquired extrajudicial knowledge about it that has resulted in bias against it, Girls Gone Wild incredibly attaches, as exhibits to the motion, the very same extrajudicial information - in the form of newspaper articles, an internet blog entry, and a law journal article - that it preaches is improper. (See Mot., Doc. 11, Exs. 2-5.) The motion then "warns" that "[o]ther public perceptions articles proliferate the Internet and may be submitted to this Court upon further review." (Mot., Doc. 11, p. 9 at n. 10.)
The extrajudicial exhibits, like the exhibits in the motion to disqualify in Doe v. Francis, are wholly irrelevant to the merits of the motion. The motion to disqualify, while accurately stating the law on disqualification and recusal at the outset, then distorts the law in an apparent effort to remove a lawsuit between private litigants from a court of law to a "court" of public opinion. The extrajudicial exhibits, like the exhibits in the motion to disqualify in Doe v. Francis, are wholly irrelevant to the merits of the motion. The motion to disqualify, while accurately stating the law on disqualifcation and recusal at the outset, then distorts the law in an apparent effort to remove a lawsuit between private litigants from a court of law to a "court" of public opinion.
The motion begins by correctly quoting an Eleventh Circuit decision stating that a judge should recuse himself from a case when "an objective, disinterested, lay observer fully informed of the facts underlying [*11] the grounds on which recusal was sought would entertain a significant doubt about the judge's impartiality." (Mot., Doc. 11, p. 10 at P 22) (quoting Bevan v. Durling, Docket No. 06-14824, 2007 U.S. App. LEXIS 14136, 2007 WL 1721460 at *1 (11th Cir. June 15, 2007) (unpublished)). See also Christo v. Padgett, 223 F.3d 1324, 1333 (11th Cir. 2000), cert. denied, 531 U.S. 1191, 121 S. Ct. 1190, 149 L. Ed. 2d 106 (2001). Although the Eleventh Circuit standard for recusal requires the judge to consider the perspective of an "objective, disinterested, lay observer fully informed of the facts," the motion then mutates the standard from one involving objectivity, disinterest, and facts to a contrived standard based on "public The motion begins by correctly quoting an Eleventh Circuit decision stating that a judge should recuse himself from a case when "an objective, disinterested, lay observer fully informed of the facts underlying [*11] the grounds on which recusal was sought would entertain a signifcant doubt about the judge's impartiality." (Mot., Doc. 11, p. 10 at P 22) (quoting Bevan v. Durling, Docket No. 06-14824, 2007 U.S App. LEXIS 14136, 2007 WL 1721460 at *1 (11th Cir. June 15, 2007) (unpublished)). See also Christo v. Padgett, 223 F3d 1324, 1333 (11th Cir. 2000), cert. denied, 531 US 1191, 121 S Ct. 1190, 149 L. Ed 2d 106 (2001). Although the Eleventh Circuit standard for recusal requires the judge to consider the perspective of an "objective, disinterested, lay observer fully informed of the facts," the motion then mutates the standard from one involving objectivity, disinterest, and facts to a contrived standard based on "public
perception." (Mot., Doc. 11, p. 9 at P 19) ("Perception, sometimes, matters more than reality."); p. 11 at P 27 ("What matters is not the reality of bias or prejudice, but the appearance thereof."); p. 16 at P 46 ("the public opinion and understanding, whether correct or not, is that this Court told Joe Francis 'settle or go to jail.'"); p. 16 at P 47 ("Perception is as important, when it comes to fair-minded justice, as reality.") perception." (Mot., Doc. 11, p. 9 at P 19) ("Perception, sometimes, matters more than reality."); p. 11 at P 27 ("What matters is not the reality of bias or prejudice, but the appearance thereof"); p. 16 at P 46 ("the public opinion and understanding, whether correct or not, is that this Court told Joe Francis 'settle or go to jail."'); p. 16 at P 47 ("Perception is as important, when it comes to fair-minded justice, as reality.")
Nowhere does the motion cite or quote legal authority that "public [*12] perception" is a proper substitute for the test of "reasonableness" required for disqualification. 5 This is particularly true where, as here, Girls Gone Wild (1) makes no claim that it has adopted the perception of bias that it urges me to accept and (2) repeatedly states that public perception of bias, if it even exists, may be untethered to reality. (Mot., Doc. 11, p. 17 at P 51) ("Even accepting that the bias and prejudice as perceived by public opinion may not be reality . . . ); p. 9 at P 19 ("Perception, sometimes, matters more than reality."); p. 16 at P 46 ("the public opinion and understanding, whether correct or not, is that this Court told Joe Francis 'settle or go to jail.'"). Nowhere does the motion cite or quote legal authority that "public [*12] perception" is a proper substitute for the test of "reasonableness" required for disqualifcation. 5 This is particularly true where, as here, Girls Gone Wild (1) makes no claim that it has adopted the perception of bias that it urges me to accept and (2) repeatedly states that public perception of bias, if it even exists, may be untethered to reality. (Mot., Doc. 11, p. 17 at P 51) ("Even accepting that the bias and prejudice as perceived by public opinion may not be reality ... ); p. 9 at P 19 ("Perception, sometimes, matters more than reality."); p. 16 at P 46 ("the public opinion and understanding, whether correct or not, is that this Court told Joe Francis 'settle or go to jail."').
5 The plain language of the statute under which Defendants request my disqualification, 28 U.S.C. § 455(a), like the case law on recusal, requires that a judge disqualify himself from a case only if his impartiality might be reasonably questioned. 5 The plain language of the statute under which Defendants request my disqualifcation, 28 U.SC § 455(a), like the case law on recusal, requires that a judge disqualify himself from a case only if his impartiality might be reasonably questioned.
By contorting the objective, fact-based standard for disqualification and recusal into an artificial standard of "public perception," Defendants construct the legal scaffolding on which to hang their extrajudicial exhibits, all at the potential expense of [*13] the public's respect for the judiciary and this Court; the litigants' rights to receive a fair trial; and the Florida Rules of Professional Conduct. See Fed. R. Civ. P. 11(b)(1) & (3) (prohibiting an attorney from filing documents in court for an improper purpose and without evidentiary support); N.D. Fla. Loc. R. 77.3(C) & Fla. R. Prof. Conduct 4-3.6 (prohibiting an attorney from making or participating in making extrajudicial statements that could prejudice a trial or adjudicative proceeding). By contorting the objective, fact-based standard for disqualifcation and recusal into an artifcial standard of "public perception," Defendants construct the legal scaffolding on which to hang their extrajudicial exhibits, all at the potential expense of [*13] the public's respect for the judiciary and this Court; the litigants' rights to receive a fair trial; and the Florida Rules of Professional Conduct. See Fed R. Civ. P 11(b)(1) & (3) (prohibiting an attorney from filing documents in court for an improper purpose and without evidentiary support); N.D. Fla. Loc. R. 77.3(C) & Fla. R. Prof Conduct 4-3.6 (prohibiting an attorney from making or participating in making extrajudicial statements that could prejudice a trial or adjudicative proceeding).
C. The Merits
Even if I were to assume that "public perception" is a relevant consideration in assessing the merits of the pending motion, Defendants have failed to submit evidence that the public does indeed perceive me as Even if I were to assume that "public perception" is a relevant consideration in assessing the merits of the pending motion, Defendants have failed to submit evidence that the public does indeed perceive me as
biased against Joe Francis and Girls Gone Wild. 6 None of the newspaper articles submitted by Defendants support their claim of bias. The newspaper articles simply report, without editorial, opinion, or commentary, the civil and criminal proceedings relating to Joe Francis and Girls Gone Wild over which I have presided. biased against Joe Francis and Girls Gone Wild. 6 None of the newspaper articles submitted by Defendants support their claim of bias. The newspaper articles simply report, without editorial, opinion, or commentary, the civil and criminal proceedings relating to Joe Francis and Girls Gone Wild over which I have presided.
6 Neither Defendants nor Plaintiff should interpret this finding as an invitation to scour popular culture and flood the dockets of this Court with extrajudicial [*14] information in support of or in opposition to my finding. 6 Neither Defendants nor Plaintiff should interpret this fnding as an invitation to scour popular culture and food the dockets of this Court with extrajudicial [*14] information in support of or in opposition to my fnding.
1. Mediate in Good Faith, Not Settle or Jail
The single parcel of evidence submitted by Girls Gone Wild that does provide a relevant opinion of an objective observer's perception contradicts the perception of bias urged by Girls Gone Wild. That evidence is a blog entry in the "Court of Public Opinion" section of the online version of the Panama City News Herald ("News Herald"). The author of the blog entry, David Angier, wrote the "settle or jail" article that was originally published in the News Herald and which served as the basis for the inaccurate reports in the national media that I forced Joe Francis to settle the civil lawsuit or face imprisonment. See David Angier, Judge to Francis: Settle or Jail, Panama City News Herald, March 31, 2007, at 1A-2A (Ex., Doc. 11-2.) Angier stated in the blog entry that The single parcel of evidence submitted by Girls Gone Wild that does provide a relevant opinion of an objective observer's perception contradicts the perception of bias urged by Girls Gone Wild. That evidence is a blog entry in the "Court of Public Opinion" section of the online version of the Panama City News Herald ("News Herald"). The author of the blog entry, David Angier, wrote the "settle or jail" article that was originally published in the News Herald and which served as the basis for the inaccurate reports in the national media that I forced Joe Francis to settle the civil lawsuit or face imprisonment. See David Angier, Judge to Francis: Settle or Jail, Panama City News Herald, March 31, 2007, at IA-2A (Ex., Doc. 11-2.) Angier stated in the blog entry that
The judge said . . . that he did not order Francis to settle the federal lawsuit or go to jail. That's very true, but 'settle or jail' has become almost a catchphrase at this point that is perpetuating itself. Even the News Herald's Sunday op-ed page carried the misconception. The judge said ... that he did not order Francis to settle the federal lawsuit or go to jail. That's very true, but 'settle or jail' has become almost a catchphrase at this point that is perpetuating itself. Even the News Herald's Sunday op-ed page carried the misconception.
David Angier, Settle or Jail, Panama City News [*15] Herald, April 9, 2007, at Court of Public Opinion (Ex., Doc. 11-3.) David Angier, Settle or Jail, Panama City News [*15] Herald, April 9, 2007, at Court of Public Opinion (Ex., Doc. 11-3.)
In other words, the sole author of the "settle or jail" article admits that any perception, if one does exist, that I required Joe Francis to settle or go to jail is a misperception. Simply stated, my order did not require that Joe Francis settle the lawsuit; rather, it unambiguously required that Joe Francis mediate his case in good faith after I found him in civil contempt for exploiting a court-ordered mediation proceeding to In other words, the sole author of the "settle or jail" article admits that any perception, if one does exist, that I required Joe Francis to settle or go to jail is a misperception. Simply stated, my order did not require that Joe Francis settle the lawsuit; rather, it unambiguously required that Joe Francis mediate his case in good faith afer I found him in civil contempt for exploiting a court-ordered mediation proceeding to threaten and abuse the other party in the civil lawsuit.
I can only assume that Angier, a non-attorney, misunderstood the difference between requiring a party to settle a case and requiring a party to mediate a case in good faith when he wrote the "settle or jail" article. The quoted portion of the blog entry appears to have been an effort by Angier to correct the mistake. Defendants even acknowledge Angier's error, though in a mere footnote: "[T]he public perceptions and confusion have apparently caused the article itself to be removed from the New [sic] Herald web site archives at http://www.newsherald.com." (Mot., Doc. 11, p. 8 at n. 8.) I can only assume that Angier, a non-attorney, misunderstood the difference between requiring a party to settle a case and requiring a party to mediate a case in good faith when he wrote the "settle or jail" article. The quoted portion of the blog entry appears to have been an effort by Angier to correct the mistake. Defendants even acknowledge Angier's error, though in a mere footnote: "[T]he public perceptions and confusion have apparently caused the article itself to be removed from the New [sic] Herald web site archives at http://www.newsherald.com." (Mot., Doc. 11, p. 8 at n. 8.)
It is noteworthy that Defendants do not contend that [*16] they themselves interpreted my order as requiring that Joe Francis settle the case. Unlike Angier, all parties present at the contempt hearing, including counsel for Joe Francis and Girls Gone Wild, did understand that my order required that Joe Francis simply mediate in good faith, not settle, the case: It is noteworthy that Defendants do not contend that [*161 they themselves interpreted my order as requiring that Joe Francis settle the case. Unlike Angier, all parties present at the contempt hearing, including counsel for Joe Francis and Girls Gone Wild, did understand that my order required that Joe Francis simply mediate in good faith, not settle, the case:
THE COURT: Mr. Francis can cure his contempt and have this sanction of incarceration removed upon his proper participation in mediation. And I direct that the plaintiffs are to cooperate in every possible way in expediting the scheduling of the resumption of the mediation. THE COURT: Mr. Francis can cure his contempt and have this sanction of incarceration removed upon his proper participation in mediation. And I direct that the plaintiffs are to cooperate in every possible way in expediting the scheduling of the resumption of the mediation.
Whenever the mediation is due to start, I direct that everybody concerned are to arrive in Bay County no later than the evening before so that there will be no possibility, hopefully, of mediation not getting started on time. Whenever the mediation is due to start, I direct that everybody concerned are to arrive in Bay County no later than the evening before so that there will be no possibility, hopefully, of mediation not getting started on time.
It is in Mr. Francis' interest that this mediation be set up and accomplished as quickly as possible. It is in Mr. Francis' interest that this mediation be set up and accomplished as quickly as possible.
If necessary, this mediation could be conducted here in the courthouse and I will wait to hear from the attorneys about this offer. Regardless, I will be immediately available in the event any further problems arise. If necessary, this mediation could be conducted here in the courthouse and I will wait to hear from the attorneys about this offer. Regardless, I will be immediately available in the event any further problems arise.
Now, at the mediation, Mr. Francis will be dressed and groomed appropriately as [*17] if for the appearance before this Now, at the mediation, Mr. Francis will be dressed and groomed appropriately as [*17] if for the appearance before this
court in this courtroom. This means a business suit and a tie, business shoes and socks and he will conduct himself and communicate in a manner during the mediation with the demeanor and courtesy expected in serious business transactions and appearances before this court. court in this courtroom. This means a business suit and a tie, business shoes and socks and he will conduct himself and communicate in a manner during the mediation with the demeanor and courtesy expected in serious business transactions and appearances before this court.
I will emphasize again that this mediation is ordered as an activity of this court. Simply because we put it under the supervision of a neutral mediator does not remove it from the interest and control of the court. I will emphasize again that this mediation is ordered as an activity of this court. Simply because we put it under the supervision of a neutral mediator does not remove it from the interest and control of the court.
Mr. Francis will be released from incarceration when the mediator certifies in person to me that Mr. Francis has fully complied with this order and has participated in the mediation in good faith. Mr. Francis will be released from incarceration when the mediator certifes in person to me that Mr. Francis has fully complied with this order and has participated in the mediation in good faith.
Now, the further guidance is that there must - while mediation - this obligation to mediate does not impose an obligation to settle, there must be participation by all parties and the attorneys in a discussion frank and thorough discussion - as stated in Local Rule 16.3. And that is to identify the interests that are at stake, to suggest alternatives, analyze the issues, question existing perceptions, to conduct private caucuses, to stimulate negotiations and to keep this thing [*18] under order. Now, the further guidance is that there must - while mediation - this obligation to mediate does not impose an obligation to settle, there must be participation by all parties and the attorneys in a discussion frank and thorough discussion - as stated in Local Rule 16.3. And that is to identify the interests that are at stake, to suggest alternatives, analyze the issues, question existing perceptions, to conduct private caucuses, to stimulate negotiations and to keep this thing [*18] under order.
