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Appendix b: WHISTLEBLOWER (SPEAK UP) POLICY
1. OVERVIEW
At Nuffield Australia we are guided by our company values. These values are the foundation of how we conduct ourselves and interact with each other, our scholars, investors, and other stakeholders. Nuffield Australia is committed to ensuring corporate compliance and promoting ethical corporate culture by observing the highest standards of fair dealing, honesty, and integrity in our business activities.
2. PURPOSE
The policy has been put in place to ensure any concerns raised regarding any misconduct or an improper state of affairs or circumstances concerning Nuffield Australia's business are dealt with effectively, securely, appropriately, and in accordance with the Corporations Act 2001 (Cth) ("the Act").
The aims of this Policy are to:
a) encourage people within Nuffield Australia who are aware of wrongdoing to speak up and make a disclosure (report) of the wrongdoing;
b) ensure individuals who disclose wrongdoing can do so safely, securely, and with confidence that they will be protected and supported;
c) ensure disclosures are dealt with appropriately and on a timely basis;
d) form part of Nuffield Australia's risk management system and corporate governance framework;
e) provide transparency regarding Nuffield Australia's processes for receiving, handling, and investigating internal disclosures;
f) help deter wrongdoing;
g) support Nuffield Australia's Values and Statement of Strategic Outcome; and
h) meet Nuffield Australia's legal requirements.
Nuffield Australia may unilaterally introduce, vary, remove, or replace this policy at any time.
3. WHO THIS POLICY APPLIES TO
This policy applies to any person who is, or has been, any of the following with respect to Nuffield Australia:
a) Current and former employees
b) Officers
c) Directors
d) Scholars and alumni
e) Contractor including sub-contractors and employees of contractors
f) Suppliers including employees of suppliers
g) Consultants
h) Auditors
i) Volunteers
j) Relatives, dependants, spouse, or dependents of a spouse of any of the above.
4. DISCLOSURES COVERED BY THIS POLICY
This policy applies to disclosures or reports which qualify for protection as a whistleblower under the Act.
A person who makes a disclosure under this policy will qualify for protection as a whistleblower under the Act if their disclosure relates to a Disclosable Matter (see paragraph 4.1) and;
a) the disclosure has been made to an Eligible Recipient (see paragraph 6.1(a)) or to ASIC, the Australian Prudential Regulation Authority (APRA) (if relevant), or another prescribed Commonwealth body;
b) they made the disclosure to their lawyer for the purpose of obtaining legal advice or representation about whistleblowing; or
c) they have made a Public Interest Disclosure (see paragraph 6.4) or an Emergency Disclosure (see paragraph 6.5).
5. MATTERS THIS POLICY APPLIES TO
5.1. Disclosable Matters
Disclosable Matters involve information about Nuffield Australia that the discloser has reasonable grounds to suspect concerns, including:
a) misconduct (including fraud, negligence, default, breach of trust, and breach of duty);
b) an improper state of affairs or circumstances; or
c) an offence or contravention under the:
i. Corporations Act 2001;
ii. Australian Securities and Investments Commission Act 2001;
iii. Banking Act 1959;
iv. Financial Sector (Collection of Data) Act 2001;
v. Insurance Act 1973;
vi. Life Insurance Act 1995;
vii. National Consumer Credit Protection Act 2009; or
viii. Superannuation Industry (Supervision) Act 1993.
d) an offence punishable against any other law of the Commonwealth that is punishable by imprisonment for 12 months or more;
e) a danger to public safety or confidence in the financial system whether or not it involves a breach of the law;
f) dishonest or unethical behaviour and practices; or
g) conduct that may cause harm or is prohibited by Nuffield Australia's policies and procedures.
5.2. Incorrect Disclosures
A discloser can still qualify for protection under the Act even if their disclosure turns out to be incorrect.
5.3. Reasonable grounds to suspect
a) The discloser does not need to prove their allegation, but they must have some information to reasonably support their allegation.
b) Deliberate false disclosures involving information the discloser knew to be untrue are not protected and must not be made. Deliberate false reporting can damage Nuffield Australia's reputation and the reputation of individuals who are mentioned in false reports and would amount to a breach of this policy, Nuffield Australia Values, and Statement of Strategic Outcomes.
5.4. Examples of Disclosures
Disclosures may, for example, relate to:
a) illegal conduct such as theft, dealing in illicit drugs, violence or threatened violence, or criminal damage to property;
b) fraud, money laundering, or misappropriation of funds;
c) offering or accepting a bribe; and
d) engaging in, or threatening to engage in, detrimental conduct against a person who has made a disclosure or is believed or suspected to have made or be planning to make a disclosure.
6. DISCLOSURES NOT COVERED BY THIS POLICY
a) Disclosures that relate solely to personal work-related grievances, and not to detriment or threat of detriment to a discloser do not qualify for protection.
b) Personal work-related grievances relate to the discloser's current or former employment with Nuffield Australia and tend to have implications for the discloser personally but do not:
i. have any other significant implications for Nuffield Australia; or
ii. relate to any conduct or alleged conduct about a Disclosable Matter.
c) Examples of personal work-related grievances include:
i. interpersonal conflict between the discloser and another employee;
ii. decisions not involving breaches of workplace laws about engagement, transfer, promotion, suspension, discipline, or termination of the disclosure.
d) Where a personal work-related grievance is also a Disclosable Matter the disclosure will be protected.
e) Personal work-related grievances not covered by this policy should be managed by reference to our Discrimination, Bullying, and Harassment Policy or other complaint mechanisms.
f) Some disclosures about matters relating to Nuffield Australia's obligations under Australian taxation laws may qualify for protection as a tax whistleblower. For more information on what would qualify for protection as a tax whistleblower or how to make a tip-off to the Australian Tax Office go to www.ato.gov.au/general/gen/whistleblowers/
7. WHO CAN PROVIDE ADVICE ON, OR RECEIVE, A DISCLOSURE?
7.1. Internal
a) Internal Eligible Recipients of disclosures under this policy are:
i. one of Nuffield Australia's senior manager/supervisors (not necessarily the discloser's immediate line manager/supervisor unless such a person is recognised as senior within the organisational structure);
ii. Nuffield Australia's Whistleblower Protection Officer; and
iii. an internal or external auditor.
b) Any Eligible Recipient who receives a disclosure should notify the Whistleblower Protection Officer, subject to the discloser's consent, to ensure Nuffield Australia's mechanisms for protecting and safeguarding disclosers can commence as soon as practicable.
c) Employees and external disclosers are encouraged to make the disclosure internally in the first instance in accordance with Nuffield Australia's Discrimination, Bullying, and Harassment Policy or other complaint mechanism.
d) In the event that the discloser considers that all of Nuffield Australia's Eligible Recipients are conflicted; the disclosure should be made externally (see 6.3 below).
7.2. Legal Practitioners
Disclosures to legal practitioners to obtain advice about the whistleblower provisions of the Act are protected even if the advice provided is that the disclosure is not a Disclosable Matter.
7.3. External
Disclosures about Disclosable Matters can be made externally and qualify for protection to prescribed Commonwealth bodies and, in particular:
a) Australian Securities and Investments Commission (ASIC) see https://asic.gov.au/about- asic/asic- investigations-and-enforcement/whistleblowing/how-asic-handles-whistleblowerreports/; and
b) Australian Prudential Regulation Authority (APRA) https://www.apra.gov.au/informationbeing- whistleblower-and-making-public-interest-disclosure/ (if applicable).
7.4. Public Interest Disclosure
A disclosure will qualify for protection where it is made to a journalist or parliamentarian as a public interest disclosure where:
a) at least 90 days has passed since the disclosure was made to ASIC, APRA, or another prescribed Commonwealth body;
c) the discloser has reasonable grounds to believe that making further disclosure of the information is in the public interest; and
b) the discloser does not have reasonable grounds to believe that action is being taken or has been taken in relation to their disclosure;
d) before making the public interest disclosure the discloser has written to the body to which the previous disclosure was made and given written notice that;
i. includes sufficient information to identify the previous disclosure; and
ii. states that the discloser intends to make a public interest disclosure.
7.5. Emergency Disclosure
A disclosure will qualify for protection where it is made to a journalist or parliamentarian as an emergency disclosure where:
a) the discloser has previously disclosed the information to ASIC, APRA, or another prescribed Commonwealth body;
c) before making the emergency disclosure the discloser has written to the body to which the previous disclosure was made and given written notice that;
b) the discloser has reasonable grounds to believe that the information concerns a substantial and imminent danger to the health or safety of one or more persons or the natural environment;
d) includes sufficient information to identify the previous disclosure; and
f) the extent of the information disclosed in the emergency disclosure is no greater than is necessary to inform the journalist or parliamentarian of the substantial and imminent danger.
e) states that the discloser intends to make a public interest disclosure; and
7.6. Advice regarding public interest or emergency disclosures
Individuals contemplating making a public interest or emergency disclosure should consider obtaining advice from Nuffield Australia's Whistleblower Protection Officer or independent legal advice before making the disclosure to ensure compliance and protection.
8. ROLES AND RESPONSIBILITIES
8.1. Whistleblower Protection Officers
a) Whistleblower Protection Officers are an integral part of the whistleblower disclosure process and are available to disclosers who would like to understand/discuss a whistleblower disclosure, seek the resolution of a whistleblower disclosure, or respond to a whistleblower disclosure being raised about them. Their role is to:
i. listen to the person (not act as a support person or as an advocate);
iii. provide information about the options available to deal with the person's concerns, the likely results and the advantages and disadvantages of each, and possible strategies for resolving concerns related to the disclosure;
ii. explain and provide information about what can qualify as a Disclosable Matter;
iv. refer the discloser to the support or advice services if necessary and available;
vi. represent a resource for employees, contractors, and visitors at our workplace and their role will facilitate the resolution of whistleblower disclosures where reasonably practicable to do so for all parties.
v. ensure that relevant persons have access to, or are provided with, copies of relevant Policies and Procedures; and
8.2. All employees and disclosers
All employees and people who make disclosures are responsible for:
b) complying with this policy;
a) their own behaviour;
c) not directly or indirectly engaging in, or aiding, abetting, or encouraging behaviour in breach of this policy;
e) identifying any training or support required to improve the disclosure and investigation process.
d) not making disclosures or providing information during an investigation into a disclosure that is: not in good faith, vexatious, false, frivolous, or without reasonable grounds; and
8.3. Managers and Supervisors
Managers and supervisors are responsible for:
b) making appropriate records relating to disclosures and maintaining the confidentiality of those records (see paragraph 10);
a) ensuring appropriate management of disclosures under this policy;
c) taking reasonable steps to ensure that disclosers, potential disclosers, or other people involved in an investigation into a disclosure are not subjected to detrimental acts or omissions (see paragraph 11);
e) monitoring and reporting on employee understanding of this policy; and
d) making reasonable resources and support available to assist people to make disclosures and participate in investigations into disclosures;
f) identifying and assisting to implement ways to increase the effectiveness of this policy.