. . .
THE COURT: We are looking at this point, Mr. Francis, to do without reservation what my order, scheduling mediation order, required in the first instance. His conduct, which I think is not disputed - I don't know if I've been sufficiently articulate, but Mr. Burke, in all of my years of being a trial lawyer, and a mediator, and then - and as a mediator trying to keep up with the law and the guidance in Florida, the Dispute Resolution Center with the Florida Supreme Court, tried to keep all mediators involved of current issues - I can't think of any worse behavior anytime in my career. THE COURT: We are looking at this point, Mr. Francis, to do without reservation what my order, scheduling mediation order, required in the frst instance. His conduct, which I think is not disputed - I don't know if I've been sufficiently articulate, but Mr. Burke, in all of my years of being a trial lawyer, and a mediator, and then - and as a mediator trying to keep up with the law and the guidance in Florida, the Dispute Resolution Center with the Florida Supreme Court, tried to keep all mediators involved of current issues - I can't think of any worse behavior anytime in my career.
If necessary we'll take this a step at a time.
. . .
MR. BURKE: In light of the court's order, which seems to be to be premised on the fact - on the finding that Mr. Francis did not meaningfully participate, or that the mediation was not conducted pursuant to the court's scheduling order in good faith, I would like to proffer on behalf of the defendants, under seal, so that the matter may be reviewed by both either Your Honor or by the court of appeal - the actual offers that were made at the mediation, so that a court may consider whether in fact mediation proceeded in good faith by [*19] the defendants and by Mr. Francis in particular. MR. BURKE: In light of the court's order, which seems to be to be premised on the fact - on the finding that Mr. Francis did not meaningfully participate, or that the mediation was not conducted pursuant to the court's scheduling order in good faith, I would like to proffer on behalf of the defendants, under seal, so that the matter may be reviewed by both either Your Honor or by the court of appeal - the actual offers that were made at the mediation, so that a court may consider whether in fact mediation proceeded in good faith by [*191 the defendants and by Mr. Francis in particular.
(Hr'g Tr., Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 338, p. 90, lines 12-25, p. 91, lines 1-25, p. 101, lines 15-25, p. 102, lines 11-20.) (Hr'g Tr., Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 338, p. 90, lines 12-25, p. 91, lines 1-25, p. 101, lines 15-25, p. 102, lines 11-20.)
The quoted statements prove, beyond a reasonable doubt, that defense counsel correctly understood my order as requiring that Joe Francis mediate in good faith, not settle, the case. As specifically articulated on the record and as quoted verbatim above: "[T]his obligation to mediate does not impose an obligation to settle." (Doc. 338, p. 90 at lines 18-19.) The quoted statements prove, beyond a reasonable doubt, that defense counsel correctly understood my order as requiring that Joe Francis mediate in good faith, not settle, the case. As specifcally articulated on the record and as quoted verbatim above: "[T]his obligation to mediate does not impose an obligation to settle." (Doc. 338, p. 90 at lines 18-19.)
Assuming that defense counsel misconstrued the order as a requirement to settle, defense counsel did not object to the order; did not seek clarification from me that the order was an order to mediate, not an order to settle; and objectively demonstrated, through conduct, that my order was a requirement to mediate because Francis did, in fact, mediate with a mediator by telephone following the hearing. Had Francis and defense counsel interpreted my order as a requirement to settle, they presumably would not have made the effort to contact and enter into discussions with a mediator following the hearing. Based on this overwhelming evidence, I [*20] find that a reasonable person would not only reject Defendants' argument of perceived bias as it relates to the "settle or jail" article but would also question Defendants' underlying purpose in republishing, via this Court's public dockets, a story they know to be false. Assuming that defense counsel misconstrued the order as a requirement to settle, defense counsel did not object to the order; did not seek clarifcation from me that the order was an order to mediate, not an order to settle; and objectively demonstrated, through conduct, that my order was a requirement to mediate because Francis did, in fact, mediate with a mediator by telephone following the hearing. Had Francis and defense counsel interpreted my order as a requirement to settle, they presumably would not have made the effort to contact and enter into discussions with a mediator following the hearing. Based on this overwhelming evidence, I [*20] find that a reasonable person would not only reject Defendants' argument of perceived bias as it relates to the "settle or jail" article but would also question Defendants' underlying purpose in republishing, via this Court's public dockets, a story they know to be false.
The motion improperly truncates and mischaracterizes my instruction to mediate when it asserts: The motion improperly truncates and mischaracterizes my instruction to mediate when it asserts:
c. Moreover, this Court advised the parties that they were to "resolve" this matter. When questioned by counsel for the defendant as to the definition of resolving this matter, the Court advised, 'I'm looking for you all to resolve this thing finally.' c. Moreover, this Court advised the parties that they were to "resolve" this matter. When questioned by counsel for the defendant as to the definition of resolving this matter, the Court advised, 'I'm looking for you all to resolve this thing fnally.'
(Mot., Doc. 11, p. 8 at P 13.c.) The motion omits the basis for that statement: (Mot., Doc. 11, p. 8 at P 13.c.) The motion omits the basis for that statement:
THE COURT: You told me that you thought you all had made some progress over the noon hour, as I understood it. THE COURT: You told me that you thought you all had made some progress over the noon hour, as I understood it.
(Hr'g Tr., Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 338 at 99, lines 3-4.) (Hr'g Tr., Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 338 at 99, lines 3-4.)
My statement was thus intended to encourage the parties to continue their progress toward agreement and compromise, based on defense counsel's representation to me that such progress had been made. It was not an order to settle. In a case where a litigant - Joe Francis - had forthrightly rejected the alternative [*21] dispute resolution process in its first three minutes and deprived himself of the chance to benefit from the process, it was necessary and proper to assume the role of an "advocate" for mediation. By promoting the alternative dispute resolution process, I attempted to further its objectives and those of the Eleventh Circuit, the Federal Rules of Civil Procedure, and the Local Rules of this Court: My statement was thus intended to encourage the parties to continue their progress toward agreement and compromise, based on defense counsel's representation to me that such progress had been made. It was not an order to settle. In a case where a litigant - Joe Francis - had forthrightly rejected the alternative [*211 dispute resolution process in its frst three minutes and deprived himself of the chance to beneft from the process, it was necessary and proper to assume the role of an "advocate" for mediation. By promoting the alternative dispute resolution process, I attempted to further its objectives and those of the Eleventh Circuit, the Federal Rules of Civil Procedure, and the Local Rules of this Court:
THE COURT: Local Rule 16.3 provides that mediation is a supervised settlement conference presided over by a mutual mediator to promote conciliation, compromise and the ultimate settlement of a civil action. THE COURT: Local Rule 16.3 provides that mediation is a supervised settlement conference presided over by a mutual mediator to promote conciliation, compromise and the ultimate settlement of a civil action.
Now the Eleventh Circuit, the Court of Appeals, has said that settlement conferences are valuable tools for district courts. Now the Eleventh Circuit, the Court of Appeals, has said that settlement conferences are valuable tools for district courts.
. . .
In fact, the Federal Rules specifically provide for settlement conferences. In the In fact, the Federal Rules specifcally provide for settlement conferences. In the case of the Northern District, by and large these settlement conferences are conducted by a neutral mediator rather than the district judge. case of the Northern District, by and large these settlement conferences are conducted by a neutral mediator rather than the district judge.
. . .
Now these settlement conferences and mediations are neutral forums that foster settlement - and this is the Eleventh Circuit talking - which in turn ease crowded court dockets and result in savings to the litigants and the judicial system. Now these settlement conferences and mediations are neutral forums that foster settlement - and this is the Eleventh Circuit talking - which in turn ease crowded court dockets and result in savings to the litigants and the judicial system.
Second, [*22] settlement conferences allow courts to manage their dockets efficiently. The value of the court's efficient management of its dockets cannot be underestimated. In particular, if the court is able to adjudicate cases efficiently without much delay, it reduces the cost to the taxpayers and the expenses incurred by jurors, witnesses, parties and lawyers. Second, [*221 settlement conferences allow courts to manage their dockets efficiently. The value of the court's efficient management of its dockets cannot be underestimated. In particular, if the court is able to adjudicate cases effciently without much delay, it reduces the cost to the taxpayers and the expenses incurred by jurors, witnesses, parties and lawyers.
This, in turn, creates an atmosphere more conducive to administering justice. This, in turn, creates an atmosphere more conducive to administering justice.
(Doc. 338, p. 70 at lines 13-19, 23-25, p. 71 at lines 1, 5-18.) The Code of Judicial Conduct specifically mentions mediation and settlement as adjudicative responsibilities. See Commentary to Canon 3A(5) ("A judge should encourage and seek to facilitate settlement . . ."); Canon 3A(4) ("A judge may, with consent of the parties, confer separately with the parties and their counsel in an effort to mediate or settle pending matters."). (Doc. 338, p. 70 at lines 13-19, 23-25, p. 71 at lines 1, 5-18.) The Code of Judicial Conduct specifcally mentions mediation and settlement as adjudicative responsibilities. See Commentary to Canon 3A(5) ("A judge should encourage and seek to facilitate settlement . ."); Canon 3A(4) ("A judge may, with consent of the parties, confer separately with the parties and their counsel in an effort to mediate or settle pending matters. ").
I even emphasized to Francis how his participation in settlement discussions through mediation could possibly benefit him: I even emphasized to Francis how his participation in settlement discussions through mediation could possibly benefit him:
THE COURT: When I was a mediator, I would tell the parties at the beginning, that mediation will give you an opportunity to discover things about your opponent's case that you may have never thought about. You may [*23] become aware of weaknesses that you never thought about. THE COURT: When I was a mediator, I would tell the parties at the beginning, that mediation will give you an opportunity to discover things about your opponent's case that you may have never thought about. You may [*231 become aware of weaknesses that you never thought about.
. . .
We don't know, had Mr. Francis remained and participated constructively, that perhaps this case could have been settled for a bargain, after the mediator had had an opportunity to work with the plaintiffs. We don't know, had Mr. Francis remained and participated constructively, that perhaps this case could have been settled for a bargain, afer the mediator had had an opportunity to work with the plaintiffs.
I know that Dom Caparello is one of the most tenacious mediators, and somewhere in his family tree there has to be a snapping turtle because he does not turn loose. And he will force the most reluctant lawyer and litigant to stay into the night and focus on the down - potential downsides of their case. And unfortunately, Mr. Francis, you did not give that process an opportunity to work so that it might have saved you from yourself. I know that Dom Caparello is one of the most tenacious mediators, and somewhere in his family tree there has to be a snapping turtle because he does not turn loose. And he will force the most reluctant lawyer and litigant to stay into the night and focus on the down - potential downsides of their case. And unfortunately, Mr. Francis, you did not give that process an opportunity to work so that it might have saved you from yourself.
(Hr'g Tr., Doe v. Francis, Case No. 5:03 cv 260, Doc. 338, p. 73 at line 25, p. 74 at lines 1-3, p. 75 at lines 3-14.) (Hr'g Tr., Doe v. Francis, Case No. 5:03 cv 260, Doc. 338, p. 73 at line 25, p. 74 at lines 1-3, p. 75 at lines 3-14.)
When the parties ultimately entered into a settlement agreement, Francis did not file a motion to vacate the settlement on the grounds that it was improperly coerced. Nor did he contend that I dictated or influenced the terms of the settlement such that it favored the plaintiffs. For all I know, Francis may have turned out the winner in the settlement that was reached. 7 Francis [*24] ultimately purged his contempt, not because he settled the case, but because the settlement demonstrated that he had finally mediated in good faith. When the parties ultimately entered into a settlement agreement, Francis did not fle a motion to vacate the settlement on the grounds that it was improperly coerced. Nor did he contend that I dictated or influenced the terms of the settlement such that it favored the plaintiffs. For all I know, Francis may have turned out the winner in the settlement that was reached. 7Francis [*241 ultimately purged his contempt, not because he settled the case, but because the settlement demonstrated that he had finally mediated in good faith.
7 I have no knowledge of, nor is it generally in the business of the Court, to have knowledge of the specific terms of a settlement agreement. 7 I have no knowledge of, nor is it generally in the business of the Court, to have knowledge of the specifc terms of a settlement agreement.
Even assuming that the public does harbor a misperception that I required Joe Francis to settle the civil lawsuit under the threat of incarceration, Defendants fail to establish a nexus between that perception and the perception of bias that is urged. A reasonable, objective lay observer is presumably unfamiliar with the full range of sanctions that I may lawfully impose on a litigant found to be in contempt of court. The "settle or jail" article states that Joe Francis was found to be in contempt of court. A lay observer reading the article could thus Even assuming that the public does harbor a misperception that I required Joe Francis to settle the civil lawsuit under the threat of incarceration, Defendants fail to establish a nexus between that perception and the perception of bias that is urged. A reasonable, objective lay observer is presumably unfamiliar with the full range of sanctions that I may lawfully impose on a litigant found to be in contempt of court. The "settle or jail" article states that Joe Francis was found to be in contempt of court. A lay observer reading the article could thus reasonably conclude that settlement or jail was a proper sanction for a contemptuous litigant like Joe Francis. After all, it was Joe Francis' own violation of a court order, not any impetus on my part, that brought him before me. reasonably conclude that settlement or jail was a proper sanction for a contemptuous litigant like Joe Francis. After all, it was Joe Francis' own violation of a court order, not any impetus on my part, that brought him before me.
I had no inclination to punish Francis or to cause him to "lose" the civil lawsuit. The sanction imposed was simply intended [*25] to force Joe Francis to obey an order of this Court - my order to mediate. A reasonable sanction for a party who fails to participate in mediation as required by court order is to require that party to "go back and do it again." I had no inclination to punish Francis or to cause him to "lose" the civil lawsuit. The sanction imposed was simply intended [*251 to force Joe Francis to obey an order of this Court - my order to mediate. A reasonable sanction for a party who fails to participate in mediation as required by court order is to require that party to "go back and do it again."
Had I desired to punish Francis and to cause him to lose the civil lawsuit, I could have accomplished that objective much more swiftly and severely than ordering him to settle the case under the threat of incarceration. The Federal Rules of Civil Procedure grant broad powers to a federal judge to insure that parties obey court orders and conduct themselves appropriately in federal proceedings. The Federal Rules authorize me to sanction a recalcitrant defendant by (1) striking that party's defenses; (2) preventing it from opposing the claims of the plaintiffs; or (3) entering a judgment by default against it. See Fed. R. Civ. P. 16(f) & 37(b)(2). In other words, had I harbored true animosity, prejudice, or bias toward Francis and his companies, I could have simply entered orders striking every defense and entering judgment against them without the need to coerce a settlement. See 6A Charles Alan Wright & Arthur R. Miller, Federal Practice and Procedure § 1531 [*26] (2d ed. 1990) ("Undoubtedly the harshest sanction ordered is one either dismissing the plaintiff's case or entering a default judgment.") Had I desired to punish Francis and to cause him to lose the civil lawsuit, I could have accomplished that objective much more swifly and severely than ordering him to settle the case under the threat of incarceration. The Federal Rules of Civil Procedure grant broad powers to a federal judge to insure that parties obey court orders and conduct themselves appropriately in federal proceedings. The Federal Rules authorize me to sanction a recalcitrant defendant by (1) striking that party's defenses; (2) preventing it from opposing the claims of the plaintiffs; or (3) entering a judgment by default against it. See Fed R. Civ. P 16(J) & 37(b)(2). In other words, had I harbored true animosity, prejudice, or bias toward Francis and his companies, I could have simply entered orders striking every defense and entering judgment against them without the need to coerce a settlement. See 6A Charles Alan Wright & Arthur R. Miller, Federal Practice and Procedure § 1531 [*261 (2d ed. 1990) ("Undoubtedly the harshest sanction ordered is one either dismissing the plaintiffs case or entering a default judgment.")