9. HOW TO MAKE AN INTERNAL DISCLOSURE
Internal disclosures can be made to Eligible Recipients by email, phone, or post (see Schedule 1 for contact details including telephone numbers and email addresses). The Whistleblower Protection Officer or the eligible recipient will safeguard your interests and will ensure the integrity of the reporting mechanism.
10. ANONYMOUS DISCLOSURES
a) Disclosures can be made anonymously and qualify for protection as a whistleblower under the Act.
c) Disclosers can refuse to answer questions that they feel could reveal their identity during follow up conversations.
b) Disclosers can choose to remain anonymous while the disclosure is investigated and after the investigation is finalised.
d) A discloser can use a pseudonym (not their real name) for their disclosure but should indicate that they are doing so to protect their identity.
f) Where the disclosure comes from an email address that does not identify the discloser's identity and the discloser does not identify themselves in the disclosure they will be treated as anonymous.
e) The discloser can identify some people they want to know their identities such as their supervisor or the Whistleblower Protection Officer but advise that they do not want their identity disclosed to others.
g) Disclosers who want to remain anonymous will need to advise how they would like to be communicated with so that follow-up questions can be asked, and feedback provided.
11. CONFIDENTIALITY
11.1. General Rule
Disclosures made under this policy qualify for protection under the Act which means that subject to the Exceptions below, the identity of the discloser or information that is likely to identify the discloser cannot be disclosed.
11.2. Exceptions
Failure to comply with the General Rule is unlawful unless the exceptions below apply.
i. to ASIC, APRA, or a member of the Australian Federal Police;
a) The identity of the discloser can be disclosed:
ii. to a legal practitioner to obtain legal advice about the Whistleblower protections in the Act;
iv. with the discloser's consent.
iii. as authorised by law; or
b) The information contained in the disclosure can be disclosed without the disclosure's onsent if;
ii. Nuffield Australia has taken all reasonable steps to reduce the risk that the discloser will be identified from the information; and
i. the information does not include the discloser's identity;
iii. it is reasonably necessary to investigate the issues raised in the disclosure.
11.3. Complaints about Confidentiality
Complaints about breaches of confidentiality can be made:
b) externally to ASIC or APRA.
a) internally to an Eligible Recipient set out in paragraph 6.1(a) and Schedule 1; or
11.4. Measures to Ensure Confidentiality
Nuffield Australia will take reasonable steps to ensure that;
b) information relating to disclosures can only be accessed by those directly involved in managing and investigating the disclosure;
a) paper and electronic documents or materials relating to the disclosures are stored by Nuffield Australia securely;
c) only those people directly involved in handling and investigating a disclosure will be made aware of the discloser's identity or information that is likely to lead to the identification of the discloser;
e) reminding those involved in handling and investigating the disclosure that they should keep the identity of the discloser and the disclosure confidential and to not do so is unlawful.
d) information relating to the disclosure is not sent to email addresses or printers that can be accessed by other staff not directly involved in the handling or investigation of the disclosure; and
11.5. Practical Considerations
Notwithstanding the steps that will be taken to maintain confidentiality, the discloser should consider that people may be able to guess their identity if:
b) they are one of a very small number of people with access to information; or
a) they have previously mentioned to others that they are considering making a disclosure;
c) the disclosure relates to information they have previously been told privately or in confidence.
12. PROTECTION FROM DETRIMENTAL ACTS OR OMISSIONS
12.1. General Rule
a) Disclosures made under this policy qualify for protection under the Act for protecting a discloser, or any person, from detriment in relation to the disclosure.
i. the person believes or suspects that the discloser or another person made, may have made, propose to make, or could make a disclosure that qualifies for protection; and
b) This means that a person cannot engage in conduct that causes detriment to a discloser or another person in relation to the disclosure if:
ii. the belief or suspicion is the reason or part of the reason for the detriment.
c) The protection from detriment includes threats to cause detriment (whether express, implied, conditional, or unconditional) to a discloser or another person in relation to a disclosure regardless of whether the discloser, or another person who has been threatened, actually fears that the threat will be carried out.
12.2. Detrimental Conduct Examples
Detrimental acts taken for unlawful reasons (which breach the general rule above) may include:
b) refusal to provide training;
a) dismissal of an employee;
c) harassment, discrimination, or intimidation; or
d) damage to the person's property, reputation, or physical or psychological health.
12.3. Action that is not detrimental conduct
a) Administrative action that is reasonable to protect a discloser from detriment will not be considered detrimental conduct.
c) Reasons for administrative or management action about a disclosure should be explained to the discloser.
b) Protecting a discloser from detriment would not, for example, prevent Nuffield Australia from managing the discloser's unsatisfactory work performance.
12.4. Legal Advice and Compensation for Breaches
Disclosers are entitled to seek legal advice and pursue action through the courts if they suffer loss, damage, or injury because of a disclosure and Nuffield Australia has failed to prevent a person from causing the detriment.
12.5. Protection
A discloser is protected from any of the following concerning their disclosure made under this policy:
b) criminal liability (e.g., attempted prosecution of the discloser for unlawfully releasing information, or other use of the disclosure against the discloser in a prosecution (other than for making a false disclosure); and
a) civil liability (e.g., any legal action against the discloser for breach of an employment contract, duty of confidentiality, or another contractual obligation);
c) administrative liability (e.g., disciplinary action for making the disclosure).
d) (b) Protections that apply to a discloser do not grant immunity for any misconduct a discloser has engaged in that is relevant to their disclosure.
13. SUPPORT AND PRACTICAL PROTECTION FOR DISCLOSERS
Nuffield Australia's Whistleblower Protection Officer will work with the discloser to, as far as is reasonably practicable, explore, assess, and implement measures to support the discloser and protect the discloser from detriment. This may include:
b) referral to legal advice;
a) assessing the risk of detriment;
c) specific interim arrangements to reduce the risk of detriment such as reassignment of work duties, role or reporting lines, or relocating;
e) explaining procedures for making complaints about detrimental action which would be investigated separately from the disclosure; and
d) preventing or restricting communication between relevant parties;
f) investigating and addressing detrimental conduct that has occurred.
14. INVESTIGATING A DISCLOSURE
14.1. Initial assessment
a) Nuffield Australia will, on receiving a disclosure, assess whether it falls within this policy and what level of investigation is required.
c) If the disclosure relates to the Managing Director or the Whistleblower Protection Officer it will be referred to the Chair of the Board, or legal advice will be obtained to determine who should conduct the initial assessment.
b) The initial assessment will be performed by the Whistleblower Protection Officer.
14.2. Process
a) Nuffield Australia will need to determine;
ii. people internally or externally who will conduct the investigation
i. the nature and scope of the investigation;
iii. any technical, financial, or legal advice that may be needed to support the investigation;
iv. any steps necessary to preserve evidence; and
b) The process for the investigation will vary depending on the nature of the disclosure.
v. the timeframe.
c) The objective of the investigation is to determine whether there is enough evidence to substantiate or refute the matter reported.
d) After the investigation, Nuffield Australia will reasonably consider whether any further actions or outcomes need to be implemented in light of the findings.
e) The ability to investigate may be limited if, for example, it is not able to contact the discloser to ask questions.
g) Any investigation will be thorough, objective, fair, and independent; while preserving confidentiality.
f) It may be that to protect a discloser's identity, the investigation is conducted by way of a broad review or assessment of the subject matter or work area.
h) The investigation should be conducted by parties independent of the:
i. discloser; and
ii. individual mentioned in the disclosure.
j) All relevant parties should be provided reasonable estimates of timeframes and be kept reasonably informed of the progress. Extensions of time may be appropriate in complex matters where justified. If additional time beyond the initial estimate is reasonably required to address the disclosure, all relevant parties should be advised of the additional time required and, in a manner appropriate, the reasons for the delay.
i) People who are spoken to by the investigator may have an independent support person with them at meetings during this process providing that that person agrees to maintain confidentiality.
k) Relevant parties will be reasonably notified of the outcome of the investigation where relevant to them, and the proposed resolution action (if any) providing that doing so would not breach paragraph 10 (Confidentiality) and is not otherwise inappropriate to provide on legitimate legislative, privacy, confidentiality, or work health and safety grounds.
15. ACCESSING THIS POLICY
This policy can be accessed internally via Nuffield Australia SharePoint, in hard copy in site offices, and at induction. This policy is also publicly available at
16. MONITORING AND REPORTING
Nuffield Australia is committed to monitoring the effectiveness of this policy.
The Whistleblower Protection Officer is responsible for implementing processes for monitoring employee understanding and gathering and analysing statistics for reporting on the effectiveness of this policy in addressing disclosures to the Board (without disclosing information that is likely to lead to the identification of the disclosers).
17. DISCIPLINARY ACTION
Appropriate disciplinary action will be taken against a person who is found to have breached this policy. These measures will depend on the nature and circumstance of each breach and will be in accordance with the Discipline Policy.
18. SUPPORT AVAILABLE
Any employee who makes a disclosure under this policy or is implicated because of a disclosure that is made may access third-party support providers such as Lifeline (13 11 14) and Beyond Blue (1300 22 4636) for support.
19. OTHER POLICIES
PO Box 495, Kyogle
New South Wales 2474
Email: [email protected]
Website: www.nuffield.com.au
ABN 33 092 327 396
Employees are encouraged to read this policy in conjunction with other relevant Nuffield Australia policies, including:
* Discipline Policy
* Code of Conduct Policy
* Discrimination, Bullying and Harassment Policy
BOARD APPROVAL
The Elegilbe Recipients List was approved by the Nuffield
This Policy was approved by the Nuffield Australia Board Date:
Australia Board
Date:
Last Modified: 22/02/2023 Version: 1.0Page 10 of 11 Next Review Date: 6/03/2026
SCHEDULE 1 - Eligible Recipient Contact Details
| Whistleblower Protection Officer | Jodie | 0408 758 602 |
|---|---|---|
| | Redcliffe | |
| Finance Manager | | |
| Chair – Finance Audit & Risk | Brian | 0428 642 051 |
| Committee | McAlpine | |
| Chair – Nuffield Australia Board | Jane Bennett | 0418 567 480 |
Mail Address: PO Box 495 Kyogle NSW 2474.
Please mark 'Private and Confidential' and to the attention of one of the Eligible Recipients.
Last Modified: 14/11/2023 Version: 1.0Page 11 of 11 Next Review Date: 11/11/2024
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MADA Information and Communication Technologies Accessibility and Inclusive Design ICT-AID Competency Framework
September 2022
2 nd Edition
MADA Information and Communication Technologies Accessibility and Inclusive Design ICT-AID Competency Framework
September 2022
2 nd Edition
Please cite the work as follows:
(2022) MADA Information and Communication Technologies Accessibility and Inclusive Design ICT-AID Competency Framework (Second Edition, Vol. 2). Mada Center, Qatar.
Acknowledgment:
Experts from Arab ICT Accessibility Expert Group "AIAEG" by Mada, who reviewed and approved the framework. List of Experts:
https://aiaeg.mada.org.qa/working-group/
This work is assigned from Mada Center. It is available in Open Access under AttributionShareAlike 4.0 International (CC BY-SA 4.0).
For further information please contact: Dr. Mohamed Koutheair Khribi [email protected]
TABLE OF CONTENTS
1-
8.
Background
References
................................................................................................................................... 32
Table of tables
Table of figures
1-Background
Persons with Disabilities (PWDs), People with Functional Limitations (PFLs), and the Elderly, face daily challenges and barriers in different sectors, especially the ICT field, which result in their exclusion accessing and using digital technologies, limiting therefore their access to diverse online services, educational opportunities as well as employment.
At the global level, it is recognized that accessibility is essential for individuals and organizations towards removing barriers hindering access to ICTs, and creating highquality products and services that are as far as possible, universally accessible and usable by a large spectrum of users.
The 2030 Agenda for Sustainable Development highlights the pivotal role and the significant potential of ICTs to bridge the digital divide and to support the development of inclusive Knowledge Societies. Accordingly, the 2030 Agenda has required United Nations member states to promote access for persons with disabilities to ICTs.
The United Nations Convention on the Rights of Persons with Disabilities UNCRPD, to which Qatar is a signatory, recognizes accessibility as a human right and requires signatories to adopt appropriate measures for access for persons with disabilities on an equal basis with others to ICTs, emergency services and Internet services.
The Ministry of Transport and Communication in Qatar introduced the national eAccessibility policy in 2011 to make ICT more accessible for persons with disabilities. The policy is aimed at ensuring that people with disabilities in Qatar have equal access to the technologies that can enrich their lives, and covered accordingly a range of eAccessibility issues, including websites, telecommunications services, handsets, ATMs, government services, education, access to assistive technologies and digital content.
ICTQATAR's Strategy ICT2015 commits the nation to developing an ICT-skilled population whose members share equal access to technology and can succeed in a knowledge economy. This effort includes the prioritization of disadvantaged demographic groups, especially women, retirees and people with disabilities.
2- MADA's response
In this context, it is essential that peoples in Qatar and beyond, have the required competencies to use and develop universally accessible ICTs, as well as appropriate assistive technologies, in particular in Arabic language. And make it part of their professional practices towards maintaining an inclusive workplace, toward bridging the digital divide, and making ICTs accessible to every user, so that no one will be left behind. On this premise, education, training and lifelong learning programmes harnessing the power of inclusive ICTs can enable all persons, including those with disabilities, to develop the necessary ICT accessibility and inclusive design ICT-AID relevant competencies for life and work.
2.1 Mada ICT-AID Competency Framework
ICT accessibility and inclusive design (ICT-AID) is considered as a relevant and essential topic that needs to be well covered and integrated within capacity building, training and education curricula and programmes. Despite this urgent need, there is still a lack 1 of integration of ICT-AID aligned courses in educational institutions and professional development services based on a comprehensive Global competency framework delimiting all required relevant competencies and capabilities in the field of ICT accessibility and Inclusive Design.
It is in this context and as part of Mada Academy project, Mada has developed an open competency framework: the Mada ICT-AID Competency Framework 2 , delimiting the required relevant ICT-AID competencies, with a view to guide training and capacity building of students and workers on the foundation in ICT accessibility and inclusive design (Figure 1). Accordingly, the intended audience will be enabled to make a sense of the experience of disability related to the use of ICTs, and to increase their accessibility awareness when using and creating electronic materials, especially by applying accessibility standards and techniques -including W3C Web Content Accessibility Guidelines. Consequently, they will be well prepared to excel in their accessibility professions and contribute in the creation of accessible products, content and services.
1 https://g3ict.org/upload/accessible_DARE-Index-2020-Global-Progress-by-CRPD-States-Parties-ENGLISH.pdf
2 https://ictaid.mada.org.qa/
Mada has been working in collaboration with a group of experts 3 , to commissioning the ICT-AID competency framework, considered as the first in its kind on digital accessibility in Arabic language, in a bid to advance the level of understanding, using, and developing accessible ICTs at different levels in the region.
Mada ICT-AID competency framework, as an open framework available in open access under Attribution-ShareAlike 4.0 International (CC BY-SA 4.0), can be adapted for use in different learning contexts and modes, and availed to develop, describe and publish ICTAID aligned resources in courseware repositories.
Furthermore, Mada ICT Accessibility and Inclusive Design competency framework is featured as a standard available to users of the OER Commons 4 digital library and collaboration platform (Figure 2). As an educational standard, the Mada ICT-AID competency framework can be used to index and describe ICT-AID aligned Open Educational Resources OER providing accordingly ease of access and retrieval of these resources. As such, the ICT-AID competency framework will be used for searching, aligning, and evaluating OER, serving globally learners and educators.
3 https://aiaeg.mada.org.qa/
4 https://www.oercommons.org/
2.1 Mada ICT-AID OER Hub
Open Educational resources (OER) are "learning, teaching and research materials in any format and medium that reside in the public domain or are under copyright that have been released under an open license, that permit no-cost access, re-use, re-purpose, adaptation and redistribution by others" 5 .
Recognizing the pivotal role that Open Educational Resources OER have, providing equally effective access to learning opportunities for all, Mada has joined the growing worldwide OER movement and pledges as such to promote OER accessibility harnessing the power of inclusive ICTs so that educational resources are accessible for all.
With this in view, Mada launches the "Mada ICT-AID OER Hub" to be a Global knowledge hub featuring freely accessible resources toward closing the training and knowledge gap in ICT Accessibility.
Mada Hub contains collections of accessible open educational resources, which are aligned to the "Mada ICT Accessibility and Inclusive Design (ICT-AID) Competency Framework" . These resources are aggregated, curated and managed by Mada and partners, through collections, and groups, and development tools available on the Hub.
5 www.unesco.org
The community of ICT accessibility professionals, experts, advocates, educators, and learners can discover, create, and share accessible quality open content, and connect with others to expand their capabilities and improve inclusive practices (Figure 3).
Mada OER Hub provides basically the following services:
― Gathering collections of accessible OER (in Arabic and English languages) curated by Mada and partners, aligned to the Mada ICT-AID competency frameowrk and in compliance with W3C accessibility standards;
― Offering dedicated groups to partners in order to organize, collaborate, and share ICT-AID aligned resources;
― Managing and supporting activities of Arab ICT Accessibility Expert Group "AIAEG" (Accessible OER, ICT-AID competency framework, Digital Educational Content Accessibility, ICT Accessibility Standards localization, UDL, Policy and advocacy, ICT accessibility accreditation, etc.).
3- Objective
The main objective of the MADA ICT-AID competency framework is to provide the community with a framework that can be used as a template to assist educational institutions, organizations, and individuals in delimiting the required relevant competencies in the ICT accessibility and inclusive design field. This framework can help in creating learning resources and teaching materials on ICT accessibility and inclusive design, and also to make other courses accessible.
The MADA ICT-AID competency framework can be adapted for use in different learning contexts and modes, and availed as a tool for designing and structuring learning and training content in the field of ICT accessibility. It contains a coherent set of competencies necessary to apply, review, and evaluate the accessibility of digital content and platforms in compliance with International ICT Accessibility standards and best practices.
4-Target Audience
The intended audience for the MADA ICT-AID competency framework include, but not limited to decision makers, administrators, educators, teachers responsible for curriculum formulation and implementation within educational and training institutions, as well as experts in the fields of ICTs, Web development, inclusive digital education, social affairs, business and industry, innovation and research, etc. Education and training programmes, as well as certifications prepared based on MADA ICT-AID competency framework, are intended to cover a large spectrum of occupations including digital content writers, Web content managers, administrators, web developers, designers, instructional designers, digital education specialists, disability service providers, ICT trainers, teachers, project managers, ICT managers, marketing staff, communications specialists and managers, etc.
5-ICT-AID competency domains
The framework features six domains of competencies (Table 1) that follow a logical progression in mastering digital accessibility :
Table 1: ICT-AID Competency Domains
6-ICT-AID competencies
Each competency domain contains a set of competencies (Table 2) each of which is subdivided into capabilities that the intended audience should master to be able to develop, evaluate, and remediate accessible digital content. In the following, corresponding ICTAID competencies (Table 3, 4, 5, 6, 7, 8) and related capabilities are outlined.