Mindful, however, of my judicial duty to exercise my grant of authority with proper restraint, I declined to enter a default judgment, instead selecting a more judicious course: Mindful, however, of my judicial duty to exercise my grant of authority with proper restraint, I declined to enter a default judgment, instead selecting a more judicious course:
THE COURT: Financial sanctions are the low end of the available tools that are available for me to deal with this situation. On the other end of the scale are the really capital punishment sanctions, and that would be to strike Mr. Francis' pleadings and enter a default against him. THE COURT: Financial sanctions are the low end of the available tools that are available for me to deal with this situation. On the other end of the scale are the really capital punishment sanctions, and that would be to strike Mr. Francis' pleadings and enter a default against him.
. . .
[P]erhaps the sanction of entering a default against Mr. Francis is [inappropriate at this time because] he may not have been specifically warned that that might happen, although the scheduling and mediation order does generally warn of possible sanctions. [P]erhaps the sanction of entering a default against Mr. Francis is [inappropriate at this time because] he may not have been specifcally warned that that might happen, although the scheduling and mediation order does generally warn of possible sanctions.
Now this case is going to get back on track, Mr. Francis. And it's going to trial in July. And how it gets to trial is going to depend in large measure on your behavior from now on. But I want there to be no misunderstanding on your part that if I find willful noncompliance with the required procedures and my orders, that the next sanction [*27] is likely to be the entry of a default against you. And then, as now, you will have nobody to blame but yourself. Now this case is going to get back on track, Mr. Francis. And it's going to trial in July. And how it gets to trial is going to depend in large measure on your behavior from now on. But I want there to be no misunderstanding on your part that if I f ind willful noncompliance with the required procedures and my orders, that the next sanction [*27] is likely to be the entry of a default against you. And then, as now, you will have nobody to blame but yourself.
(Hr'g Tr., Doe v. Francis, Case No. 5:03 cv 260, Doc. 338, p. 83 at lines 6-10, p. 84 at lines 6-18.) (Hr'g Tr., Doe v. Francis, Case No. 5:03 cv 260, Doc. 338, p. 83 at lines 6-10, p. 84 at lines 6-18.)
To endorse the position of bias urged by Defendants would be to permit a contemptuous litigant to wrest control of a case from a judge simply because that litigant has chosen to perpetuate a false report by the media of a judicial proceeding involving him. By elevating an alleged false perception of bias - a perception that even Girls Gone Wild does not claim to hold - above the truth, Girls Gone Wild requests that I substitute fact with fantasy. This the law surely cannot and does not permit. To endorse the position of bias urged by Defendants would be to permit a contemptuous litigant to wrest control of a case from a judge simply because that litigant has chosen to perpetuate a false report by the media of a judicial proceeding involving him. By elevating an alleged false perception of bias - a perception that even Girls Gone Wild does not claim to hold - above the truth, Girls Gone Wild requests that I substitute fact with fantasy. This the law surely cannot and does not permit.
2. Civil Contempt: Francis Gone Wild
As further evidence of my alleged bias, the motion states that As further evidence of my alleged bias, the motion states that with regard to the behavior of Joe Francis at mediation, the Court stated that '[p]erhaps the next time any of us are at our mother's dinner table and we talk like Mr. Francis, we can simply tell our mother that we're just being colorful, and see how that flies . . . and opined that 'in all of my years of being a trial lawyer, and a mediator . . . I can't think of any worse behavior anytime [*28] in my career.' with regard to the behavior of Joe Francis at mediation, the Court stated that '[p]erhaps the next time any of us are at our mother's dinner table and we talk like Mr. Francis, we can simply tell our mother that we're just being colorful, and see how that flies .. and opined that 'in all of my years of being a trial lawyer, and a mediator . I can't think of any worse behavior anytime [*28] in my career.'
(Mot., Doc. 11, p. 7 at P 13.a.) That statement is not Mot., Doc. 11, p. 7 at P 13.a.) That statement is not evidence of bias. That statement is the truth. evidence of bias. That statement is the truth.
On March 23, 2007, the plaintiffs in Doe v. Francis filed a motion requesting sanctions against Joe Francis. See Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 286. The motion alleged that Francis had behaved in a threatening and abusive manner toward the plaintiffs and their attorneys at a court-ordered mediation. (Doc. 286.) Because of the seriousness of those allegations, I held a hearing to determine whether a more formal, evidentiary hearing on the motion was warranted. Francis' attorney, Michael Dickey, was present at the hearing. Mr. Dickey stated that On March 23, 2007, the plaintiffs in Doe v. Francis f iled a motion requesting sanctions against Joe Francis. See Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 286. The motion alleged that Francis had behaved in a threatening and abusive manner toward the plaintiffs and their attorneys at a court-ordered mediation. (Doc. 286.) Because of the seriousness of those allegations, I held a hearing to determine whether a more formal, evidentiary hearing on the motion was warranted. Francis' attorney, Michael Dickey, was present at the hearing. Mr. Dickey stated that
I'm not sure under the circumstances, Your Honor, what I could have done, or any of the other attorneys in the room could have done to stop [Francis'] outburst [at the mediation], short of what transpired, which was the plaintiffs' lawyers got up and left which was appropriate, I would put to you, under the circumstances. I'm not sure under the circumstances, Your Honor, what I could have done, or any of the other attorneys in the room could have done to stop [Francis'] outburst [at the mediation], short of what transpired, which was the plaintiffs' lawyers got up and lef which was appropriate, I would put to you, under the circumstances.
(H'rg Tr., Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 311, p. 6 at lines 22-25, p. 7 at lines 1-2.) (H'rg Tr., Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 311, p. 6 at lines 22-25, p. 7 at lines 1-2.)
In other words, Mr. Dickey, Joe Francis' attorney, agreed that the behavior of his own client [*29] at a court-ordered mediation was so incredibly abusive and inappropriate as to justify plaintiffs and their counsel to simply leave the mediation. Relying on Mr. Dickey's representation, I found it appropriate to schedule an evidentiary hearing on the motion for sanctions to afford Francis the opportunity to defend himself. I entered an order that unambiguously stated the purpose of the hearing: In other words, Mr. Dickey, Joe Francis' attorney, agreed that the behavior of his own client [*29] at a court-ordered mediation was so incredibly abusive and inappropriate as to justify plaintiffs and their counsel to simply leave the mediation. Relying on Mr. Dickey's representation, I found it appropriate to schedule an evidentiary hearing on the motion for sanctions to afford Francis the opportunity to defend himself. I entered an order that unambiguously stated the purpose of the hearing:
Defendant Joseph R. Francis is ordered to appear . . . to show cause why he should not be held in contempt for failure to comply with Paragraph 8 of the Scheduling and Mediation Order and to show cause why Plaintiff's Motion for the imposition of sanctions should not be granted. Defendant Joseph R. Francis is ordered to appear ... to show cause why he should not be held in contempt for failure to comply with Paragraph 8 of the Scheduling and Mediation Order and to show cause why Plaintiffs Motion for the imposition of sanctions should not be granted.
(Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 289.) Thus, the sole purpose of the hearing, per my written order, was to consider whether Francis had (Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 289.) Thus, the sole purpose of the hearing, per my written order, was to consider whether Francis had
violated my standard order requiring all litigants in this Court to attempt to resolve their cases through mediation. violated my standard order requiring all litigants in this Court to attempt to resolve their cases through mediation.
At the evidentiary hearing, Francis was represented by Michael Burke, general counsel for Girls Gone Wild, and by Mr. Dickey. The testimony and evidence presented at the evidentiary hearing and in the written documents filed on the docket were shocking: At the evidentiary hearing, Francis was represented by Michael Burke, general counsel for Girls Gone Wild, and by Mr. Dickey. The testimony and evidence presented at the evidentiary hearing and in the written documents filed on the docket were shocking:
.To [*30] report that Francis arrived late at the mediation is an understatement. Francis arrived four hours late, keeping the out-of-town plaintiffs and their attorneys waiting. (Doc. 286, p. 1-2 at PP 1-7.) .To [*30] report that Francis arrived late at the mediation is an understatement. Francis arrived fur hours late, keeping the out-of-town plaintiffs and their attorneys waiting. (Doc. 286, p. 1-2 at PP 1-7.)
.Francis' tardiness did not result from time spent primping; rather, Francis arrived at the mediation wearing sweat shorts, a backwards baseball cap, and was barefoot. He was playing on an electronic devise. (Doc. 286, p. 3 at P 8.) .Francis' tardiness did not result from time spent primping; rather, Francis arrived at the mediation wearing sweat shorts, a backwards baseball cap, and was barefoot. He was playing on an electronic devise. (Doc. 286, p. 3 at P 8.)
.As plaintiff's counsel began his presentation, Francis put his bare, dirty feet on the table, facing plaintiff's counsel. Plaintiff's counsel said four words before Francis interrupted him. (Doc. 286, p. 3 at P 8.) .As plaintiffs counsel began his presentation, Francis put his bare, dirty feet on the table, facing plaintiffs counsel. Plaintiffs counsel said four words before Francis interrupted him. (Doc. 286, p. 3 at P 8.)
.Francis then erupted into a tantrum, yelling repeatedly: "Don't expect to get a fucking dime - not one fucking dime!" (Doc. 286, p. 3 at P 9; Hr'g Tr., Doc. 338, p. 10 at lines 18-22, p. 11 at lines 19-21) .Francis then erupted into a tantrum, yelling repeatedly: "Don't expect to get a fucking dime - not one fucking dime!" (Doc. 286, p. 3 at P 9; Hr'g Tr., Doc. 338, p. 10 at lines 18-22, p. 11 at lines 19-21)
.Francis shouted: "I hold the purse strings. I will not settle this case at all. I am only here because the court is making me be here!" (Doc. 286, p. 3 at P 10.) .Francis shouted: "I hold the purse strings. I will not settle this case at all. I am only here because the court is making me be here!" (Doc. 286, p. 3 at P 10.)
.Reasonably concluding that mediation was futile, the plaintiffs' attorneys began to leave the room. As if he had not made his point, Francis threatened: "We will bury you and your clients! [*31] I'm going to ruin you, your clients, and all of your ambulance-chasing partners!" (Doc. 286, p. 3 at PP 11 & 12; Hr'g Tr., Doc. 338, p. 10 at lines 23-25, p. 11 at lines 1-10.) .Reasonably concluding that mediation was futile, the plaintiffs' attorneys began to leave the room. As if he had not made his point, Francis threatened: "We will bury you and your clients! [*31] I'm going to ruin you, your clients, and all of your ambulance-chasing partners!" (Doc. 286, p. 3 at PP 11 & 12; Hr'g Tr., Doc. 338, p. 10 at lines 23-25, p. 11 at lines 1-10.)
.As they exited the room, Francis, without provocation, charged plaintiffs' counsel, "got in his face," and appeared as though he was going to physically assault plaintiffs' counsel. "I thought he was going to slug me," plaintiffs' counsel testified. (Hr'g Tr., Doc. 338, p. 12 at lines 5-10, p. 13 at lines 13-18, 23-25, p. 14 at lines 1-6, p. 18 at lines 6-9.) .As they exited the room, Francis, without provocation, charged plaintiffs' counsel, "got in his face," and appeared as though he was going to physically assault plaintiffs' counsel. "I thought he was going to slug me," plaintiffs' counsel testifed. (Hr'g Tr., Doc. 338, p. 12 at lines 5-10, p. 13 at lines 13-18, 23-25, p. 14 at lines 1-6, p. 18 at lines 6-9.)
.A witness confirmed that .A witness confrmed that it was the way - you had to be there, but it was the way that Mr. Francis came around the table in a very rapid motion and got nose to nose with [plaintiffs' counsel], was shouting profanities that you heard testimony about, and it seemed to me that he was trying to provoke a physical confrontation. it was the way - you had to be there, but it was the way that Mr. Francis came around the table in a very rapid motion and got nose to nose with [plaintiffs' counsel], was shouting profanities that you heard testimony about, and it seemed to me that he was trying to provoke a physical confrontation.
(Hr'g Tr., Doc. 338, p. 49 at lines 15-19.)
.Francis' own attorney had to position himself between Francis and plaintiffs' counsel to prevent a brawl. (Hr'g Tr., Doc. 338, p. 12 at lines 13-19, p. 18 at lines 10-14, p. 49 at lines 19-21.) .Francis' own attorney had to position himself between Francis and plaintiffs' counsel to prevent a brawl. (Hr'g Tr., Doc. 338, p. 12 at lines 13-19, p. 18 at lines 10-14, p. 49 at lines 19-21.)
.Francis' goodbye wish to plaintiffs' counsel was "Suck my dick." (Doc. 286, p. 4 at P 15.) .Francis' goodbye wish to plaintiffs' counsel was "Suck my dick." (Doc. 286, p. 4 at P 15.)
How defense [*32] counsel can reasonably question my characterization of these events is astounding. Michael Burke, one of Francis' attorney who was present at the evidentiary hearing, conceded that Francis loudly uttered the offensive statements to which plaintiffs' counsel testified. (Hr'g Tr., Doc. 338, p. 12 at lines 5-14, 17-22.) Burke also testified that Francis overrode his "objections" at the mediation "to be quiet." (Hr'g Tr., Doc. 338, p. 63 at lines 18-25, p. 64 at lines 1-3.) Not only had I never witnessed or experienced such vile behavior by a litigant at a court-ordered function in my long career as an attorney and mediator, but plaintiffs' counsel all testified that neither had they. (Hr'g Tr., Doc. 338, p. 14 at lines 7-12, p. 53 at lines 5-10, p. 55 at lines 15-16.) How defense [*32] counsel can reasonably question my characterization of these events is astounding. Michael Burke, one of Francis' attorney who was present at the evidentiary hearing, conceded that Francis loudly uttered the offensive statements to which plaintiffs' counsel testifed. (Hr'g Tr., Doc. 338, p. 12 at lines 5-14, 17-22.) Burke also testifed that Francis overrode his "objections" at the mediation "to be quiet." (Hr'g Tr., Doc. 338, p. 63 at lines 18-25, p. 64 at lines 1-3.) Not only had I never witnessed or experienced such vile behavior by a litigant at a court-ordered function in my long career as an attorney and mediator, but plaintiffs' counsel all testifed that neither had they. (Hr'g Tr., Doc. 338, p. 14 at lines 7-12, p. 53 at lines 5-10, p. 55 at lines 15-16.)
Simply put, Francis' behavior was not mediation. It was not posturing. It was violent. Anyone attending that mediation, including Joe Francis himself, could have been injured. I will not permit a litigant in this federal court to exploit an order issued by me for the sole purpose of abusing and threatening another party. As judge, it is my responsibility to ensure the orderly administration of justice in the cases over which [*33] I preside. Code of Conduct for United States Judges, Canon 3A(2) ("A judge . . . should maintain order and decorum in all judicial proceedings.") To Joe Francis, my mediation order was apparently a conduit through which he could threaten and assault the other party and its attorneys under the cloak of confidentiality: Simply put, Francis' behavior was not mediation. It was not posturing. It was violent Anyone attending that mediation, including Joe Francis himself, could have been injured. I will not permit a litigant in this fderal court to exploit an order issued by me for the sole purpose of abusing and threatening another party. As judge, it is my responsibility to ensure the orderly administration of justice in the cases over which [*3311 preside. Code of Conduct for United States Judges, Canon 3A(2) ("A judge . . . should maintain order and decorum in all judicial proceedings.") To Joe Francis, my mediation order was apparently a conduit through which he could threaten and assault the other party and its attorneys under the cloak of confidentiality:
[U]nder no stretch of the
imagination can Mr. Francis' comments and his conduct be construed as being part of the mediation process. I think, to the contrary, he made it clear unequivocally and graphically that he was not there to mediate. imagination can Mr. Francis' comments and his conduct be construed as being part of the mediation process. I think, to the contrary, he made it clear unequivocally and graphically that he was not there to mediate.