Table 2: ICT-AID Competencies
6.1 Becoming familiar with Disability and Accessibility
Table 3: Competency domain D1. Becoming familiar with Disability and Accessibility
6.2 Describing the legal landscape of Disability and Accessibility
5. Describing how to develop and update Accessibility policies, strategies and best practices for organizations
Table 4: Competency domain D2. Describing the legal landscape of Disability and Accessibility
6.3 Making a sense of Universal Design
Table 5: Competency domain D3. Making a sense of Universal Design
6.4 Creating Accessible Digital Content
5. Performing tests with Assistive Technology for Presentation documents
6. Implementing alternative text or text equivalents in a remediation context of Presentation documents
7. Creating Presentation documents Accessibility requirements checklist
8. Examining and remediating inaccessible Presentation documents
9. Reviewing best practices for creating Presentation documents
D4.4 Creating Accessible PDF documents
1. Identifying Accessibility considerations before converting a document to PDF
2. Identifying Characteristics of Accessible PDF files
3. Using the Accessibility Checkers to evaluate Accessibility in PDF files
4. Creating PDF Accessibility requirements checklist
5. Examining and remediating inaccessible PDF files
6. Reviewing guidelines and best practices to support the creation of Accessible PDF files from authoring applications
D4.5 Generalizing Accessibility considerations for different multimedia formats
1. Identifying Accessibility issues in multimedia content
2. Recognizing some key Accessibility considerations that apply to different multimedia formats
3. Making Audio and Video Media Accessible
4. Captioning and describing videos
5. Adding captions to Web hosted videos
6. Creating Accessible complex images
7. Creating Accessible Animations
8. Creating Accessible STEM content
9. Examining and remediating inaccessible multimedia files
10. Reviewing guidelines and best practices to support the creation of Accessible Multimedia files
Table 6: Competency domain D4. Creating Accessible Digital Content
6.5 Creating Accessible Web Content
12. Creating web content that is compatible with the PWDs common strategies to accessing web content
13. Integrating Accessibility into the quality assurance process
14. Reviewing guidelines and best practices to support Web Accessibility
D5.3 Testing and evaluating Web Accessibility
1. Identifying potential Accessibility issues in Web documents
2. Identifying Interoperability and compatibility issues
3. Determining conformance to Accessibility specifications based on Accessibility issues found
4. Testing for end-user impact
5. Using assistive Technology to test Web Accessibility
6. Identifying major tools for auditing and evaluating Web Accessibility
7. Identifying the limitations of automated testing
8. Creating Web Accessibility requirements checklist
9. Examining inaccessible Web documents based on the Web Accessibility requirements checklist
10. Reviewing best practices for designing and creating accessible Web documents
D5.4 Remediating inaccessible Web documents
1. Identifying and classifying Web Accessibility issues and user Impact
2. Analyzing Cost-Benefit and potential risks
3. Determining required actions and efforts associated with Issue Remediation
4. Prioritizing Accessibility issues based on the level of severity
5. Developing remediation strategy and action plan
6. Applying the remediation plan
7. Implementing alternative options in a remediation context
8. Reviewing strategies and/or techniques for fixing Accessibility issues
Table 7: Competency domain D5. Creating Accessible Web Content
6.6 Making Digital Environments and Platforms Accessible
Table 8: Competency domain D6. Making Digital Environments and Platforms Accessible
7. ICT-AID aligned courses and certifications
The ICT Accessibility and inclusive design specialization can cover three primary courses aligned to ICT-AID competencies according to three following skill levels: beginner, intermediate, and advanced. These courses can be offered at universities and training institutions (Table 9), and certificates can be obtained accordingly to attest the acquisition of the necessary competencies for each level (Table 10). The Mada accredited training program includes the following courses:
― An introduction to ICT Accessibility and Universal Design
― Digital Accessibility
― Digital platforms and environments Accessibility
Table 9: ICT-AID specialization within Mada accredited training programmes
The first course corresponding to the first level can be offered in universities under the Common Core Program CCP, and this level corresponds to the first certificate attesting the acquisition of key competencies in ICT Accessibility and Inclusive Design competency framework.
Table 10: ICT-AID specialization for academic programmes
The second and third courses for the intermediate and advanced levels can be included within specialized computer science programs at universities. These levels allow students and trainees taking the second certificate for digital accessibility specialists and then the third certificate for digital accessibility experts (Table 11).
The Mada ICT-AID aligned accredited training Programme includes three courses (Figure 4(. Attending one of these courses requires completing the course that precedes or obtaining a certificate for the corresponding level. There are three possible certificates corresponding to each proficiency level (beginner, intermediate and advanced) as follows:
― Level I Certificate: Core Competencies in ICT Accessibility and Inclusive Design
― Level II Certificate: Digital Access Specialist
― Level III Certificate: ICT Accessibility Expert
Mada ICT-AID Competency Framework
25
Mada ICT-AID Competency Framework
Mada ICT-AID Competency Framework
Mada ICT-AID Competency Framework
Mada ICT-AID Competency Framework
Mada ICT-AID Competency Framework
Mada ICT-AID Competency Framework
Table 11: Alignment of courses with ICT-AID competencies
8. References
Brahim, H. B., Khribi, M. K., Jemni, M., and Tlili, A. (2020). Promoting inclusive open education: A holistic approach towards a novel accessible OER recommender system. In International Conference on Computers Helping People with Special Needs (pp. 166-176). Springer, Cham.
Certificate Of Professional Development Information Accessibility Design and Policy (IADP) by the College of Applied Health Science (AHS) University of Illinois. http://iadp.ahs.illinois.edu/
Cook, A., Polgar ,J., & Encarnação,P. (2019). Assistive Technologies: Principles and Practice
Forgue, M. C. & Abou-Zahra, S. (2020). Introduction to Web Accessibility MOOC course on Edx by W3C. https://learning.edx.org/course/course-v1:W3Cx+WAI0.1x+3T2019/home
Gould, M., Leblois, A., Cesa Bianchi, F., Montenegro, V., & Studer, E. (2014). Convention on the Rights of Persons with Disabilities 2012 ICT Accessibility Progress Report. Survey Conducted in Collaboration with DPI—Disabled Peoples' International.
International Association of Accessibility Professionals (IAAP) Certifications. IAAP Certified Professional in Accessibility Core Competencies (CPACC), Web Accessibility Specialist (WAS) , Certified Professional in Accessible Built Environments (CPABE), Certified Professional in Web Accessibility (CPWA), https://www.accessibilityassociation.org/s/certification#memberSec1 .
Jemni, M., & Khribi, M. K. (Eds.). (2016). Open education: from OERs to MOOCs. Springer.
Khribi, M. K. & Al-Sinani, A. (2021). Harnessing OER to build capacity in ICT Accessibility and Inclusive Design. (Accepted) In Open Education Global Conference, OEGlobal'21, Nantes, France.
Khribi, M. K., Othman, A. & Al Jabor., ,A.N. (2022). "Fostering ICT accessibility proficiency through Mada ICTAID Competency Framework", The 8th International Conference on ICT & Accessibility (ICTA), 2021.
Khribi, M. K., Othman, A. & Al-Sinani. (2022). "Toward Closing the Training and Knowledge Gap in ICT Accessibility and Inclusive Design Harnessing Open Educational Resources". The 22nd IEEE International Conference on Advanced Learning Technologies ICALT 2022.
Lahiri, A., Othman, A., Al-Thani, D. A., & Al-Tamimi, A. (2020, September). Mada Accessibility and Assistive Technology Glossary: A Digital Resource of Specialized Terms. In ICCHP (p. 207).
Meyer, A., H Rose, D., & T Gordon, D. (2014). Universal design for learning: Theory and Practice.
Montalvo Daniel and Abou-Zahra Shadi. (2019). Curricula on Web Accessibility: A Framework to Build Your Own Courses. https://www.w3.org/WAI/curricula/
Smeltzer, S.C. (2007). Improving the Health and Wellness of Persons with Disabilities: A Call to Action Too Important for Nursing to Ignore. Nursing Outlook, 55: 189-195.
The ERASMUS+ Certified Digital Accessibility Training project. (2018). Certified Digital Accessibility Training. https://digital-accessibility.eu/
The Global Initiative for Inclusive ICTs G3ICT, Training & Certification, https://g3ict.org/what-wedo/training-certification
Thompson, M., Lane. L, & Heap, T. (2020) An Introduction to Accessibility and Inclusive Design Course. MOOC course on Coursera by University of Illinois at Urbana-Champaign
Tlili, A., Jemni, M., Khribi, M. K., Huang, R. , Chang, T.-W. and Liu. D., "Current state of open educational resources in the Arab region: an investigation in 22 countries" 2020.doi: 10.1186/s40561-020-00120z.
Yesilada, Y., & In Harper, S. (2019). Web accessibility: A foundation for research.
Zhang, X., Tlili, A., Nascimbeni, F., Burgos, D., Huang, R., Chang, T. W., ... & Khribi, M. K. (2020). Accessibility within open educational resources and practices for disabled learners: A systematic literature review. Smart Learning Environments, 7(1), 1-19.
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3.
AGENDA METROPOLITAN COUNCIL
GREATER BATON ROUGE AIRPORT AUTHORITY
EAST BATON ROUGE SEWERAGE COMMISSION
CAPITAL IMPROVEMENTS DISTRICT
CITY OF BATON ROUGE AND PARISH OF EAST BATON ROUGE
Wednesday, May 10, 2023
3:30 PM Presentations and Special Recognitions
4:00 PM Metropolitan Council Meeting
Metropolitan Council Chambers City Hall
Third Floor
PUBLIC COMMENT POLICY
This is a public meeting. In accordance with Title 1, Sections 1.2(c)(9) and 1.7(a) of the Code of Ordinances, all items on this agenda are public hearing items and are open for public comment with the exception of those items listed as "Introductions." Items listed as "Introductions" will be available for public comment at subsequent meetings. Any member of the public who wishes to speak on a particular item should refer to a meeting agenda and complete the necessary information prior to the meeting on the monitors outside the Metropolitan Council Chambers, or by completing a "request to speak" card. Once the item is announced by the President Pro–Tem, the Pro-Tem will call the name of each person who has requested to speak to the podium for in order to comment for the amount of time designated by the Pro-Tem. Any interested person who does not wish to comment in person may submit a comment electronically via the online form available at www.brla.gov/councilcomment. Electronically submitted comments will be acknowledged as a tally in favor or opposed to the item. All electronically submitted comments will be forwarded to the Metropolitan Council members prior to the meeting.
CALL TO ORDER
ROLL CALL
INVOCATION
PLEDGE OF ALLEGIANCE
ADOPTION AND APPROVAL OF MINUTES
1. 23-00620 Approval and adoption of minutes of the Metropolitan Council Meeting of April 26, 2023. By Council Administrator/Treasurer.
INTRODUCTIONS
SECTION 2.12 INTRODUCTIONS
2.
23-00602 Granting a five-year property tax abatement estimated at $8,955 per year for Associated Grocers, Inc. located at 2831 Monterrey Boulevard. This application is referred by Louisiana Economic Development Restoration Tax Abatement Program to the City of Baton Rouge as RTA application #20220213 for the purpose of encouraging private investment and restoration of property. By Planning Director. Introduce for public hearing/meeting on May 24, 2023
Legislation Cover Memo Worksheet
23-00623 Authorizing the Brownsfield Fire Protection District / East Baton Rouge Fire Protection District Number Three to purchase and/or the ratification of the purchase of a 2.31 acre tract, formerly part of Kleinpeter Place, located at 11420 Plank Road, from the Louisiana Lions League for Crippled Children, Inc., for the sum of fifty thousand ($50,000.00)dollars and appropriating thirty thousand ($30,000.00) dollars for said purpose from the District's Fund Balance - Unassigned (Budget Supplement 8979). By Brownsfield Fire Protection District.
Introduce for public hearing/meeting on May 24, 2023
Legislation Cover Letter Appraisal Resolution - DRAFT Budget Supplement
4. 23-00652 Amending the Local Fiscal Recovery Fund-American Rescue Plan Act (ARPA) budget so as to reallocate $100,000 from the Re-Entry Program to a YWCA program that supports homelessness, educational, and quality-of-life programs; and authorizing an amendment to the existing subrecipient agreement with YWCA for this amount and purpose. By Mayor-President. Introduce for public hearing/meeting on May 24, 2023 Legislation Supporting Documentation
CONDEMNATION INTRODUCTIONS
5.
23-00633 Clifford Warren Sanford and LA Studio 19, LLC
8446 Scotland Ave, Lot 2, Sq. 6
North Baton Rouge - Council District 2 - Banks
Introduce for public hearing/meeting on May 24, 2023
Inspector's Report Initial Time Log Picture
6. 23-00634 PBD Realty, Inc. 9732 Avenue B, Lot 15, Sq. 16 University Place - Council District 2 - Banks Introduce for public hearing/meeting on May 24, 2023 Inspector's Report Initial Time Log Picture
7.
23-00635 Kevin Spicer, Deidra Spicer, Randy Grass, and Signe Grass Farley
1344 Sora St, Lot 9, Sq. 6
North Baton Rouge - Council District 2 - Banks
Introduce for public hearing/meeting on May 24, 2023
Inspector's Report Initial Time Log Picture
8. 23-00636 Edwin G. Reyes 6775 Spring Dr (House and Rear Shed), Lot 78 Merrydale Subdivision, 1st Filing - Council District 5 - Hurst Introduce for public hearing/meeting on May 24, 2023 Inspector's Report Initial Time Log Picture
9.
23-00637 Corey Vaughn and Allied Plastics Federal Credit Union
8469 Madrid Ave (All Structures Including All Outbuildings & Abandoned Vehicles), Lot
82
Wooddale Park Subdivision, 1st Filing - Council District 6 - Dunn Jr.
Introduce for public hearing/meeting on May 24, 2023
Inspector's Report Initial Time Log Picture
10. 23-00638 The Succession of Dominic S. Bonfanti 5163 Greenwell Springs Rd, Lot 2-B Bird Tract - Council District 7 - Cole Introduce for public hearing/meeting on May 24, 2023 Inspector's Report Initial Time Log Picture
11. 23-00639 Dianne Page, Joseph White, and The Estate of Lauris White, Jr. 1251 N 46th St (House & All Outbuildings), Lot 38, Sq. 36 Greenville Extension - Council District 7 - Cole Introduce for public hearing/meeting on May 24, 2023 Inspector's Report Initial Time Log Picture
12. 23-00640 The Estate of Willie Stewart and The Estate of Odella Banford Stewart 1565 N 49th St (House and Rear Shed), Lot 9, Sq. 31 Greenville Extension - Council District 7 - Cole Introduce for public hearing/meeting on May 24, 2023 Inspector's Report Initial Time Log Picture
13. 23-00641 Leto Investment Properties, LLC
3535 Topeka St (House and Rear Shed), Lot 13, Sq. 111
Suburb Istrouma - Council District 10 - Coleman
Introduce for public hearing/meeting on May 24, 2023
16.
17.
18.
19.
Inspector's Report Initial Time Log Picture
23-00642 Mullen Peterson
848 N 48th St (Duplex Containing Addresses 848 & 850), Lot 5, Sq. 50
Greenville Extension - Council District 10 - Coleman
Introduce for public hearing/meeting on May 24, 2023
Inspector's Report Initial Time Log Picture
ADJUDICATED PROPERTY INTRODUCTIONS
PLANNING AND ZONING INTRODUCTIONS
OTHER INTRODUCTIONS
15.
23-00601 Receiving a report from the Baton Rouge Police Department and the East Baton Rouge Parish Sheriff's Office on drag racing in the City of Baton Rouge. By Councilwoman Denise Amoroso.
Introduce for public hearing/meeting on May 24, 2023
Legislation Cover Letter
23-00618 Authorizing the Mayor-President to execute Amendment No. 3 to the cooperative endeavor agreement with South Central Planning and Development Commission to increase the 2023 contract amount by $106,000, for a total contract value not to exceed $3,381,990. By Development Director.
Introduce for public hearing/meeting on May 24, 2023
Legislation Council Memo Draft Amendment
23-00600 Authorizing the Mayor-President to execute Supplemental Agreement No. 3 to the contract with Stantec formerly Bradley-Blewster & Associates for additional design services in connection with their contract for the Renovations to the Scotlandville Branch Library, being City Parish Project No. 20-ASD-CP-1238 in an amount not to exceed $_25,000.00. (Account No. 9101200009-4610-00000-0000000000-652200). By Buildings and Grounds Director.
Introduce for public hearing/meeting on May 24, 2023
Legislation Cover Letter Other
23-00619 Authorizing the Mayor-President on behalf of the Mayor's Office of Community Development to authorize execution of a subrecipient agreement with Our Lady of the Lake Hospital, Inc. for the HOPWA-EN [Housing Opportunities for Persons with AIDS-Entitlement) for the City-Parish Operating Year 2023 to provide housing, case management, adherence and follow-up services for persons with HIV/AIDS in the amount of $112,500.00 for the term commencing January 1, 2023 through December 31, and authorizing the execution of all documents in connection therewith. By Mayor's Office.
Introduce for public hearing/meeting on May 24, 2023
Legislation Revised Agenda Space Request 5.9.23 Contract Revised Resolution.Funding Changed 5.9.23
23-00621 Authorizing the Mayor-President to execute an amendment to the Professional Services Agreement between the City of Baton Rouge and Family Resource Group, Inc. to adjust the project cost by $40.000.00 to increase the Kid Scoop News paper distribution from 1,000 copies to an additional 16,000 households and add the promotion of a COVID-19 Coloring Contest to support BRAHL (Baton Rouge Advancing Health Literacy) grant activities over the period March, April, May and June 2023 and authorizing the execution of all documents in connection therewith. By Mayor's Office.
Introduce for public hearing/meeting on May 24, 2023
Legislation Resolution Agenda Space Request
21.
22.
23.
24.
25.
26.
23-00622 Authorizing the Mayor-President on behalf of the Mayor's Office of Community Development to authorize execution of a subrecipient agreement with Habitat for Humanity of Greater Baton Rouge, Inc. To increase the project cost of Richmond Park Housing Development from $585,000.00 by $141,000.00 for a new total amount of $726,000.00 to cover the increased cost of construction materials, and to amend article IX federal requirements and Exhibit C – Affordability Terms and Conditions to restriction end date to September 30, 2037 and authorizing the execution of all documents in connection therewith. By Mayor's Office.
Introduce for public hearing/meeting on May 24, 2023
Legislation Resolution Revised Agenda Space Request with Correct Public Hearing Date
23-00626 Authorizing the Mayor-President to enter into a professional services agreement on behalf of the Local Workforce Development Board Area 21 (LWDA 21) with Eckerd Connects with initial term to begin July 1, 2023 through June 30, 2026. Agreement is renewable for up to three years upon successful contractual performance in an amount not to exceed $300,000 terminating June 30, 2026 and authorizing the Mayor-President signing of all documents connected therewith. By Mayor's Office.
Introduce for public hearing/meeting on May 24, 2023
Legislation Cover Letter
23-00630 Authorizing the Mayor-President to execute a contract for Professional Engineering Services with Stantec Consulting Services, Inc. for service associated with the Baton Rouge Electric Vehicle (EV) Strategic Plan in an amount not to exceed $126,800.00 (Account No. 1000-7100-30-7120-0000-000000-643500-40000). By Transportation and Drainage Director.
Introduce for public hearing/meeting on May 24, 2023
Legislation Council Memo
23-00631 Authorizing the Mayor-President to execute a Request for Project Amendment with the Louisiana Department of Community Development, Disaster Recovery Unit in connection with Project No. 17PARA2106 in the amount of $795,000.00. By Transportation and Drainage Director.
Introduce for public hearing/meeting on May 24, 2023
Legislation Council Memo
23-00632 Authorizing the Mayor-President on behalf of the Purchasing Department to amend a contract with SJB Group LLC for an increase in the amount of $49,240.00 for a total award amount of $99,140.00. By Purchasing Division.
Introduce for public hearing/meeting on May 24, 2023
Legislation Cover Letter
23-00646 Authorizing the Mayor-President to execute a Contract for Appraisal Services with Brian David Simoneaux Enterprises, Inc., for services associated with MOVEBR Capacity Project Jefferson Hwy at Corporate Blvd. Intersection, being City-Parish Project No. 20-CP-HC-0034, in an amount not to exceed $56,320.00. (Account No. 9207100025- 4371.00000-0000000000-651120). By Transportation and Drainage Director.
Introduce for public hearing/meeting on May 24, 2023
Legislation Council Memo
23-00649 Authorize the Mayor-President to execute a Contract for Appraisal Services with James Pat Roy, for services associated with MOVEBR Capacity Project Jefferson Hwy at Corporate Blvd. Intersection, being City-Parish Project No. 20-CP-HC-0034, in an amount not to exceed $56,320.00. (Account No. 9207100025- 4371.000000000000000-651120). By Transportation and Drainage Director.
Introduce for public hearing/meeting on May 24, 2023
Legislation Council Memo
28.
29.
30.
31.
32.
33.
23-00651 Rescinding the Decision and Order from the February 8, 2023 Metro Council Meeting: In The Matter of "City of Baton Rouge vs. Paula Marie Harris" - Condemnation Proceeding No. 11186 (533 W. Buchanan St. (House and Rear Shed), Lot 5, Sq. 104, South Baton Rouge Subdivision), recorded on February 14, 2023, at ORIG 42 BNDL 13239 in the official Clerk of Court Records. Reason for rescission: Homeowner has obtained a remodel permit and has begun work on the home. By Councilwoman Carolyn Coleman.