. . .
I would characterize Mr. Francis' comments not of anything deserving or intended to foster the purposes of mediation, but rather something you might expect from a drunk fight in the parking lot of a bar at 3:00 in the morning. I would characterize Mr. Francis' comments not of anything deserving or intended to foster the purposes of mediation, but rather something you might expect from a drunk fight in the parking lot of a bar at 3:00 in the morning.
I find that his conduct and his statements were extreme, they were hostile, they were vulgar, they were obscene, and they are unacceptable, not only in just about every setting of our everyday life, Mr. Francis, but they are unacceptable in this court and in any activity required by this court. I find that his conduct and his statements were extreme, they were hostile, they were vulgar, they were obscene, and they are unacceptable, not only in just about every setting of our everyday life, Mr. Francis, but they are unacceptable in this court and in any activity required by this court.
(Hr'g Tr., Doc. 338, p. 73 at lines 3-6, p. 75 at lines 20-25, p. 76 at lines 1-4.) (Hr'g Tr., Doc. 338, p. 73 at lines 3-6, p. 75 at lines 20-25, p. 76 at lines 1-4.)
Defendants attached as [*34] an exhibit to the motion an article published in an alternative dispute resolution journal. See Michael D. Young, Mediation Gone Wild: How Three Minutes Put an ADR Party Behind Bars, 25 Alternatives to the High Cost of Litigation 97, 104-08 (June 2007) (Ex., Doc. 11-5.) In that article, Young raises questions about my rulings. Because (1) Defendants incorporate that article into their motion by attaching it as an exhibit; (2) the questions raised by Young relate to those raised by Defendants in the motion; and (3) my answers to Young's questions may further clarify my rulings, I address some of those questions below. Defendants attached as [*34] an exhibit to the motion an article published in an alternative dispute resolution journal. See Michael D. Young, Mediation Gone Wild: How Three Minutes Put an ADR Party Behind Bars, 25 Alternatives to the High Cost of Litigation 97, 104-08 (June 2007) (Ex., Doc. 11-5.) In that article, Young raises questions about my rulings. Because (1) Defendants incorporate that article into their motion by attaching it as an exhibit; (2) the questions raised by Young relate to those raised by Defendants in the motion; and (3) my answers to Young's questions may further clarify my rulings, I address some of those questions below.
First, Young questions why statements and conduct made during the "mediation" were even admissible at the evidentiary hearing. After all, Young contends, mediation is confidential First, Young questions why statements and conduct made during the "mediation" were even admissible at the evidentiary hearing. Afer all, Young contends, mediation is confdential
As a former mediator, I have the utmost respect for the confidentiality of the mediation process. Indeed, my own scheduling and mediation order stated that the mediation was to be confidential. (Doc. 243 at P 8(h)) As a former mediator, I have the utmost respect for the confidentiality of the mediation process. Indeed, my own scheduling and mediation order stated that the mediation was to be confdential. (Doc. 243 at P 8(h))
("All discussions, representations, and statements made at the mediation conference shall be off the record and privileged as settlement negotiations.") However, the evidence conclusively [*35] demonstrated that this so-called "mediation" was a sham. It did not involve settlement negotiations "under [any] stretch of the imagination." The testimony I sought at the evidentiary hearing in no way related to any confidential statements or conduct that could reasonably be characterized as "settlement negotiations." ("All discussions, representations, and statements made at the mediation conference shall be off the record and privileged as settlement negotiations.") However, the evidence conclusively [*35] demonstrated that this so-called "mediation" was a sham. It did not involve settlement negotiations "under [any] stretch of the imagination." The testimony I sought at the evidentiary hearing in no way related to any confdential statements or conduct that could reasonably be characterized as "settlement negotiations."
No public policy reason exists to protect as privileged Francis' conduct. To permit a recalcitrant litigant to shield his vile and threatening behavior at a court-sanctioned proceeding from judicial review under the guise of confidentiality is tantamount to giving him full license to convert a benign, court-sanctioned event into an unrecognizable and dangerous fracas. This I will not permit. No public policy reason exists to protect as privileged Francis' conduct. To permit a recalcitrant litigant to shield his vile and threatening behavior at a court-sanctioned proceeding from judicial review under the guise of confdentiality is tantamount to giving him full license to convert a benign, court-sanctioned event into an unrecognizable and dangerous fracas. This I will not permit.
Second, Young questions the propriety of my order requiring Francis to even mediate at all. He states that Second, Young questions the propriety of my order requiring Francis to even mediate at all. He states that
[i]s coercion really an appropriate goal when attempting to explore mediation as a means of resolving a litigated dispute? What happened to mediation being a voluntary process aimed at allowing the parties to safely and creatively search for a negotiated resolution? [i]s coercion really an appropriate goal when attempting to explore mediation as a means of resolving a litigated dispute? What happened to mediation being a voluntary process aimed at allowing the parties to safely and creatively search for a negotiated resolution?
(Young, supra, at 105; Ex., Doc. 11-5 at 3.) (Young, supra, at 105; Ex., Doc. 11-5 at 3.)
Fed. R. Civ. P. 16 authorizes a court to take appropriate actions to "facilitat[e] [*36] the settlement of the case." Fed. R. Civ. P. 16(a)(5) & (c)(9). Similarly, N.D. Fla. Loc. R. 16.3(I) requires that Fed. R. Civ. P. 16 authorizes a court to take appropriate actions to "facilitat[e] [*36] the settlement of the case." Fed R. Civ. P. 16(a)(5) & (c)(9). Similarly, N.D. Fla. Loc. R. 16.3(I) requires that
[a]ll litigants in civil cases . . . shall consider the use of mediation as an alternative dispute resolution process at an appropriate stage in the litigation. Any pending civil case may be referred to mediation by the presiding judicial officer at such time as the judicial officer may determine to be in the interests of justice. The parties may request the court to submit any pending civil case to mediation at any time. [a]ll litigants in civil cases shall consider the use of mediation as an alternative dispute resolution process at an appropriate stage in the litigation. Any pending civil case may be referred to mediation by the presiding judicial offcer at such time as the judicial offcer may determine to be in the interests of justice. The parties may request the court to submit any pending civil case to mediation at any time.
The federal and local rules thus impart upon the litigants and the court an obligation to consider and explore the use of settlement and alternative dispute resolution processes, like mediation. The advisory committee notes to Fed. R. Civ. P. 16 explain a court's role in facilitating the resolution of cases through settlement and alternative dispute resolution processes: The federal and local rules thus impart upon the litigants and the court an obligation to consider and explore the use of settlement and alternative dispute resolution processes, like mediation. The advisory committee notes to Fed. R. Civ. P. 16 explain a court's role in facilitating the resolution of cases through settlement and alternative dispute resolution processes:
[I]t has become commonplace to discuss settlement at pretrial conferences. Since it obviously eases crowded court dockets and results in savings to the litigants and the judicial system, settlement should be facilitated at as early a stage of the litigation as possible . . . . A settlement [*37] conference is appropriate at any time. [I]t has become commonplace to discuss settlement at pretrial conferences. Since it obviously eases crowded court dockets and results in savings to the litigants and the judicial system, settlement should be facilitated at as early a stage of the litigation as possible A settlement [*37] conference is appropriate at any time.
. . .
In addition to settlement, Rule 16(c)(7) refers to exploring the use of procedures other than litigation to resolve the dispute. This includes urging the litigants to employ adjudicatory techniques outside the courthouse. See, for example, the experiment described in Green, Marks & Olson, Settling Large Case Litigation: An Alternative Approach, 11 Loyola of L.A.L.Rev. 493 (1978). In addition to settlement, Rule 16(c)(7) refers to exploring the use of procedures other than litigation to resolve the dispute. This includes urging the litigants to employ adjudicatory techniques outside the courthouse. See, for example, the experiment described in Green, Marks & Olson, Settling Large Case Litigation: An Alternative Approach, 11 Loyola of L.A.L.Rev. 493 (1978).
. . .
Even if a case cannot immediately be settled, the judge and attorneys can explore possible use of alternative procedures such as mini-trials, summary jury trials, mediation, neutral evaluation, and nonbinding arbitration that can lead to consensual resolution of the dispute without a full trial on the merits. The rule acknowledges the presence of statutes and local rules or plans that may authorize use of some of these procedures even when not agreed to by the parties. See 28 U.S.C. §§ 473(a)(6), 473(b)(4), 651-58; Section 104(b)(2), Pub. L. 101-650. Even if a case cannot immediately be settled, the judge and attorneys can explore possible use of alternative procedures such as mini-trials, summary jury trials, mediation, neutral evaluation, and nonbinding arbitration that can lead to consensual resolution of the dispute without a full trial on the merits. The rule acknowledges the presence of statutes and local rules or plans that may authorize use of some of these procedures even when not agreed to by the parties. See 28 USC § 473 (a)(6, 473 (b)(4), 651-58; Section 104(b)(2), Pub. L. 101-650.
Advisory Committee Notes to Fed. R. Civ. P. 16. And "[a]lhough it is not the purpose of Rule 16(b)(7) to impose settlement negotiations on unwilling litigants, it is Advisory Committee Notes to Fed. R. Civ. P 16. And "[a]lhough it is not the purpose of Rule 16(b)(7) to impose settlement negotiations on unwilling litigants, it is believed that providing a neutral forum for discussing [*38] the subject might foster it. See Moore's Federal Practice P 16.17; 6 Wright & Miller, Federal Practice and Procedure: Civil § 1522 (1971)." Id. believed that providing a neutral forum for discussing [*38] the subject might foster it. See Moore's Federal Practice P 16.17; 6 Wright & Miller, Federal Practice and Procedure: Civil § 1522 (1971)." Id
If Francis had simply mediated in good faith and an impasse had resulted, he would not have been sanctioned. Indeed, many cases on this Court's dockets do not result in settlement, and parties are not sanctioned. Francis, however, failed to make an attempt at mediation. Worse, he exploited the mediation process for abusive purposes. If Francis had simply mediated in good faith and an impasse had resulted, he would not have been sanctioned. Indeed, many cases on this Court's dockets do not result in settlement, and parties are not sanctioned. Francis, however, failed to make an attempt at mediation. Worse, he exploited the mediation process for abusive purposes.
It is important to note that neither Francis nor his attorneys filed a motion to dispense with the mediation. Even at the evidentiary hearing on the motion for sanctions, Francis' attorneys expressed hope that settlement was a possibility. Had Francis filed a motion to dispense with mediation, I would have considered the reasons stated in the motion, like any other motion filed on the dockets of this Court, and rendered an appropriate ruling. Certainly, had Francis moved to dispense with mediation on the grounds that he would threaten and abuse the other party, I would have taken appropriate measures to prevent that. This Francis and his attorneys failed to do. Instead, Francis chose to attend the "mediation" and [*39] waste the time and money of his adversaries. He made a mockery of himself and of the alternative dispute resolution process. It is important to note that neither Francis nor his attorneys filed a motion to dispense with the mediation. Even at the evidentiary hearing on the motion for sanctions, Francis' attorneys expressed hope that settlement was a possibility. Had Francis fled a motion to dispense with mediation, I would have considered the reasons stated in the motion, like any other motion fled on the dockets of this Court, and rendered an appropriate ruling. Certainly, had Francis moved to dispense with mediation on the grounds that he would threaten and abuse the other party, I would have taken appropriate measures to prevent that. This Francis and his attorneys failed to do. Instead, Francis chose to attend the "mediation" and [*39] waste the time and money of his adversaries. He made a mockery of himself and of the alternative dispute resolution process.
Finally, Young contemplates that "maybe [plaintiffs' motion requesting sanctions] is saying that if a party refuses to negotiate, he or she must do so politely, without being a jackass?" I do not agree that a party is necessarily required to be "polite" at a mediation. As a trial attorney for 32 years, I have attended numerous emotionally-charged mediations. In cases involving deaths and serious injuries, for example, it is not uncommon, nor is it even unreasonable, for litigants to express anger toward each other or to be "impolite." After all, litigants attend a mediation because they are involved in a dispute. Thus, while it may be unreasonable to expect litigants to be "polite" to each other, it is wholly improper and unacceptable for a litigant to behave in such a way that physical violence becomes a real possibility. In other words, Francis' behavior was far worse than "impolite" it was dangerous. Finally, Young contemplates that "maybe [plaintiffs' motion requesting sanctions] is saying that if a party refuses to negotiate, he or she must do so politely, without being a jackass?" I do not agree that a party is necessarily required to be "polite" at a mediation. As a trial attorney for 32 years, I have attended numerous emotionally-charged mediations. In cases involving deaths and serious injuries, for example, it is not uncommon, nor is it even unreasonable, for litigants to express anger toward each other or to be "impolite." Afer all, litigants attend a mediation because they are involved in a dispute. Thus, while it may be unreasonable to expect litigants to be "polite" to each other, it is wholly improper and unacceptable for a litigant to behave in such a way that physical violence becomes a real possibility. In other words, Francis' behavior was far worse than "impolite" it was dangerous.
3. Imprisonment - The Only Effective Coercive Sanction 3. Imprisonment - The Only Effective Coercive Sanction
Defendants next contend that a reasonable person
would perceive me as biased because against them because would perceive me as biased because against them because
[t]his [*40] Court would not to [sic] consider less onerous alternatives other than incarceration to compel compliance with an order to mediate the case and actually commented that Mr. Francis' income of $ 29 Million per year would render any monetary sanction ineffective. The Court's extra-judicial knowledge of this $ 29 million income amount is set forth where the Court stated that it 'takes notice of the information before this court in the related criminal case involving Mantra . . . .' [t]his [*40] Court would not to [sic] consider less onerous alternatives other than incarceration to compel compliance with an order to mediate the case and actually commented that Mr. Francis' income of $ 29 Million per year would render any monetary sanction ineffective. The Court's extra-judicial knowledge of this $ 29 million income amount is set forth where the Court stated that it 'takes notice of the information before this court in the related criminal case involving Mantra ... .'
(Mot., Doc. 11, p. 7 at P 13b.) Mot., Doc. 11, p. 7 at P 13b.)
Once again, that contention is inaccurate. I considered all possible sanctions to compel Francis to comply with my scheduling and mediation order: Once again, that contention is inaccurate. I considered all possible sanctions to compel Francis to comply with my scheduling and mediation order:
THE COURT: Now the Eleventh Circuit has said to enforce a sanctions order for a mediation or settlement conference, that the court may rely on its power to adjudicate defiant parties in civil contempt and impose sanctions ranging from fines to the striking of pleadings. THE COURT: Now the Eleventh Circuit has said to enforce a sanctions order for a mediation or settlement conference, that the court may rely on its power to adjudicate defant parties in civil contempt and impose sanctions ranging from fines to the striking of pleadings.
. . .
And the measure of the court's power in civil contempt proceedings is determined by the requirements of full remedial relief. And this may - may entail the doing of a variety of acts. When fashioning a sanction to secure compliance, the court should consider the character [*41] and magnitude of the harm threatened by the continued contumacy . . . and the probable effectiveness of any suggested sanction in bringing about the result desired. Sanctions may be imposed to coerce the condemnor to comply with the court's order. And the measure of the court's power in civil contempt proceedings is determined by the requirements of full remedial relief. And this may - may entail the doing of a variety of acts. When fashioning a sanction to secure compliance, the court should consider the character [*41] and magnitude of the harm threatened by the continued contumacy and the probable effectiveness of any suggested sanction in bringing about the result desired. Sanctions may be imposed to coerce the condemnor to comply with the court's order.
And a district court has numerous options. Among them, the coercive daily And a district court has numerous options. Among them, the coercive daily fine, a compensatory fine, attorneys' fees and expenses, coercive incarceration and the striking of pleadings and entry of default. Sanctions cannot be greater than necessary to ensure compliance. f ine, a compensatory fne, attorneys' fees and expenses, coercive incarceration and the striking of pleadings and entry of default. Sanctions cannot be greater than necessary to ensure compliance.
(Hr'g Tr., Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 338, p. 81 at lines 8-12, 22-25, p. 82 at lines 1-11.) (Hr'g Tr., Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 338, p. 81 at lines 8-12, 22-25, p. 82 at lines 1-11.)
In weighing the propriety of each sanction, I determined that financial sanctions alone would not be effective in forcing Francis to obey my order: In weighing the propriety of each sanction, I determined that fnancial sanctions alone would not be effective in forcing Francis to obey my order:
And because of the financial situation of Mr. Francis and his totally controlled enterprises, thoroughly documented before this court, and the related criminal case, financial sanctions alone may not be sufficient and are unlikely to cause Mr. Francis to comply with the order of this court . . . . And because of the financial situation of Mr. Francis and his totally controlled enterprises, thoroughly documented before this court, and the related criminal case, f inancial sanctions alone may not be sufficient and are unlikely to cause Mr. Francis to comply with the order of this court ...
(Doc. 338, p. 88 at lines 21-25.) I then concluded that Therefore, coercive incarceration is an appropriate sanction for this [*42] situation. Mr. Francis can cure his contempt and have this sanction of incarceration removed upon his proper participation in mediation. (Doc. 338, p. 88 at lines 21-25.) I then concluded that Therefore, coercive incarceration is an appropriate sanction for this [*42] situation. Mr. Francis can cure his contempt and have this sanction of incarceration removed upon his proper participation in mediation.
(Doc. 338, p. 90 at lines 9-14.)
Defendants appear to contend that it was improper for me to consider Francis' finances in fashioning an effective sanction. Defendants are mistaken. Under the Advisory Committee Notes to Fed. R. Civ. P. 16(f), "a court has discretion to impose whichever sanction it feels is appropriate under the circumstances." The judiciary does not "pick and choose" the litigants that come before it; the unique characteristics of each litigant; or the information that it acquires about each litigant during the course of judicial proceedings. Defendants appear to contend that it was improper for me to consider Francis' fnances in fashioning an effective sanction. Defendants are mistaken. Under the Advisory Committee Notes to Fed. R. Civ. P. 16(f), "a court has discretion to impose whichever sanction it feels is appropriate under the circumstances." The judiciary does not "pick and choose" the litigants that come before it; the unique characteristics of each litigant; or the information that it acquires about each litigant during the course of judicial proceedings.
Defendants fail to cite any legal authority in support of their contention that it was improper for me to consider the information that I judicially obtained about Francis' finances in determining an appropriate coercive sanction. In fact, the authority once again contradicts Defendants' position. See In re Corrugated Container Antitrust Litigation, 614 F.2d 958, 965 (5th Cir. 1980) ("[I]n Defendants fail to cite any legal authority in support of their contention that it was improper for me to consider the information that I judicially obtained about Francis' finances in determining an appropriate coercive sanction. In fact, the authority once again contradicts Defendants' position. See In re Corrugated Container Antitrust Litigation, 614 F.2d 958, 965 (5th Cir. 1980) ("[I]n
numerous cases since the enactment of Section 455(a), courts have held that familiarity with defendants and/or [*43] the facts of a case that arises from earlier participation in judicial proceedings is not sufficient to disqualify a judge from presiding at a later trial."). 8 numerous cases since the enactment of Section 455(a), courts have held that familiarity with defendants and/or [*43] the facts of a case that arises from earlier participation in judicial proceedings is not suffcient to disqualify a judge from presiding at a later trial."). 8
8 In Bonner v. City of Prichard, 661 F.2d 1206 (11th Cir. 1981) (en banc), the Eleventh Circuit adopted all orders of the prior Fifth Circuit entered before October 1, 1981, as binding precedent upon all courts within the Eleventh Circuit. 8 In Bonner v. City of Prichard, 661 F2d 1206 (11th Cir. 1981) (en banc), the Eleventh Circuit adopted all orders of the prior Fifh Circuit entered before October 1, 1981, as binding precedent upon all courts within the Eleventh Circuit.
The more information a court has acquired about a litigant, the more appropriate and reasonable its rulings. When a court is aware of the unique characteristics of the litigants that come before it, the less arbitrary are its decisions. The more information a court has acquired about a litigant, the more appropriate and reasonable its rulings. When a court is aware of the unique characteristics of the litigants that come before it, the less arbitrary are its decisions.
I further note that when I considered Francis' finances in determining that incarceration was the appropriate coercive sanction, Francis' attorneys did not object. Nor did they suggest an alternative sanction to incarceration: I further note that when I considered Francis' f inances in determining that incarceration was the appropriate coercive sanction, Francis' attorneys did not object. Nor did they suggest an alternative sanction to incarceration:
MR. BURKE: [T]he defendants might suggest . . . that if [mediation] occurs, that the contempt - civil contempt be discharged. Otherwise, if at that time the mediator refuses to certify that process has occurred, the marshals take Mr. Francis into custody per the court's order. MR. BURKE: [T]he defendants might suggest .. . that if [mediation] occurs, that the contempt - civil contempt be discharged. Otherwise, if at that time the mediator refuses to certify that process has occurred, the marshals take Mr. Francis into custody per the court's order.
(H'rg Tr., Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 338, [*44] p. 99 at lines 17, 22-25 p. 100 at line 1.) (H'rg Tr., Doe v. Francis, Case No. 5:03cv260-RS-WCS, Doc. 338, [*44] p. 99 at lines 17, 22-25 p. 100 at line 1.)
It is indeed hypocritical that the pending motion requests that I consider reports and commentary in the media - information that is not part of the judicial record as evidence of bias but then charges that it was improper for me to consider information about Francis' finances information that was part of the judicial record - when I determined that incarceration was an appropriate coercive sanction. Defendants cannot have it both ways. When information benefits them, they urge me to consider it; when information does not benefit them, they urge me to reject it as improper. It is indeed hypocritical that the pending motion requests that I consider reports and commentary in the media - information that is not part of the judicial record as evidence of bias but then charges that it was improper for me to consider information about Francis' fnances information that was part of the judicial record - when I determined that incarceration was an appropriate coercive sanction. Defendants cannot have it both ways. When information benefts them, they urge me to consider it; when information does not beneft them, they urge me to reject it as improper.
In hindsight, my decision to incarcerate Francis as a coercive sanction for his failure to participate in good faith in mediation was correct. My mistake was in In hindsight, my decision to incarcerate Francis as a coercive sanction for his failure to participate in good faith in mediation was correct. My mistake was in attempting to accommodate Francis by staying the order of incarceration, at the urging of defense counsel. Mr. Burke stated that an offer had been made by Francis to the plaintiffs but expressed concern that the offer "can't even be communicated, apparently to the plaintiffs. So waiting for a response, particularly without a mediator present to certify it, could be problematic." (Doc. 338., p. 98 at lines 2-6.). [*45] Based on Mr. Burke's representation, I stated: attempting to accommodate Francis by staying the order of incarceration, at the urging of defense counsel. Mr. Burke stated that an offer had been made by Francis to the plaintiffs but expressed concern that the offer "can't even be communicated, apparently to the plaintiffs. So waiting for a response, particularly without a mediator present to certify it, could be problematic." (Doc. 338., p. 98 at lines 2-6.). [*45] Based on Mr. Burke's representation, I stated:
THE COURT: Let me suggest this, Mr. Burke. We still have time today. I will can delay Mr. Francis surrendering to the custody of the U.S. Marshal until 4:30, and that will give you all an opportunity to meet wherever you want. THE COURT: Let me suggest this, Mr. Burke. We still have time today. I will can delay Mr. Francis surrendering to the custody of the U.S. Marshal until 4:30, and that will give you all an opportunity to meet wherever you want.
. . .
I'm affording you the remainder of the afternoon. If things change, I will be here. We'll address a new situation at that time. I'm affording you the remainder of the afternoon. If things change, I will be here. We'll address a new situation at that time.
(Doc. 338, p. 98 at lines 7-10, p. 102 at lines 1-3.)
At 4:30 PM, March 30, 2007, the mediator, Dominic Caparello informed me that negotiations between the parties were progressing. At approximately 4:30 PM on March 31, 2007, Mr. Burke and plaintiffs' counsel informed me that Francis had extended an unconditional offer to the plaintiffs and that the deadline for accepting the offer was April 3, 2007. At 4:30 PM, March 30, 2007, the mediator, Dominic Caparello informed me that negotiations between the parties were progressing. At approximately 4:30 PM on March 31, 2007, Mr. Burke and plaintiffs' counsel informed me that Francis had extended an unconditional offer to the plaintiffs and that the deadline for accepting the offer was April 3, 2007.
On April 4, 2007, Francis taught me the lesson that "no good deed goes unpunished." Mr. Caparello reported to me that after the plaintiffs had timely accepted Francis' unconditional offer, Francis reneged on the offer by adding terms to the agreement that substantially and materially decreased the dollar amount of the offer. In other words, even under a threat of incarceration, Francis had [*46] unlawfully revoked his unconditional offer after it had already been accepted. Francis had also fled. On April 4, 2007, Francis taught me the lesson that "no good deed goes unpunished." Mr. Caparello reported to me that afer the plaintiffs had timely accepted Francis' unconditional offer, Francis reneged on the offer by adding terms to the agreement that substantially and materially decreased the dollar amount of the offer. In other words, even under a threat of incarceration, Francis had [*46] unlawfully revoked his unconditional offer after it had already been accepted. Francis had also fed.
Concerned that Francis was once again defying this Court and playing games with the plaintiffs, I called an emergency hearing on April 4, 2007. Present at the hearing was Francis' defense counsel, Mr. Dickey. At the hearing, Mr. Dickey acknowledged that Francis had extended an unconditional offer that had been timely accepted by the plaintiffs. Mr. Dickey stated that he was "stumped" by what had transpired. "I thought we were Concerned that Francis was once again defying this Court and playing games with the plaintiffs, I called an emergency hearing on April 4, 2007. Present at the hearing was Francis' defense counsel, Mr. Dickey. At the hearing, Mr. Dickey acknowledged that Francis had extended an unconditional offer that had been timely accepted by the plaintiffs. Mr. Dickey stated that he was "stumped" by what had transpired. "I thought we were
really there," he reported. (Doc. 319, p. 7 at P 23.)
Even at that point, I made no attempt to enforce the settlement that had been reached. Mindful that my proper judicial role was not to force settlements, I found instead that Francis' unconditional offer and acceptance by plaintiffs, followed by Francis' reneging on that offer, "undid all of the credit that might have been earned in terms of purging the original contempt." (Doc. 319, p. 7 at P 24.) I then ordered that Francis surrender to the custody of the United States Marshal by 12:00 PM on April 5, 2007. (Doc. 304.) Even at that point, I made no attempt to enforce the settlement that had been reached. Mindful that my proper judicial role was not to force settlements, I found instead that Francis' unconditional offer and acceptance by plaintiffs, followed by Francis' reneging on that offer, "undid all of the credit that might have been earned in terms of purging the original contempt." (Doc. 319, p. 7 at P 24.) I then ordered that Francis surrender to the custody of the United States Marshal by 12:00 PM on Aprils, 2007. (Doc. 304.)
In other words, even under a threat of incarceration, a sanction which Defendants puzzlingly [*47] characterize as far too "onerous," Francis still was determined to defy my orders. Obviously, incarceration was not "onerous" enough a sanction to Francis. Francis' plot to renege on his agreement with the plaintiffs was clearly a pretextual maneuver designed once again to circumvent the judicial process; abuse the plaintiffs; and frustrate the orders of this Court. Such conduct did not demonstrate "good faith" mediation by any conceivable definition. In other words, even under a threat of incarceration, a sanction which Defendants puzzlingly [*471 characterize as far too "onerous," Francis still was determined to defy my orders. Obviously, incarceration was not "onerous" enough a sanction to Francis. Francis' plot to renege on his agreement with the plaintiffs was clearly a pretextual maneuver designed once again to circumvent the judicial process; abuse the plaintiffs; and frustrate the orders of this Court. Such conduct did not demonstrate "good faith" mediation by any conceivable definition.
4. Criminal Contempt: Francis Gone Fugitive
Permanently extinguishing Defendants' contention that incarceration for civil contempt was too "onerous" a sanction, I note that Francis failed to surrender to the custody of the United States Marshal on April 5, 2007, as ordered. (Doc. 304.) I then issued a warrant for his arrest. Although the Eleventh Circuit denied Francis' emergency motion to stay my order of incarceration on April 6, 2007, Francis failed to surrender on April 6. Nor did Francis surrender on April 7, April 8, or April 9. Francis was arrested at the Panama City-Bay County International Airport on April 10, 2007. Permanently extinguishing Defendants' contention that incarceration for civil contempt was too "onerous" a sanction, I note that Francis failed to surrender to the custody of the United States Marshal on April 5, 2007, as ordered. (Doc. 304.) I then issued a warrant for his arrest. Although the Eleventh Circuit denied Francis' emergency motion to stay my order of incarceration on April 6, 2007, Francis failed to surrender on April 6. Nor did Francis surrender on April 7, April 8, or April 9. Francis was arrested at the Panama City-Bay County International Airport on April 10, 2007.
I charged Francis with criminal contempt for violating my order to surrender to federal custody by April 5, 2007. [*48] (Doc. 319.) Francis waived his right to an evidentiary hearing and pled guilty to willfully violating my order to surrender. (Doc. 344.) In sentencing Francis, I wrote that: I charged Francis with criminal contempt for violating my order to surrender to federal custody by April 5, 2007. [*481 (Doc. 319.) Francis waived his right to an evidentiary hearing and pled guilty to willfully violating my order to surrender. (Doc. 344.) In sentencing Francis, I wrote that:
During the five days in which Defendant Francis was a fugitive, Defendant Francis called talk shows from "undisclosed locations," undermined the authority and dignity of the Court, failed, along with his During the fve days in which Defendant Francis was a fugitive, Defendant Francis called talk shows from "undisclosed locations," undermined the authority and dignity of the Court, failed, along with his attorneys, to return calls from federal marshals about his whereabouts and whether he intended to surrender, and the spokesperson of Defendant Francis' corporation was quoted in the newspaper as stating that Defendant Francis was "very busy running a business" and that he had "no intention of honoring the court's order." attorneys, to return calls from federal marshals about his whereabouts and whether he intended to surrender, and the spokesperson of Defendant Francis' corporation was quoted in the newspaper as stating that Defendant Francis was "very busy running a business" and that he had "no intention of honoring the court's order."
. . .
Defendant Francis and his corporations have a history of conflicts with the law and lack of respect for authority. Defendant Francis and his corporations have a history of conflicts with the law and lack of respect for authority.
. . .