Introduce for public hearing/meeting on May 24, 2023
Legislation Cover Letter Rescinding Resolution
23-00655 Authorize the Mayor-President to execute a Contract for Professional Engineering Services with AECOM for services associated with MOVEBR Capacity Project Jones Creek Road (Airline Hwy – Tiger Bend Road), being City-Parish Project No. 12-CS-HC0060, in an amount not to exceed $69,138.00. (Account No. 9217100035-000004304.00006-0000000000-653240). By Transportation and Drainage Director.
Introduce for public hearing/meeting on May 24, 2023
Legislation Council Memo
23-00657 Authorize the Mayor-President to execute an amendment to the contract with Waste Management of Louisiana, LLC to supply and manage the fly ash operation at the North Landfill as mutually agreed upon on an annual basis through the remainder of the contract. By Environmental Services Director.
Introduce for public hearing/meeting on May 24, 2023 Legislation Council Memo
23-00658 Rescinding the Decision and Order from the March 8, 2023 Metro Council Meeting: In The Matter of "City of Baton Rouge vs. Jose S. Juarez-Torres" - Condemnation Proceeding No. 11204 (2072 Virginia St., Lot 49, Square 16, South Baton Rouge Subdivision), recorded on March 13, 2023, at ORIG 3 BNDL 13243 in the official Clerk of Court Records. Reason for rescission: Homeowner is repairing the property and awaiting required permits to continue work. By Councilwoman Carolyn Coleman. Introduce for public hearing/meeting on May 24, 2023
Legislation Cover Letter Rescinding Resolution
23-00659 Authorizing the Mayor-President to execute Amendment No. 3 with Grady Crawford Construction Company, Inc. for construction services in connection with the Annual Stormwater Pipe Repair and Replacement project, being City-Parish Project No. 21PN-MS-0039, resulting in an increase in contract in an amount of $900,000.00 (Account No. 2712-7700-20-7770-7774-YR21-000000-643500-41015). By Environmental Services Director.
Introduce for public hearing/meeting on May 24, 2023
Legislation Council Memo
23-00660 Authorizing the Mayor-President to execute a Contract for Professional Services with Professional Engineering Consultants Corporation for the Groom Road/Brushy Bayou Storm System Improvements, being Project Number 22-DR-US-0019, in the amount not to exceed $805,836.00. Said project is funded through the Hazard Mitigation Grant Program (HMGP) 75%/25%. Contingent on approval with the Grants Review Committee. By Transportation and Drainage Director.
Introduce for public hearing/meeting on May 24, 2023
Legislation Council Memo Council Document
23-00661 Receiving a report by Turn Key Health regarding Personnel complaints related to Human Resources and Administration that were discussed during previous report. Additionally, the report should include statistical data, both quantitative and qualitative, regarding deaths that have occurred in BRPP since the commencement of the Turn Key contract. Any other relevant information should be included in the report. By Councilwoman Carolyn R. Coleman.
Introduce for public hearing/meeting on May 24, 2023
Legislation Cover Letter
CONDEMNATIONS
34. 22-00220 Linda Phillips Ross
3820 Saint Gerard Ave (Pool House), Lot 8, Square 9
Saint (St.) Gerard Place Subdivision - Council District 7 - Cole
This item was deferred from March 9, 2022, June 8, 2022, September 14, 2022,
December 14, 2022, January 11, 2023, and February 8, 2023
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23-00091 The Estate of Robert J. Blackwell & The Estate of Louella Lee Blackwell
10307 Jefferson Hwy. (House & Rear Shop) & 10315 Jefferson Hwy., Lot 14 Pt+ (W 50
ft. of the S 500 ft. of Lot 15 & The E 100 ft. of S 500 ft. of Lot 14)
Inniswold Estates - Council District 11 - Adams
This item was deferred from February 8, 2023 and April 12, 2023
Inspector's Report Inspector's Report Initial Time Log Initial Time Log Picture Picture Picture Picture Picture Final Time Log Final Time Log Picture Picture Picture Picture Picture Picture Final Time Log Final Time Log Picture Picture Picture Picture Picture Picture Final Time Log Picture Picture Picture Final Time Log Picture Picture Picture
23-00085 Paul David Stiles
26045 Kendalwood Rd., Lot 2-A-1, Cont. 0.740 acres, Resub of Lots 2-A & 2-B
Waltman Camp Sites - Council District 9 - Hudson
This item was deferred from February 8, 2023, March 8, 2023, April 12, 2023, and
April 26, 2023
Inspector's Report Initial Time Log Picture Picture Final Time Log Picture Final Time Log Picture Picture Picture Final Time Log Picture Picture Picture Final Time Log Picture Picture Picture Final Time Log Picture Picture Picture
23-00548 Pamela Anne Hyde
15796 Peairs Rd (Van, Fifth Wheel & Shed), Lot B-1, Cont .5165 Acres
Resub of Tract B, Ivy Aucoin Property - Council District 1 - Noel
Initial Time Log Picture Inspector's Report Final Time Log Picture Picture Picture
23-00549 Rosemary Granberry
4355 Blount Rd House, (Guest House & Barn), Lot 25 Pt, (8.21 Acres, More or Less,
Being A Portion of Lot 25)
Gibbens Place - Council District 2 - Banks
Inspector's Report Initial Time Log Picture
23-00550 Gwendolyn Wilson Smith
1572 Stilt St, Lot 2, Sq. 101
North Baton Rouge - Council District 2 - Banks
Initial Time Log Inspector's Report Picture Final Time Log
23-00551 Big Apple, Inc.
10554 Greenwell Springs Rd, Lot 2 PT, 1.30 Acres Tract
Hooper, H.E. Tract - Council District 5 - Hurst
Inspector's Report Initial Time Log Picture Final Time Log
23-00552 Annie Collins Spencer
1162 N 38th St (House & Abandoned Vehicles), Lot 8, Sq. 22
Eden Park - Council District 7 - Cole
Inspector's Report Initial Time Log Picture Final Time Log
23-00553 Jay Lee Mason
3413 Jackson Ave (Garage & Garage Apartment), Lot 158
Belfort - Council District 7 - Cole
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Final Time Log Picture
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Inspector's Report Initial Time Log Picture Final Time Log Picture Picture Picture Picture
43. 23-00554 Prudent Acquisitions, LLC
2863 Thomas H Delpit Dr (Four Plex), Lot 32 And Lot 31 Pt (Lot 32 & South ½ Of Lot
31), Sq. 46
South Baton Rouge - Council District 10 - Coleman
Inspector's Report Initial Time Log Picture Final Time Log Picture Picture Picture
44.
23-00555 Dorothy Brooks Simon and The Estate of Varise Simon 2645 Tennessee St, Lot 7+, (N 40 X 39.4 ft of Lots 7, 8 & 9), Sq. 52 South Baton Rouge - Council District 10 - Coleman Inspector's Report Initial Time Log Picture Final Time Log Picture Picture Picture
Picture
PUBLIC HEARING / MEETING
45.
23-00403 An ordinance requiring Fair Chance hiring standards for persons, corporations, and entities that have a contract or cooperative endeavor agreement with the City of Baton Rouge, Parish of East Baton Rouge by limiting consideration of the criminal history of any applicant; and to provide otherwise with respect thereto. By Councilwoman Chauna Banks.
This item was deferred from April 12, 2023 and April 26, 2023 Legislation draft ordinance
23-00481 A Resolution ordering and calling a special election to be held in the Parish of East Baton Rouge, State of Louisiana, on Saturday, October 14, 2023, under the provisions of Article VI, Sections 26 and 32 of the Louisiana Constitution of 1974, as amended, and other constitutional and statutory authority, for the purpose of authorizing the renewal of the levy and collection of an ad valorem tax of 3.13 mills on the dollar of assessed valuation on all property subject to taxation within the boundaries of the Parish of East Baton Rouge, State of Louisiana (the "Tax") for a period of ten (10) years, commencing with the tax collection for the year 2025, and annually thereafter to and including the year 2034, the proceeds of said tax (after paying the reasonable and necessary expenses of collecting and administering the tax, if any) to provide funds to the Department of Emergency Medical Services of the Parish of East Baton Rouge, State of Louisiana to be used entirely and exclusively to pay the operation and maintenance costs and expenses of providing emergency medical services within the Parish of East Baton Rouge, State of Louisiana; making application to the Louisiana State Bond Commission; providing notice that a public hearing regarding the adoption of this Resolution by the Metropolitan Council shall be held on Wednesday, May 10, 2023, at 4:00 p.m. at the regular meeting place of the Metropolitan Council, Third Floor, City Hall, Room 348, 222 St. Louis Street, Baton Rouge, Louisiana; and providing for other matters in connection therewith. By Bond Counsel.
Legislation Other Cover Letter
23-00457 Authorizing the Metropolitan Council to declare Lot 20, Square 15, Fairfields Subdivision, municipal address 2840 Washington Avenue, Baton Rouge, Louisiana 70802 as surplus property and not needed for a public purpose, and authorizing the sale of same pursuant to Louisiana Revised Statute 33:4712 et seq., unto Lemark Augustus for the sum of $17,000.00, and authorizing the Mayor-President to execute a purchase agreement, cash sale/closing documents, and any and all documents in furtherance of this sale, with the Parish Attorney's Office to prepare, review, and/or approve all such documentation. By Office of Community Development. Legislation Cover Letter Appraisal DRAFT Ordinance
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23-00458 Authorizing the Metropolitan Council to declare Lot 81, Belfair Homes Subdivision, municipal address 2115 Bateman Circle, Baton Rouge, Louisiana 70805 as surplus property and not needed for a public purpose, and authorizing the sale of same pursuant to Louisiana Revised Statute 33:4712 et seq., unto Ellis Green for the sum of $5,800.00, and authorizing the Mayor-President to execute a purchase agreement, cash sale/closing documents, and any and all documents in furtherance of this sale, with the Parish Attorney's Office to prepare, review, and/or approve all such documentation. By Office of Community Development.
Legislation Cover Letter Appraisal DRAFT Ordinance
23-00541 Amending Ordinance 9490, adopted October 14, 1992, as amended by Parish Ordinance 5123 and City Ordinance 3843, adopted January 11, 1978, as amended by Parish Ordinance 5926 and City Ordinance 4692 on May 26, 1982,City-Parish Ordinance 7686 adopted October 24, 1984, City-Parish Ordinance 12278 adopted April 10, 2002, and City-Parish Ordinance 13478 adopted December 14, 2005, CityParish Ordinance 17194 adopted November 26, 2019, and City-Parish Ordinance 18782 adopted March 8, 2023, particularly the list of exceptions to the required parking fee, to add unpaid parking for events only for the Mayor-President and members of the Metropolitan Council. By Councilwoman Carolyn Coleman, Councilwoman Jennifer Racca, and Councilman Aaron Moak.