I recognize that the law requires me to impose a sentence sufficient, but not greater than necessary, to comply with the purposes of sentencing. I find that the imposition of the sanction of incarceration of 35 days is necessary to vindicate the authority of the Court, to punish Defendant Francis for his disobedience, and to deter Defendant Francis and others from snubbing and [*49] undermining the authority and dignity of the judiciary. A fine in the amount of $ 5,000, the maximum fine permitted for the contempt, is also necessary to reimburse the Marshal Service for the cost of locating Defendant Francis. I recognize that the law requires me to impose a sentence suffcient, but not greater than necessary, to comply with the purposes of sentencing. I fnd that the imposition of the sanction of incarceration of 35 days is necessary to vindicate the authority of the Court, to punish Defendant Francis for his disobedience, and to deter Defendant Francis and others from snubbing and [*491 undermining the authority and dignity of the judiciary. A f ine in the amount of $5,000, the maximum fne permitted for the contempt, is also necessary to reimburse the Marshal Service for the cost of locating Defendant Francis.
(Doc. 344 at 2-4.) (Doc. 344 at 2-4.)
5. Learning To Take Responsibility
The motion next states that
In December 2006, this Court sentenced Mantra Films, Inc., for federal record keeping violations. Although not a requirement for a corporation's sentencing, this Court required Joseph Francis to personally appear and made him read from a victim impact statement by a minor alleging alcohol use. In December 2006, this Court sentenced Mantra Films, Inc., for federal record keeping violations. Although not a requirement for a corporation's sentencing, this Court required Joseph Francis to personally appear and made him read from a victim impact statement by a minor alleging alcohol use.
(Mot., Doc. 11, p. 4 at P 11.)
(Mot., Doc. 11, p. 4 at P 11.)
It is mystifying how an order requiring Francis to personally appear at the sentencing of his corporation after the corporation pled guilty to a ten-count criminal information can be reasonably characterized as evidence of bias. In my order requiring Francis to attend the sentencing, I clearly explained my reasons for requiring his presence: It is mystifying how an order requiring Francis to personally appear at the sentencing of his corporation after the corporation pled guilty to a ten-count criminal information can be reasonably characterized as evidence of bias. In my order requiring Francis to attend the sentencing, I clearly explained my reasons for requiring his presence:
When imposing a sentence, I am required to consider the factors in 18 U.S.C. § 3553(a). The specific factors include: When imposing a sentence, I am required to consider the factors in 18 U.SC § 3553(a). The specifc factors include:
(1) the nature and circumstances of the offense and the history and characteristics of the defendant; [and] (1) the nature and circumstances of the offense and the history and characteristics of the defendant; [and]
(2) [*50] the need for the sentence imposed (2) [*50] the need for the sentence imposed -
(A) to reflect the seriousness of the offense, to promote respect for the law, and to provide just punishment for the offense. (A) to reflect the seriousness of the offense, to promote respect for the law, and to provide just punishment for the offense.
18 U.S.C. § 3553(a)(1) and (2)(A). 18 US.C § 3553 (a) (1) and
It is undisputed by both parties that Defendant corporation is dominated and controlled by Francis. The Plea and Cooperation Agreement states that Francis is the "founder, president, CEO, and sole shareholder of [Mantra Films, Inc.]." (Doc. 4:9 P 7.) In addition, the minutes from the special meeting of the board of directors of Defendant Corporation (Doc. 3) label Francis its "sole director." It appears that the special meeting of the board of directors was convened on the eve of the change of plea hearing for the sole purpose of appointing a stand-in president to enter the guilty pleas on behalf of Defendant corporation so that Francis himself would not be inconvenienced by appearing in court and accepting responsibility. It is undisputed by both parties that Defendant corporation is dominated and controlled by Francis. The Plea and Cooperation Agreement states that Francis is the "founder, president, CEO, and sole shareholder of [Mantra Films, Inc.]." (Doc. 4:9 P 7.) In addition, the minutes from the special meeting of the board of directors of Defendant Corporation (Doc. 3) label Francis its "sole director." It appears that the special meeting of the board of directors was convened on the eve of the change of plea hearing for the sole purpose of appointing a stand-in president to enter the guilty pleas on behalf of Defendant corporation so that Francis himself would not be inconvenienced by appearing in court and accepting responsibility.
(2)(A).
. . .
Having considered the nature and circumstances of the record and labeling crimes to which Defendant corporation has pled guilty and to which I have adjudicated it guilty, as well as the history and characteristics of Defendant corporation under 18 U.S.C. § 3553(a)(1), [*51] I find it appropriate that Francis - the custodian of records, founder, president, CEO, sole shareholder, sole director, and sole officer of Defendant corporation at the time the crimes were committed - must appear before this Court and represent Defendant corporation at the pronouncement of sentence. I further find that requiring Francis' attendance at the sentencing hearing 'promotes respect for the law' in furtherance of 18 U.S.C. § 3553(a)(2)(A). Having considered the nature and circumstances of the record and labeling crimes to which Defendant corporation has pled guilty and to which I have adjudicated it guilty, as well as the history and characteristics of Defendant corporation under 18 U.SC § 3553(a)(1), [*5111 find it appropriate that Francis - the custodian of records, founder, president, CEO, sole shareholder, sole director, and sole officer of Defendant corporation at the time the crimes were committed - must appear before this Court and represent Defendant corporation at the pronouncement of sentence. I further find that requiring Francis' attendance at the sentencing hearing 'promotes respect for the law' in furtherance of 18 U.SC § 3 5 53 (a) (2)
(A).
(United States v. Mantra Films, Inc., Case No. 5:06cr78, Doc. 9.) (United States v. Mantra Films, Inc., Case No. 5:06cr78, Doc. 9.)
In other words, it was wholly appropriate that Francis appear at the sentencing of his corporation. The law recognizes that a corporation can act only through individuals. See, e.g., Union Pacific Coal Co. v. United States, 173 F. 737, 745 (8th Cir. 1909). In this case, Francis' corporation, Mantra Films, was his alter ego. Francis exercised complete and total dominion and control over the corporation. It was therefore proper that Francis personally attend the sentencing of his corporation and accept responsibility for the federal crimes to which the corporation pled guilty. In other words, it was wholly appropriate that Francis appear at the sentencing of his corporation. The law recognizes that a corporation can act only through individuals. See, e.g., Union Pacifc Coal Co. v. United States, 173 F. 737, 745 (8th Cir. 1909). In this case, Francis' corporation, Mantra Films, was his alter ego. Francis exercised complete and total dominion and control over the corporation. It was therefore proper that Francis personally attend the sentencing of his corporation and accept responsibility for the federal crimes to which the corporation pled guilty.
Francis had previously shirked responsibility for the crimes committed by his corporation by formally [*52] appointing, on the eve of the guilty plea hearing, a president of the corporation. It was reasonable to assume that the president was appointed for a single purpose - to appear in court and enter the plea of guilty so as not to inconvenience Francis. Francis had previously shirked responsibility for the crimes committed by his corporation by formally [*52] appointing, on the eve of the guilty plea hearing, a president of the corporation. It was reasonable to assume that the president was appointed for a single purpose - to appear in court and enter the plea of guilty so as not to inconvenience Francis.
By attending the sentencing hearing, Francis should have learned a valuable lesson: the lesson of taking responsibility. Had the actors been different - a different corporation and a different custodian of records, founder, president, CEO, sole shareholder, sole director, and sole officer of that corporation - I would have likewise required the attendance of that person at the sentencing By attending the sentencing hearing, Francis should have learned a valuable lesson: the lesson of taking responsibility. Had the actors been different - a different corporation and a different custodian of records, founder, president, CEO, sole shareholder, sole director, and sole officer of that corporation - I would have likewise required the attendance of that person at the sentencing
hearing for that corporation. Given that Francis now complains that I should not have required him to attend the sentencing, it appears that my efforts to counsel him on responsibility may have been for naught. hearing for that corporation. Given that Francis now complains that I should not have required him to attend the sentencing, it appears that my efforts to counsel him on responsibility may have been for naught.
It is indeed concerning that Francis minimizes the federal crimes to which his corporation pled guilty by characterizing them as mere "record keeping violations." Congress would beg to differ. The assistant United States Attorney stated at the criminal sentencing hearing: It is indeed concerning that Francis minimizes the federal crimes to which his corporation pled guilty by characterizing them as mere "record keeping violations." Congress would beg to differ. The assistant United States Attorney stated at the criminal sentencing hearing:
MS. MORROW: You know, Your Honor, from the presentence report at paragraph 14, [*53] page 6, that in addition to flashing, Mantra Films would film girls, including girls as young as 17 years of age, masturbating themselves and each other, engaged in oral sex, engaged in simulated oral sex. MS. MORROW: You know, Your Honor, from the presentence report at paragraph 14, [*531 page 6, that in addition to flashing, Mantra Films would f ilm girls, including girls as young as 17 years of age, masturbating themselves and each other, engaged in oral sex, engaged in simulated oral sex.
The United States is here, Your Honor, because this corporation filmed and released footage of girls as young as 17, without doing what the law requires to protect against performers in sexually explicit conduct beneath the federal age of majority, and that is to vigilantly obtain and maintain proof that those girls did meet that federal age of majority; that they were minimally 18 years of age. The United States is here, Your Honor, because this corporation flmed and released footage of girls as young as 17, without doing what the law requires to protect against performers in sexually explicit conduct beneath the federal age of majority, and that is to vigilantly obtain and maintain proof that those girls did meet that federal age of majority; that they were minimally 18 years of age.
. . .
We're here, Your Honor, because the federal law intends to protect sometimes 17-year-olds against their own impulses; requires people like Mantra Films, and Mr. Francis, to make sure that they are old enough to do what they are being filmed doing. We're here, Your Honor, because the federal law intends to protect sometimes 17-year-olds against their own impulses; requires people like Mantra Films, and Mr. Francis, to make sure that they are old enough to do what they are being flmed doing.
We ask the court to keep in mind, Your Honor, that this isn't just a one-time proverbial, big mistake. This is not just an aberration. You know, Your Honor, from Counts 1 through 3 of the indictment, there were three separate films, and two girls, both of whom submitted statements declaring to the court how this affected them. You know from the [*54] seven remaining counts . . . that there were seven We ask the court to keep in mind, Your Honor, that this isn't just a one-time proverbial, big mistake. This is not just an aberration. You know, Your Honor, from Counts 1 through 3 of the indictment, there were three separate films, and two girls, both of whom submitted statements declaring to the court how this affected them. You know from the [*541 seven remaining counts ... that there were seven different films that had been marketed for distribution by this corporation. different flms that had been marketed for distribution by this corporation.
So we would urge the court, Your Honor, not to simply look at this conduct of Mantra Films as merely a paperwork or a regulatory violation of the law. So we would urge the court, Your Honor, not to simply look at this conduct of Mantra Films as merely a paperwork or a regulatory violation of the law.
(Hr'g Tr., United States v. Mantra Films, Inc., Case No. 5:06cr78, Doc. 34, p. 6 at lines 11-22, p. 7 at lines 5-21.) (Hr'g Tr., United States v. Mantra Films, Inc., Case No. 5:06cr78, Doc. 34, p. 6 at lines 11-22, p. 7 at lines 5-21.)
Francis' complaints about the unfairness of having to read a victim statement at the sentencing of his corporation are baseless as well. Because Francis apparently believes, quite disturbingly, that the minors who appeared in the videos from which he profits were at fault, not he, it was necessary and proper as the sentencing judge to attempt to challenge his thinking about the crimes to which his corporation pled guilty and for which it was about to be sentenced: Francis' complaints about the unfairness of having to read a victim statement at the sentencing of his corporation are baseless as well. Because Francis apparently believes, quite disturbingly, that the minors who appeared in the videos from which he profts were at fault, not he, it was necessary and proper as the sentencing judge to attempt to challenge his thinking about the crimes to which his corporation pled guilty and for which it was about to be sentenced:
DEFENDANT FRANCIS:
Because these girls lied about their age, they were able to get in our videos, and that's what happened here. these girls led about their age, they were able to get in our videos, and that's what happened here.
DEFENDANT FRANCIS: Because
THE COURT: You know that might happen, don't you? THE COURT: You know that might happen, don't you?
DEFENDANT FRANCIS: No well, we've implemented a lot of - I never would have dreamed this would have happened with all the - with all of the - all the things we [*55] had in place to prevent this from happening. DEFENDANT FRANCIS: No well, we've implemented a lot of - I never would have dreamed this would have happened with all the - with all of the - all the things we [*551 had in place to prevent this from happening.
THE COURT: Mr. Francis, in the last year there was a very prominently publicized study about the development of the brain of young people, and it pretty well confirmed what all of us parents know, that the judgment function of a young person's brain really doesn't get fully developed until sometime in their twenties. Doesn't take a real brave man to go out and corner some young female who has had four or five beers in the middle of spring break and convince them to do something dumb. THE COURT: Mr. Francis, in the last year there was a very prominently publicized study about the development of the brain of young people, and it pretty well confirmed what all of us parents know, that the judgment function of a young person's brain really doesn't get fully developed until sometime in their twenties. Doesn't take a real brave man to go out and corner some young female who has had four or five beers in the middle of spring break and convince them to do something dumb.
Now read the statement, please, so we
make sure that you have read it and presumably understand it. make sure that you have read it and presumably understand it.
DEFENDANT FRANCIS: We go to war at 18 years old, Your Honor, so DEFENDANT FRANCIS: We go to war at 18 years old, Your Honor, so -
THE COURT: Mr. Francis, read the statement. THE COURT: Mr. Francis, read the statement.
DEFENDANT FRANCIS: - I don't think those kids are dumb. DEFENDANT FRANCIS: - I don't think those kids are dumb.
THE COURT: Mr. Francis, read the statement. THE COURT: Mr. Francis, read the statement.
DEFENDANT FRANCIS: "As a victim affected by this crime, I have suffered both socially and psychologically. At the young age of 17 I was manipulated and deceived and ultimately sexually exposed. To this day I am tormented by the event and suffer from feelings of shame, guilt and even social anxiety. Since release of the video, I have endured tremendous amounts of [*56] humiliation because of the way my friends and family saw me portrayed. It was difficult for them to look at me the same way, and I have taken years to restore the relationships relationships that are special and dear to me. Years have gone by, but the memories of being sexually exploited still surface and traumatize me." DEFENDANT FRANCIS: "As a victim affected by this crime, I have suffered both socially and psychologically. At the young age of 17 I was manipulated and deceived and ultimately sexually exposed. To this day I am tormented by the event and suffer from feelings of shame, guilt and even social anxiety. Since release of the video, I have endured tremendous amounts of [*56] humiliation because of the way my friends and family saw me portrayed. It was diffcult for them to look at me the same way, and I have taken years to restore the relationships relationships that are special and dear to me. Years have gone by, but the memories of being sexually exploited still surface and traumatize me."
(Hr'g Tr., United States v. Mantra Films, Inc., Case No. 5:06cr78, Doc. 34, p. 11 at lines 23-25, p. 12 at lines 1-25, p. 13 at lines 1-8.) I note once again that neither Francis nor defense counsel objected to my order requiring that Francis read the victim impact statement. In fact, later during the sentencing hearing, after Francis had read aloud the victim impact statement, defense counsel stated: (Hr'g Tr., United States v. Mantra Films, Inc., Case No. 5:06cr78, Doc. 34, p. 11 at lines 23-25, p. 12 at lines 1-25, p. 13 at lines 1-8.) I note once again that neither Francis nor defense counsel objected to my order requiring that Francis read the victim impact statement. In fact, later during the sentencing hearing, afer Francis had read aloud the victim impact statement, defense counsel stated:
MR. DYER: And we understand Your Honor's concern with the impact on the victims and the role that they played. MR. DYER: And we understand Your Honor's concern with the impact on the victims and the role that they played.