Legislation DRAFT Ordinance
23-00542 Amending Title 8 (Building Regulations), Chapter 8 (Fees), Section 8:801 (Schedule of Permit Fees) so as to add a permit fee for short term rental registration. By Department of Development.
Legislation DRAFT Ordinance
23-00594 Amending the Code of Ordinances of the City of Baton Rouge and Parish of East Baton Rouge, Title 9 (Licensing and Regulation of Trades and Occupations), Chapter 20 (Massage Establishments) so as to provide for regulations to be comprehensively updated with current practices of this trade. By Councilman Rowdy Gaudet. Legislation DRAFT Ordinance
23-00562 Authorizing settlement of the claim of Allstate insurance company a/s/o Deborah Magee for damages resulting from an auto accident caused by a department of public works employee, in the amount of $23,045.92 paid to Allstate insurance company as subrogee of Deborah Magee, which amount shall be paid from the account designated "Insurance - Auto Liability" (1000.4700.10.0550.0000.
0000.000000.644120). *This matter may be discussed in Executive Session. By Parish Attorney.
Cover Letter Resolution
23-00574 Authorizing settlement of the claim of Shelter Insurance Company a/s/o Cross Dunn for damages resulting from an auto accident caused by a Baton Rouge Police Officer, in the amount of $14,534.81 paid to Shelter Insurance Company as subrogee of Cross Dunn, which amount shall be paid from the account designated "Insurance - Auto Liability" (1000.4700.10.0550.0000. 0000.000000.644120). *This matter may be discussed in Executive Session. By Parish Attorney.
Cover Letter Resolution
23-00583 Authorizing settlement of the claim of State Farm Insurance Company a/s/o Jocelyn Nicholson for damages resulting from an auto accident caused by a Baton Rouge police officer, in the amount of $14,279.87 paid to State Farm Insurance company as subrogee of Jocelyn Nicholson, which amount shall be paid from the account designated "Insurance - Auto Liability" (1000.4700.10.0550.0000.
0000.000000.644120). *This matter may be discussed in Executive Session. By Parish Attorney.
Cover Letter Resolution
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23-00585 Authorizing settlement of the claim of Jonte' Smith for damages resulting from a sewer back-up in claimant's home, for a total amount of $20,939.34, which amount shall be paid from the account designated "Insurance - General Liability" (1000. 4700. 10. 0550. 0000. 0000. 000000.644110). *This matter may be discussed in Executive Session. By Parish Attorney.
Cover Letter Resolution
23-00589 Authorizing settlement of the matter entitled "Lawrence Bajoie, et al v. City of Baton Rouge, et al", Suit No. 649,080 on the docket of the 19th Judicial District Court, in the amount of $125,000.00, plus court costs in the amount of $1,227.62, for a total amount of $126,227.62; and appropriating $126,227.62 for such purpose. *This matter may be discussed in Executive Session. (Attorney of Record is Jill L. Craft). By Parish Attorney. Cover Letter Resolution
23-00599 Authorization for the Mayor-President and/or Chairman of the Airport Commission to execute a servitude of passage with Williams Jet Center Condominium Association, Inc. By Aviation Director. Legislation Cover Letter
23-00546 Amending the 2023 Annual Operating Budget for the Dr. Leo S. Butler Community Center so as to appropriate $9,000.00 from Fund Balance Assigned to Community Centers to provide additional funding for the 2023 Kids Summer Camp. These funds will be used to provide for a Wellness Counselor, lunch for four (4) field trips, and daily snacks for campers. These funds were generated through prior year rental revenues at the Community Center. By Councilwoman Coleman.
Legislation BS #8960 - Dr Leo S Butler Comm Ctr 2023 Kids Summer Camp
23-00587 Amend the 2023 Allotment of Positions for the City of Baton Rouge and Parish of East Baton Rouge, adopted by Ordinance #18718, dated 12/13/2022, so as to change the allotment of Buildings and Grounds as follows, effective May 11, 2023. Buildings and Grounds – Administration: delete (1) Confidential Secretary (Unclassified), job code 3512 and add (1) Executive Assistant (Classified), job code 2024. By Buildings and Grounds Director and Human Resources Director.
Legislation Cover Letter
23-00462 Authorizing the Mayor-President to execute an agreement with Mougeot Architecture, LLC for Architectural Design Services in connection with Pride Fire District No. 8 - Indian Mound Station, being City Parish Project No. 21-ASD-CP-1443 in an amount not to exceed $78,500.00. (Account No. 4652-1000-20-1008-0000-0000000000-652000). By Buildings and Grounds Director.
Legislation Cover Letter Other
23-00505 Authorizing Mayor-President accept an increase in the original project award of $2,794,187.00 under the Hazard Mitigation Grant Program 4277- Generators Project. The $297,710.00 increase has been approved by FEMA due to vendor bids exceeding the original budget to acquire and install 11 permanent generators and acquire 3 portable generators. By Homeland Security and Emergency Preparedness Director. Legislation Cover Letter
23-00516 Authorizing the Mayor-President on behalf of the Mayor's Office Of Community Development to authorize execution of a subrecipient agreement with the Baton Rouge Black Alcoholism Council d/b/a Metro Health to provide housing, case management and followup services for persons with HIV/AIDS in the amount of $300,000.00 HOPWA (Housing Opportunities For Persons With AIDS) funds for the term commencing January 1, 2023 Through December 31, 2023 and authorizing the execution of all documents in connection therewith. By Mayor's Office.
Legislation Agenda Space Request Resolution Contract
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23-00538 Authorizing the Mayor-President to enter into a sub-recipient agreement with the East Baton Rouge Parish Criminal Justice Coordinating Council in the amount of $300,000.00 to provide reentry services utilizing funds associated with the American Rescue Plan Act. By Mayor's Office.
Legislation Cover Letter
23-00564 Authorizing the Mayor President on behalf of the Division of Human Development & Services Ryan White Program to amend a subreceipient contract with Volunteers of America South Central Louisiana the amount of $273,546, for a total award amount of $494,316 under the Ryan White Ending the HIV Epidemic Program for the 2023-2024 grant period, and authorizing the execution of all documents in connection therewith. By Human Services Director.
Legislation Cover Letter
23-00566 Authorizing the Mayor-President to enter into a Cooperative Endeavor Agreement with the Louisiana Department of Health to provide assistance with coordinating the purchase of prescribed HIV medications to people living with HIV in the custody of the East Baton Rouge jail. By Mayor's Office.
Legislation Cover Letter
23-00565 Authorizing the Mayor-President on behalf of Human Development & Services to amend a subrecipient contract with Our Lady of the Lake, Inc. for an increase in the amount of $249,684 for a total amount of $359,684 awarded under the Ryan White Ending the HIV Epidemic Program, for the 2023-2024 grant period; and authorizing the execution of all documents in connection therewith. By Human Services Director. Legislation Cover Letter
23-00567 Authorizing the Mayor-President on behalf of the Division of Human Development & Services to amend a subrecipient contract with No AIDS/Taskforce for the Ryan White Ending the HIV Epidemic Program for an increase in the amount of $200,000 for a total award amount of $336,056 for the 2023-2024 grant period; and authorizing the execution of all documents in connection therewith. By Human Services Director.
Legislation Cover Letter
23-00568 Authorizing the Mayor-President on behalf of the Division of Human Development & Services to amend a subrecipient contract with HIV/AIDS Alliance for Region 2 for an increase in the amount of $300,000 for a total amount of $502,917 under the Ryan White Ending the HIV Epidemic Program, for the 2023-2024 grant period and authorizing the execution of all documents in connection therewith. By Human Services Director.
Legislation Cover Letter
23-00569 Authorizing the Mayor-President on behalf of the Division of Human Development & Services to amend a subrecipient contract with Family Services of Greater Baton Rouge for an increase in the amount of $246,145 for a total amount of $349,145, awarded under the Ryan White Ending the HIV Epidemic Program, for the 2023-2024 grant period; and authorizing the execution of all documents in connection therewith. By Human Services Director.
Legislation Cover Letter
23-00570 Authorizing the Mayor-President on behalf of the Division of Human Development and Services to amend a subrecipient contract with Capitol City Family Health Clinic for an increase in the amount of $280,625 for a total amount of $488,625 awarded under the Ryan White Ending the HIV Epidemic Program, for the 2023-2024 grant period; and authorizing the execution of all documents in connection therewith. By Human Services Director.
Legislation Cover Letter
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23-00571 Authorizing the Mayor President on behalf of the Division of Human Development & Services to accept funding from the US Department of Health and Human Services, Health Resources and Services Administration, for the Ryan White HIV/AIDS Program which includes Part A and the Minority AIDS Initiative in an amount of $3,876,366 for the grant period of March 1, 2023 through February 28, 2024 and authorizing the execution of all documents in connection therewith. By Human Services Director. Legislation Cover Letter
23-00572 Authorizing the Mayor President on behalf of the Division of Human Development and Services to accept funding from the US Department of Health and Human Services, Health Resources and Services Administration, for the Ryan White HIV/AIDS Program which includes Ryan White Ending the HIV Epidemic Funding in an amount of $1,794,200 for the grant period of March 1, 2023 through February 28, 2024 and authorizing the execution of all documents in connection therewith. By Human Services Director.
Legislation Cover Letter
23-00575 Authorizing the Mayor-President to execute a Lighting Agreement with the State of Louisiana, Department of Transportation and Development, in connection with State Project No. H.012232, LA 3064 to LA 1248 Phase 2 (Constantin Ave). By Transportation and Drainage Director.
Legislation Council Memo
23-00576 Authorizing the Mayor-President to execute Supplemental Agreement No 1 to the Contract for Engineer Services with G.E.C., Inc. in connection with the Terrace Street Drainage Pump Station Renovations project, being City-Parish Project No. 16-DR-CI0003, in an amount not to exceed $266,098.00 (Account No.
337.7530622.652200.5984415). By Transportation and Drainage Director. Legislation Council Memo
23-00580 Authorizing the Mayor-President to enter into a three month emergency extension of contract No. 8*2652 for WC – Claims Adjusting Services through June 30, 2023, with Sedgwick Claims Management Services, Inc. By Parish Attorney.