(Hr'g Tr., United States v. Mantra Films, Inc., Case No. 5:06cr78, Doc. 34, p. 15 at lines 4-5.) It is indeed puzzling how Francis can properly characterize, as evidence of bias, a directive from me to which he did not object and which his own attorney apparently agreed was (Hr'g Tr., United States v. Mantra Films, Inc., Case No. 5:06cr78, Doc. 34, p. 15 at lines 4-5.) It is indeed puzzling how Francis can properly characterize, as evidence of bias, a directive from me to which he did not object and which his own attorney apparently agreed was proper. Francis' frivolous attempts to insulate himself from accepting responsibility for [*57] the unlawful conduct of his corporation are appalling. proper. Francis' frivolous attempts to insulate himself from accepting responsibility for [*57] the unlawful conduct of his corporation are appalling.
Francis also cries foul on the basis that:
Neither the study cited by the Court, nor the allegation in the Court's statement (that Joseph Francis cornered a young female and convinced her to do something dumb) appeared in the record of that case, which was a case about record-keeping violations. The facts were not alleged, proven by the Government, or admitted by the Defendants. Neither the study cited by the Court, nor the allegation in the Court's statement (that Joseph Francis cornered a young female and convinced her to do something dumb) appeared in the record of that case, which was a case about record-keeping violations. The facts were not alleged, proven by the Government, or admitted by the Defendants.
(Mot., Doc. 11, p. 4-5 at P 11b.) Again, for the reasons already set forth, Francis' efforts to minimize the crimes to which his corporation pled guilty by labeling them "record-keeping violations" is disturbing. (Mot., Doc. 11, p. 4-5 at P l lb.) Again, for the reasons already set forth, Francis' efforts to minimize the crimes to which his corporation pled guilty by labeling them "record-keeping violations" is disturbing.
Further, it is telling that Francis does not complain that my comments to him were untruthful or inaccurate. Francis simply contends that "[t]he Court's knowledge or belief that Joseph Francis was responsible for such behavior may have been the results of reading the newspaper or due to reviewing the file for a separate criminal case or a separate civil case." (Mot., Doc. 11, p. 5 at P 11c.). Here again, when allegedly extrajudicial information is prejudicial to Francis, he urges that I reject it as improper; when such information benefits Francis, [*58] he urges that I consider it. Further, it is telling that Francis does not complain that my comments to him were untruthful or inaccurate. Francis simply contends that "[t]he Court's knowledge or belief that Joseph Francis was responsible for such behavior may have been the results of reading the newspaper or due to reviewing the fle for a separate criminal case or a separate civil case." (Mot., Doc. 11, p. 5 at P 1 ic.). Here again, when allegedly extrajudicial information is prejudicial to Francis, he urges that I reject it as improper; when such information benefts Francis, [*58] he urges that I consider it.
Based on Francis' responses to my comments, a reasonable observer could well conclude that the factual basis for the comments was accurate for two reasons. First, I note that Francis did respond to my comments without objection from his attorneys or himself. Based on Francis' responses to my comments, a reasonable observer could well conclude that the factual basis for the comments was accurate for two reasons. First, I note that Francis did respond to my comments without objection from his attorneys or himself.
Second, in his responses, it is noteworthy that Francis seemed to acknowledge the accuracy of the facts on which my opinion rested (cornering drunk women on spring break) but not my ultimate conclusion (it doesn't take a brave man to convince them to do something dumb) as demonstrated by his responses that "[w]e go to war at 18 years old," and "I don't think those kids are dumb." In other words, by disputing my opinion but not the factual premise on which that opinion was based, a reasonable inference could be drawn that Francis agreed with the accuracy of that factual premise (that he corners drunk women on spring break). Francis' apparent position Second, in his responses, it is noteworthy that Francis seemed to acknowledge the accuracy of the facts on which my opinion rested (cornering drunk women on spring break) but not my ultimate conclusion (it doesn't take a brave man to convince them to do something dumb) as demonstrated by his responses that "[w]e go to war at 18 years old," and "I don't think those kids are dumb." In other words, by disputing my opinion but not the factual premise on which that opinion was based, a reasonable inference could be drawn that Francis agreed with the accuracy of that factual premise (that he corners drunk women on spring break). Francis' apparent position
is simply that he is not responsible for the minors' behaviors because they are not "dumb" and "go to war at 18." I cannot properly find a reasonable perception of bias where the complainant fails to dispute the accuracy of my observations both (1) at the [*59] time the comments were made and (2) in the pending motion. is simply that he is not responsible for the minors' behaviors because they are not "dumb" and "go to war at 18." I cannot properly find a reasonable perception of bias where the complainant fails to dispute the accuracy of my observations both (1) at the [*59] time the comments were made and (2) in the pending motion.
In any event, I note that Francis does not contend that the actual sentence I imposed on his corporation was excessive or otherwise indicative of bias. In fact, the sentence was affirmed on appeal. See United States v. Mantra Films, Inc., 240 Fed. Appx. 372, 2007 WL 2509852 (11th Cir. September 6, 2007) (unpublished). In any event, I note that Francis does not contend that the actual sentence I imposed on his corporation was excessive or otherwise indicative of bias. In fact, the sentence was affirmed on appeal. See United States v. Mantra Films, Inc., 240 Fed. Appx. 372, 2007 WL 2509852 (11th Cir. September 6, 2007) (unpublished).
As his final claim of bias, Francis states that As his fnal claim of bias, Francis states that
The Court made similar comments on March 14, 2007, when the cameraman[, Mark Schmitz,] who had been charged for the same filming and record-keeping violation was sentenced. This Court questioned the cameraman about whether he had a daughter. The Court made similar comments on March 14, 2007, when the cameraman[, Mark Schmitz,] who had been charged for the same filming and record-keeping violation was sentenced. This Court questioned the cameraman about whether he had a daughter.
When the cameraman answered in the affirmative the Court stated: When the cameraman answered in the affirmative the Court stated:
And maybe that appreciation will help you understand why society considers what you were involved with[,] with Girls Gone Wild[,] to be so reprehensible is because I think for those of us who have had young daughters have a particular understanding of how special they can be, and if you have the idea that one of them has been hurt in any way, even though it may have been their stupidity that contributed to it, it just really - I hope you have some appreciation for it, [*60] even though the offenses that were the subject of the plea and cooperation agreement are essentially record-keeping violations; that you understand now, maybe better, that you've been involved in raising a young girl, why this seems to be so serious to so many people. And maybe that appreciation will help you understand why society considers what you were involved with[,] with Girls Gone Wild[,] to be so reprehensible is because I think for those of us who have had young daughters have a particular understanding of how special they can be, and if you have the idea that one of them has been hurt in any way, even though it may have been their stupidity that contributed to it, it just really - I hope you have some appreciation for it, [*60] even though the offenses that were the subject of the plea and cooperation agreement are essentially record-keeping violations; that you understand now, maybe better, that you've been involved in raising a young girl, why this seems to be so serious to so many people.
. . .
In that same hearing, the Court went on, after sentencing the cameraman to In that same hearing, the Court went on, after sentencing the cameraman to three years of probation, to explain to the cameraman that he must comply with conditions of supervision, including a special condition that he shall not commit another federal, state, or local crime during the term of probation. three years of probation, to explain to the cameraman that he must comply with conditions of supervision, including a special condition that he shall not commit another federal, state, or local crime during the term of probation.
When explaining that condition to the cameraman, the Court said, "That means you probably have to stay a continent away from Joe Francis." When explaining that condition to the cameraman, the Court said, "That means you probably have to stay a continent away from Joe Francis."
(Mot., Doc. 11, p. 5-6 at P 12a.-c.)
Again, I find that my comments were proper. My statements were intended to reflect what Schmitz had already conveyed to me earlier at his sentencing hearing: Again, I fnd that my comments were proper. My statements were intended to reflect what Schmitz had already conveyed to me earlier at his sentencing hearing:
THE DEFENDANT: Yes. Basically, I understand what I did was wrong, and I do apologize for that. There was - for me at the time, with working with Mr. Francis, I oversaw some moral judgments that I should have made with the type of work I was in. And I wouldn't have done that today if I had the [*61] chance to do it over, for the pure reason of the moral aspect of what I was filming. THE DEFENDANT: Yes. Basically, I understand what I did was wrong, and I do apologize for that. There was - for me at the time, with working with Mr. Francis, I oversaw some moral judgments that I should have made with the type of work I was in. And I wouldn't have done that today if I had the [*61] chance to do it over, for the pure reason of the moral aspect of what I was filming.
I did not know the girls were under age, and I would have never filmed them if I did know that. But, the whole job in itself was not a good job, and knowing that, and knowing the type of person that Joe Francis was after I met him. I did not know the girls were under age, and I would have never filmed them if I did know that. But, the whole job in itself was not a good job, and knowing that, and knowing the type of person that Joe Francis was after I met him.
(Hr'g Tr., United States v. Schmitz, Case No. 5:06cr81, Doc. 35, p. 5 at lines 15-25.) (Hr'g Tr., United States v. Schmitz, Case No. 5:06cr81, Doc. 35, p. 5 at lines 15-25.)
Thus, it was Schmitz who expressed the desire to avoid further associations with Girls Gone Wild and Joe Francis. My admonition to "stay a continent away from Joe Francis" simply reflected Schmitz's own revelation. Indeed, at the time Schmitz was sentenced, Francis' corporation had already pled guilty to having committed ten federal crimes. That knowledge, in conjunction with my prior dealings with Francis as a contemptuous litigant, reasonably justified my admonition to Schmitz to avoid Joe Francis. Francis would be well-served to contemplate the following observation by Logan Pearsall Smith: "Our names are labels, plainly printed on the Thus, it was Schmitz who expressed the desire to avoid further associations with Girls Gone Wild and Joe Francis. My admonition to "stay a continent away from Joe Francis" simply refected Schmitz's own revelation. Indeed, at the time Schmitz was sentenced, Francis' corporation had already pled guilty to having committed ten federal crimes. That knowledge, in conjunction with my prior dealings with Francis as a contemptuous litigant, reasonably justifed my admonition to Schmitz to avoid Joe Francis. Francis would be well-served to contemplate the following observation by Logan Pearsall Smith: "Our names are labels, plainly printed on the
bottled essence of our past behaviors."
My comments to Schmitz about the seriousness of the offense to which he pled guilty, like my comments to Francis, [*62] were intended to impress upon Schmitz the gravity of the federal crime he acknowledged having committed. My statements reinforced the comments made earlier at Schmitz's sentencing hearing by the Assistant United States Attorney: My comments to Schmitz about the seriousness of the offense to which he pled guilty, like my comments to Francis, [*621 were intended to impress upon Schmitz the gravity of the federal crime he acknowledged having committed. My statements reinforced the comments made earlier at Schmitz's sentencing hearing by the Assistant United States Attorney:
THE COURT: Does the government have any comments about sentence? THE COURT: Does the government have any comments about sentence?
MR. WARD: Well, Your Honor, thank you. Whatever can be said about Mr. Francis - and a lot can be said about him for setting this whole process in motion - it is nevertheless true that Mr. Schmitz was situated sort of right where the tire meets the road. He was the one that was here in Panama City, and he was the one who actually went out and recruited these two underage girls, plied them with liquor to compromise their capacity, which to some extent by their age was already compromised, persuaded them to go to the hotel room to disrobe to participate in the conduct that was depicted in the film, and in the court of that, I believe, Your Honor, he persuaded them to do things that initially they resisted doing. MR. WARD: Well, Your Honor, thank you. Whatever can be said about Mr. Francis - and a lot can be said about him for setting this whole process in motion - it is nevertheless true that Mr. Schmitz was situated sort of right where the tire meets the road. He was the one that was here in Panama City, and he was the one who actually went out and recruited these two underage girls, plied them with liquor to compromise their capacity, which to some extent by their age was already compromised, persuaded them to go to the hotel room to disrobe to participate in the conduct that was depicted in the flm, and in the court of that, I believe, Your Honor, he persuaded them to do things that initially they resisted doing.
And the result is, of course, that they are now on film forever more in ways that will victimize them over and over and over again. I think the court has received a letter from one of them in [*63] a companion case to know what their feelings are about that. And the result is, of course, that they are now on film forever more in ways that will victimize them over and over and over again. I think the court has received a letter from one of them in [*631 a companion case to know what their feelings are about that.
So it's a very serious matter. And that's why this statute is not just merely a regulatory statute. It is a statute designed to protect the lives, the honor, the virtue of young women who are under age especially. So it's a very serious matter. And that's why this statute is not just merely a regulatory statute. It is a statute designed to protect the lives, the honor, the virtue of young women who are under age especially.
And so for that reason, although we submit the matter of sentencing to the discretion of the court, we want to make And so for that reason, although we submit the matter of sentencing to the discretion of the court, we want to make
this clear on the record that we view this as a serious offense. this clear on the record that we view this as a serious offense.
(Hr'g Tr., United States v. Schmitz, Case No. 5:06cr81, Doc. 35, p. 11 at lines 5-25, p. 12 at lines 1-6.) My specific comment about parenthood was prompted by my dialogue with Schmitz: (Hr'g Tr., United States v. Schmitz, Case No. 5:06cr81, Doc. 35, p. 11 at lines 5-25, p. 12 at lines 1-6.) My specifc comment about parenthood was prompted by my dialogue with Schmitz:
THE COURT: Mr. Schmitz, I see that you have helped raise your fiance's daughter, is that it? THE COURT: Mr. Schmitz, I see that you have helped raise your fance's daughter, is that it?
THE DEFENDANT: Yes, Your Honor. THE DEFENDANT: Yes, Your Honor.
THE COURT: Essentially playing the role of a father? THE COURT: Essentially playing the role of a father?
THE DEFENDANT: Yes, Your Honor. She's been with me since she was eight months old. She's lived with me ever since. I moved her out to Hawaii with me and we've lived ever since together, along with my boy. THE DEFENDANT: Yes, Your Honor. She's been with me since she was eight months old. She's lived with me ever since. I moved her out to Hawaii with me and we've lived ever since together, along with my boy.
THE COURT: I hope you are - have now developed some sense of the appreciation of having a daughter. THE COURT: I hope you are - have now developed some sense of the appreciation of having a daughter.
THE DEFENDANT: Yes, Your Honor, I have. THE DEFENDANT: Yes, Your Honor, I have.
THE COURT: And maybe that appreciation will help [*64] you understand why society considers what you were involved with with Girls Gone Wild to be so reprehensible . . . THE COURT: And maybe that appreciation will help [*641 you understand why society considers what you were involved with with Girls Gone Wild to be so reprehensible ...
(Hr'g Tr., United States v. Schmitz, Case No. 5:06cr81, Doc. 35, p. 13 at lines 5-18.) (Hr'g Tr., United States v. Schmitz, Case No. 5:06cr81, Doc. 35, p. 13 at lines 5-18.)
As the sentencing judge, it is proper that I appropriately impress upon defendants the seriousness of their offenses. When a defendant has pled guilty to a crime, the constitutional presumption of innocence evaporates. When I impose sentence, I am then required, by statute, to promote respect for the law; to afford adequate deterrence to criminal conduct; and to protect the public from further crimes of the defendant. 18 U.S.C. § 3553(a)(2)(A), (B) & (C). It is also my duty to state in open court the reasons for imposing each particular sentence. 18 U.S.C. § 3553(c). My conversations with As the sentencing judge, it is proper that I appropriately impress upon defendants the seriousness of their offenses. When a defendant has pled guilty to a crime, the constitutional presumption of innocence evaporates. When I impose sentence, I am then required, by statute, to promote respect for the law; to afford adequate deterrence to criminal conduct; and to protect the public from further crimes of the defendant. 18 USC § 3553(a)(2)(A), (B) & (C. It is also my duty to state in open court the reasons for imposing each particular sentence. 18 U.SC § 3553(c). My conversations with
Francis and Schmitz were intended to fulfill my statutory obligations. Francis and Schmitz were intended to fulfll my statutory obligations.
D. Final Statements
The law within the courts of this circuit is clear: "[T]here is as much obligation for a judge not to recuse when there is no occasion for him to do so as there is for him to do so when there is." Carter v. West Publ'g Co., 1999 U.S. App. LEXIS 38480, at *7 (11th Cir. 1999) (quoting Hinman v. Rogers, 831 F.2d 937, 939 (10th Cir. 1987)). [*65] "[A] judge, having been assigned to a case, should not recuse himself on unsupported, irrational, or highly tenuous speculation." United States v. Greenough, 782 F.2d 1556, 1558 (11th Cir. 1986); see also United States v. Cerceda, 188 F.3d 1291, 1999 WL 716835, at *2 (11th Cir. 1999). See generally Richard E. Flamm, Judicial Disqualification § 24.2.2 (1996). Indeed, it is my duty as the sole district judge in the Panama City Division of this Court to preside over the cases that are assigned to me. N.D. Fla. Loc. R. 3.1 ("All civil cases in which venue properly lies in a division of this district, and all criminal cases in which the offense was committed in a division of this district, shall be filed in that division and shall remain pending in that division until final disposition."); Code of Judicial Conduct Canon 3(A)(2) ("A judge should hear and decide matters assigned, unless disqualified."). The law within the courts of this circuit is clear: "[T]here is as much obligation for a judge not to recuse when there is no occasion for him to do so as there is for him to do so when there is." Carter v. West Publ'g Co., 1999 U.S App. LEXIS 38480, at *7 (11th Cir. 1999) (quoting Hinman v. Rogers, 831 F2d 937 939 (10th Cir. 1987)). [*65] "[A] judge, having been assigned to a case, should not recuse himself on unsupported, irrational, or highly tenuous speculation." United States v. Greenough, 782 F.2d 1556, 1558 (11th Cir. 1986); see also United States v. Cerceda, 188 F.3d 1291, 1999 WL 716835, at *2 (11th Cir. 1999). See generally Richard E. Flamm, Judicial Disqualifcation § 24.2.2 (1996). Indeed, it is my duty as the sole district judge in the Panama City Division of this Court to preside over the cases that are assigned to me. N.D. Fla. Loc. R. 3.1 ("All civil cases in which venue properly les in a division of this district, and all criminal cases in which the offense was committed in a division of this district, shall be fled in that division and shall remain pending in that division until fnal disposition."); Code of Judicial Conduct Canon 3 (A)(2) ("A judge should hear and decide matters assigned, unless disqualifed.").
When ruling on a motion to disqualify, a judge must be ever cautious of "the need to prevent parties from . . . manipulating the system for strategic reasons, perhaps to obtain a judge more to their liking." Carter, 1999 U.S. App. LEXIS 38480 at *7-*8 (quoting FDIC v. Sweeney, 136 F.3d 216, 220 (1st Cir. 1998)) [*66] (internal quotation marks omitted). The congressional framers of the disqualification statute, § 455(a), cautioned against its misuse: When ruling on a motion to disqualify, a judge must be ever cautious of "the need to prevent parties from ... manipulating the system for strategic reasons, perhaps to obtain a judge more to their liking." Carter, 1999 U.S App. LEXIS 38480 at *7-*8 (quoting FDIC v. Sweeney, 136 F.3d 216, 220 (1st Cir. 1998)) [*66] (internal quotation marks omitted). The congressional framers of the disqualifcation statute, § 455(a), cautioned against its misuse:
[E]ach judge must be alert to avoid the possibility that those who would question his impartiality are in fact seeking to avoid the consequences of his expected adverse decision. Disqualification must have a reasonable basis. Nothing in [the statute] should be read to warrant the transformation of a litigant's fear that a judge may decide a question against him into a "reasonable fear" that the judge will not be impartial. Litigants ought not to [E]ach judge must be alert to avoid the possibility that those who would question his impartiality are in fact seeking to avoid the consequences of his expected adverse decision. Disqualifcation must have a reasonable basis. Nothing in [the statute] should be read to warrant the transformation of a litigant's fear that a judge may decide a question against him into a "reasonable fear" that the judge will not be impartial. Litigants ought not to have to face a judge where there is a reasonable question of impartiality, but they are not entitled to a judge of their own choice. have to face a judge where there is a reasonable question of impartiality, but they are not entitled to a judge of their own choice.
H.R. Rep. No. 93-1453 (1974), reprinted in 1974 U.S.C.C.A.N. 6351, 6355. H.R. Rep. No. 93-1453 (1974), reprinted in 1974 U.S.C.C.A.N. 6351, 6355.
To require that judges disqualify themselves unnecessarily is to encourage litigants "to advance speculative and ethereal arguments for recusal and thus arrogate to themselves a veto power over the assignment of judges." Thomas v. Trustees of Columbia Univ., 30 F. Supp. 2d 430, 431 (S.D.N.Y. 1998). As the Seventh Circuit has aptly observed: To require that judges disqualify themselves unnecessarily is to encourage litigants "to advance speculative and ethereal arguments for recusal and thus arrogate to themselves a veto power over the assignment of judges." Thomas v. Trustees of Columbia Univ., 30 F Supp. 2d 430, 431 (S.D.NY 1998). As the Seventh Circuit has aptly observed:
A judge who removes himself whenever a party asks is giving that party [*67] a free strike, and Congress rejected proposals . . . to allow each party to remove a judge at the party's option. A judge who removes himself whenever a party asks is giving that party [*67] a free strike, and Congress rejected proposals to allow each party to remove a judge at the party's option.
New York City Housing Dev. Corp. v. Hart, 796 F.2d 976, 981 (7th Cir. 1986); see also H.R. Rep. No. 93-1453 (1974), reprinted in 1974 U.S.C.C.A.N. 6351, 6355. New York City Housing Dev. Corp. v. Hart, 796 F2d 976, 981 (7th Cir. 1986); see also H.R. Rep. No. 93-1453 (1974), reprinted in 1974 U.S.C.C.A.N. 6351, 6355.
Here, every contention asserted by Defendants in support of their request for disqualification has been thoroughly addressed and laid to rest. It is indeed ironic that Defendants state: "This Court requires all litigants before [it] to abide by strict rules of conduct and deserves the respect due to this Court. In return, however, all litigants expect to receive the application of even-handed impartiality." (Mot., Doc. 11, p. 17 at P 53-54.) The truth is that Defendants have failed to abide by this Court's "rules of conduct." Defendants have not expected "to receive the application of even-handed impartiality"; rather, they have endeavored to exploit or avoid the directives of this Court in an effort to unfairly favor themselves. They have assaulted members of the bar and the judiciary and have waged a campaign to cast shame and disrepute on this Court. Here, every contention asserted by Defendants in support of their request for disqualifcation has been thoroughly addressed and laid to rest. It is indeed ironic that Defendants state: "This Court requires all litigants before [it] to abide by strict rules of conduct and deserves the respect due to this Court. In return, however, all litigants expect to receive the application of even-handed impartiality." (Mot., Doc. 11, p. 17 at P 53-54.) The truth is that Defendants have failed to abide by this Court's "rules of conduct." Defendants have not expected "to receive the application of even-handed impartiality"; rather, they have endeavored to exploit or avoid the directives of this Court in an effort to unfairly favor themselves. They have assaulted members of the bar and the judiciary and have waged a campaign to cast shame and disrepute on this Court.
The facts speak for themselves:
1. The motion fails to allege that [*68] I am actually biased; 1. The motion fails to allege that [*6811 am actually biased;
2. The motion omits the most objective evidence of my lack of bias, namely, that in every proceeding before me, counsel for Joe Francis and Girls Gone Wild did not 2. The motion omits the most objective evidence of my lack of bias, namely, that in every proceeding before me, counsel for Joe Francis and Girls Gone Wild did not
object to; did not appeal; or appealed the rulings and comments of which they now complain and lost; object to; did not appeal; or appealed the rulings and comments of which they now complain and lost;
3. The motion is the second motion filed by counsel for Francis and Girls Gone Wild charging members of the bar (and now the judiciary) with unethical conduct and seeking their disqualification; 3. The motion is the second motion fled by counsel for Francis and Girls Gone Wild charging members of the bar (and now the judiciary) with unethical conduct and seeking their disqualifcation;
4. The motion incorporates, as exhibits, extrajudicial information, while preaching that such information is improper for this Court to consider; 4. The motion incorporates, as exhibits, extrajudicial information, while preaching that such information is improper for this Court to consider;
5. The motion warns this Court that other extrajudicial information "proliferate[s] the Internet and may be submitted to this Court upon further review"; 5. The motion warns this Court that other extrajudicial information "proliferate [s] the Internet and may be submitted to this Court upon further review";
6. The motion distorts the legal standard required for disqualification into a contrived standard of "public perception" for the purposes of constructing a legal scaffold on which to hang Defendants' extrajudicial exhibits and poison the potential jury pool and the public's respect for the judiciary; 6. The motion distorts the legal standard required for disqualifcation into a contrived standard of "public perception" for the purposes of constructing a legal scaffold on which to hang Defendants' extrajudicial exhibits and poison the potential jury pool and the public's respect for the judiciary;
7. The motion acknowledges that public perception of bias, if it even exists, is untethered to reality; 7. The motion acknowledges that public perception of bias, if it even exists, is untethered to reality;
8. The motion perpetuates, [*69] by republishing on the public dockets of this Court, a newspaper article that Defendants know to be false; 8. The motion perpetuates, [*69] by republishing on the public dockets of this Court, a newspaper article that Defendants know to be false;
9. The motion misrepresents the judicial record, as reflected in the official transcripts; and 9. The motion misrepresents the judicial record, as reflected in the offcial transcripts; and
10. The motion minimizes federal crimes and the conduct of Joe Francis. 10. The motion minimizes federal crimes and the conduct of Joe Francis.
It is often said that judges must have thick skin. My skin is no different. I do not take personally the charges It is ofen said that judges must have thick skin. My skin is no different. I do not take personally the charges of ethical misconduct that have been levied at me by Defendants in the media or in the motion. Joe Francis is a litigant in this Court and as such, he is entitled to fair and impartial justice. All requests by Defendants and Plaintiff, like any request submitted by a litigant in a case over which I preside, will be evaluated on their legal merits, without prejudice or bias. of ethical misconduct that have been levied at me by Defendants in the media or in the motion. Joe Francis is a litigant in this Court and as such, he is entitled to fair and impartial justice. All requests by Defendants and Plaintiff, like any request submitted by a litigant in a case over which I preside, will be evaluated on their legal merits, without prejudice or bias.
At the same time, it is my duty to insure that litigants obey the orders of this Court and do not undermine the public's confidence in the integrity and impartiality of the judiciary or the rights of other parties. An independent and honorable judiciary is indispensable to justice in our society. Deference to the judgments and rulings of courts depends upon public trust in the integrity and independence of judges. When a resourceful litigant, [*70] without good cause, attempts to extinguish that trust and the rights of other litigants in this Court for improper purposes, justice suffers. Assuming that Joe Francis, Girls Gone Wild, and their attorneys play by the rules, they have no cause for concern. At the same time, it is my duty to insure that litigants obey the orders of this Court and do not undermine the public's confdence in the integrity and impartiality of the judiciary or the rights of other parties. An independent and honorable judiciary is indispensable to justice in our society. Deference to the judgments and rulings of courts depends upon public trust in the integrity and independence of judges. When a resourceful litigant, [*70] without good cause, attempts to extinguish that trust and the rights of other litigants in this Court for improper purposes, justice suffers. Assuming that Joe Francis, Girls Gone Wild, and their attorneys play by the rules, they have no cause for concern.
III. Conclusion
1. Defendants' Motion to Disqualify or Recuse Under 28 U.S.C. § 455(a) (Doc. 11) is denied. 1. Defendants' Motion to Disqualify or Recuse Under 28 U.SC § 455(a) (Doc. 11) is denied.
2. A scheduling order will be entered.
ORDERED on December 19, 2007. ORDERED on December 19, 2007.
/s/ Richard Smoak
RICHARD SMOAK
UNITED STATES DISTRICT JUDGE
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Vensim® Academic Order Form
Prices
Notes:
Prices include 1 year of maintenance. Documentation is electronic. Upgrades and Maintenance as well as new licenses can be purchased online.
Maintenance entitles you to electronic upgrades and technical support and will be extended until one year from the renewal date. One year of maintenance is included in the initial purchase. Maintenance may be extended up to two years into the future.
Please contact our international representatives for sales to the following regions.
Order form
Please complete the following and fax to +1 508 650 5422 or email to [email protected]. Please do not send credit card information via email, we will send you a web link where you can make payment.
Name
Affiliation
Address line 1
Address line 2
City/State
Zip/Postal
Country
Phone
Email
All licenses are delivered electronically. If you are requesting a backup installation CD there is a $15 handling charge. One CD will be provided for each license ordered (up to 5).
NOTES
Sales tax is for Massachusetts addresses only. International orders do not pay sales tax. Shipping Notes: If a backup installation CD is ordered it will be sent by air mail.
__ Payment enclosed (US funds drawn on a US bank payable to Ventana Systems, Inc.)
__ Purchase Order Attached (US and Canadian Corporations only)
__ Direct wire transfer (net of bank charges) — please contact us for details.
__ Request web link for payment (secure).
Credit Card __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ Exp. ___ / ____ __Visa __MasterCard __AmExp
Signature _____________________________________________________________________________
Name on card _____________________________________________________________________________
Billing address if different from above
___________________________________________________
Educational Discount Policy - Please Complete
In support of education Ventana Systems, Inc. provides a restricted and non-transferable license for Vensim at a reduced fee. Please read this carefully then complete, sign and date this form. Vensim will not be shipped until this form is received.
Name
_____________________________________________________________
Institution
_____________________________________________________________ _____________________________________________________________
Position
_____________________________________________________________
Intended use of Vensim
_____________________________________________________________ _____________________________________________________________ _____________________________________________________________
I certify that the above is true and that: (a) I am a (i) an authorized purchasing agent of a school, college or university licensed by an appropriate state authority, whose primary purpose is to provide instruction to an enrolled body of students (an "Eligible Institution") or (ii) a student at an Eligible Institution or (iii) a faculty member at an Eligible Institution, and (b) the use of the Software will conform to the following restrictions: (i) the Software will not be used for non-educational or commercial purposes or in the provision of consulting services for compensation, (ii) all course materials developed using the Software will be made available to students at the Eligible Institution, (iii) all use of the Software will conform to the standards of educational use at the Eligible Institution, (iv) all results of all research conducted using the Software will be published or otherwise made publicly available, and (v) the Software not be used on work that is classified, proprietary or restricted in any way. Note that research being substantially conducted by a student in order to complete a course or degree requirement and that is in conformance with (iii) is exempt from (iv) and (v).
Signed _____________________ Date: ________________________
Fax this form to +1 508 650 5422 or e-mail it to [email protected]
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Subject: : Gear Talk
Topic: : Looking for 6.5' or smaller fly rod
Re: Looking for 6.5' or smaller fly rod
Author: : PrettyFlyWhiteGuy
Date: : 2014/4/2 14:29:20
URL:
Nice, I will be making a purchase very soon. Thank you sir!
Quote:
The_Sasquatch wrote:
I was actually rockin' an 8' rod that day!
My small stream rod is an Eagle Claw Featherlight http://www.amazon.com/Eagle-Claw-Feat ... s=Eagle+Claw+Featherlight
I actually line it w/ 6wt line. Get a cheap click/pawl reel (you can find Martins on Ebay for the cheap) and you're good to go. It's rugged, cheap, and fishes just fine.
|
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