Legislation Draft Resolution Contract
23-00581 Authorizing the Mayor-President to enter into a three month emergency extension of contract No. 8*2654 for General Liability Claims Adjusting Services through June 30, 2023 with Sedgwick Claims Management Services, Inc., and adding $40,000.00 to said contract. By Parish Attorney.
Legislation Draft Resolution Contract
23-00582 Authorizing the Mayor-President to execute Supplemental Agreement No. 2 for Professional Engineering Services with AECOM Technical Services, Inc. for a partial allowance to initiate final design services associated with MOVEBR Corridor Enhancement Project College Drive (Perkins Rd. to I-10), being City-Parish Project No. 19-EN-HC-0033, in an amount not to exceed $800,000.
(Account No. 9217100081-4371 00000-0000000000-653240). By Transportation and Drainage Director.
Legislation Council Memo
23-00584 Authorizing the Mayor-President to execute a Contract for Acquisition Services with Ruba Thomas Realtor, Inc., for services associated with MOVEBR Capacity Project Jefferson Hwy at Corporate Blvd. Intersection, being City-Parish Project No. 20-CP-HC0034, in an amount not to exceed $85,030.00. (Account No. 92071000254371.00000-0000000000-651120). By Transportation and Drainage Director.
Legislation Council Memo
80.
81.
23-00588 Authorizing the Mayor-President to execute a Supplemental Agreement to Articles of Agreement Utility Relocation Agreement with the City of Baker, for services associated with MOVEBR Capacity Project McHugh Road (Groom – Lower Zachary), City-Parish Project No. 19-CP-HC-0039, in an amount not to exceed $300,000.00 (Account No. 9217100012-00000 4360.00006-0000000000-653240). By Transportation and Drainage Director.
Legislation Council Memo
23-00595 Authorizing the Mayor-President on behalf of Baton Rouge City Court to enter a contract for Professional Services Agreements with Clare Neely. The contract is not to exceed the sum of $72,000.00 for the term of the contract. The services provided are the performance of highly responsible court reporting activities which include taking verbatim testimony during court proceedings and transcribing. These services are provided by licensed Certified Court Reporters. The contract period is for one year; draft contract is attached. By Clerk of Court/Judicial Administrator.
Legislation Cover Letter Contract
23-00596 Authorizing the Mayor-President on behalf of Baton Rouge City Court to enter a contract for Professional Services Agreements with Amber Clark. The contract is not to exceed the sum of $72,000.00 for the term of the contract. The services provided are the performance of highly responsible court reporting activities which include taking verbatim testimony during court proceedings and transcribing. These services are provided by licensed Certified Court Reporters. The contract period is for one year; draft contract is attached. By Clerk of Court/Judicial Administrator. Legislation Cover Letter Contract
82.
23-00597 Authorizing the Mayor-President on behalf of Baton Rouge City Court to enter a contract for Professional Services Agreements with Jodie Hebert. The contract is not to exceed the sum of $72,000.00 for the term of the contract. The services provided are the performance of highly responsible court reporting activities which include taking verbatim testimony during court proceedings and transcribing. These services are provided by licensed Certified Court Reporters. The contract period is for one year; draft contract is attached. By Clerk of Court/Judicial Administrator. Legislation Cover Letter Contract
ADJUDICATED PROPERTIES
ADMINISTRATIVE MATTERS
ADMINISTRATIVE MATTER INTRODUCTIONS
A.
23-00664 Receiving a report from Set Free Indeed and the EBR District Attorney Office, The When You Are Ready BR, Drug Overdose Prevention Campaign on overdose deaths in East Baton Rouge Parish. By Councilwoman Chauna Banks.
Introduce for public hearing/meeting on May 24, 2023
Cover Letter
ADMINISTRATIVE MATTER ITEMS
B.
23-00663 Receiving an update on the City-Parish pay study from the Mayor's Office and Councilman Darryl Hurst. By Councilman Darryl Hurst.
Reason for administrative matter: To allow the item to be heard on May 10 Cover Letter
APPOINTMENTS
83. 23-00627 ATCHAFALAYA TRACE COMMISSION
Consideration of reappointing or replacing Hilary Collis, whose term expires on May 12, 2023, effective May 13, 2023. This is a three (3) year term. (Representing East Baton Rouge Parish
Current Ballot
Hilary Collis – Associate Director of Philanthropy – The Nature Conservancy
84. 23-00628 LIBRARY BOARD OF CONTROL
Consideration of reappointing or replacing Donald Luther, whose term expires on May 16, 2023, effective May 17, 2023. This is a four (4) year term.
Current Ballot
Donald Luther
Christopher Richard
Kathleen Wascom
85. 23-00629 LIBRARY BOARD OF CONTROL
Consideration of reappointing or replacing Kathleen Wascom, whose term expires on May 16, 2023, effective May 17, 2023. This is a four (4) year term.
Current Ballot
Donald Luther
Christopher Richard
Kathleen Wascom
ITEMS
CHANGE ORDERS
86. 23-00624 Beckenham Drive Drainage Improvements
Project Number:
21-DR-US-0044
Original Estimated Cost: $ 85,000.00
Purchase Order Number: 800004872
Account Number:
2022 2712-7100-20-7110-0000-YR21-000000-653000-
41015
Council Award Date: 8/10/2022
Contractor:
McCoy Group LLC
Change Order Number: One (1) (Final)
Change Order Amount: $ 17,652.62
Original Contract Amount: $ 113,027.40
Net Previous Changes: $ -0-
New Contract Amount: $ 130,680.02
Description:
Adjust contract quantities of all items to as-built quantities.
Why Required:
To make payment for final field-measured quantities.
Legislation Change Order Agenda Space Request
23-00643 SWWTP Buffer Improvements
Project Number:
22-TP-MS-0002
Original Estimated Cost: $ 300,000.00
Purchase Order Number: 800004882
Account Number:
80502-5110000004-NCDST0008-653400
Council Award Date: 10/12/2022
Contractor:
Hackley Enterprises, LLC
Change Order Number: One
Change Order Amount: $ 46,006.30
Original Contract Amount: $ 286,695.00
Net Previous Changes: $ 0.00
New Contract Amount: $ 332,701.30
Description:
Added work for unforeseen site conditions.
Why Required:
To facilitate the project.
Legislation Council Memo
87.
23-00644 Sales Tax Street and Road Rehabilitation Program Project 18-3 Streets in the Lee-
Stanford-Perkins Area
Project Number:
22-AO-ST-0005
Original Estimated Cost: $ 2,200,000.00
Purchase Order Number:
Account Number:
9237100084–2341 00001–220AO0ST05-647100
Council Award Date: 9/14/2022
Contractor:
Barriere Construction, Co, LLC
Change Order Number: One (1)
Change Order Amount: $ 357,358.40
Original Contract Amount: $ 2,475,156.80
Net Previous Changes: $ -0-
New Contract Amount: $ 2,832,515.20
Description:
Added an additional street within the area that warranted rehabilitation.
Why Required:
See attachments
Legislation Change Order Document Change Order Agenda Space Request
89.
90.
23-00645 Pecue Place Regional Pump Station
Project Number:
20-PS-IF-023A
Original Estimated Cost: $ 1,150,000.00
Purchase Order Number: 800004409
Account Number:
80820-5120STP004-NCDPPS0061-653400
Council Award Date: 2/9/2022
Contractor:
NCMC, LLC
Change Order Number: One
Change Order Amount: $ 30,644.88
Original Contract Amount: $ 1,027,000.00
Net Previous Changes: $ 0.00
New Contract Amount: $ 1,057,644.88
Description:
Mats to access site and concrete driveway redesign.
Why Required:
To facilitate the project.
Legislation Council Memo
23-00647 Pump Station 44 Valve Replacement
Project Number:
11-PS-MS-024A
Original Estimated Cost: $ 510,000.00
Purchase Order Number: 800005019
Account Number:
80820-5110000004-NCDPPS0062-653400
Council Award Date: 9/21/2022
Contractor:
NCMC, LLC
Change Order Number: One
Change Order Amount: $ 11,733.13
Original Contract Amount: $ 571,000.00
Net Previous Changes: $ 0.00
New Contract Amount: $ 582,733.13
Description:
Added scope to repair existing equipment.
Why Required:
To facilitate the final change order for this project.
Legislation Council Memo
91. 23-00648 Sharon Hills- Cedar Glen Area Rehabilitation
Project Number:
20-AR-MS-0098
Original Estimated Cost: $ 1,400,000.00
Purchase Order Number: 800003671
Account Number:
5110-7700-40-7710-7700-0000-000000-653000-80703
Council Award Date: 4/14/2021
Contractor:
Gulf Coast Underground, LLC
Change Order Number: One
Change Order Amount: $ (331,543.19)
Original Contract Amount: $ 933,171.53
Net Previous Changes: $ 0.00
New Contract Amount: $ 601,628.34
Description:
Final adjustment of quantities.
Why Required:
To facilitate the project.
Legislation Council Memo
FINAL ACCEPTANCES
92. 23-00625 Beckenham Drive Drainage Improvements
Project Number:
21-DR-US-0044
Account Number:
2022 2712-7100-20-7110-0000-YR21-000000-643500-41
Council Award Date:
8/10/2022
Contractor:
McCoy Group LLC
Estimated Cost:
$ 85,000.00
Contract Amount:
$ 113,027.40
Total Change Orders: (One (1)): $ 17,652.62
Final Cost:
$ 130,682.02
Days Allocated:
45
Days Used:
45
Liquidated Damages:
$ None
Legislation Final Acceptance Agenda Space Request
93.
23-00650 SWWTP Buffer Improvements
Project Number:
22-TP-MS-0002
Account Number:
80502-5110000004-NCDST0008-653400
Council Award Date:
10/12/2022
Contractor:
Hackley Enterprises, LLC
Estimated Cost:
$ 300,000.00
Contract Amount:
$ 286,695.00
Total Change Orders: (One): $ 46,006.30
Final Cost:
$ 332,701.30
Days Allocated:
180
Days Used:
100
Liquidated Damages:
$ 0.00
Legislation Council Memo
23-00653 Pecue Place Regional Pump Station
Project Number:
20-PS-IF-023A
Account Number:
80820-5120STP004-NCDPPS0061-653400
Council Award Date:
2/9/2022
Contractor:
NCMC, LLC
Estimated Cost:
$ 1,150,000.00
Contract Amount:
$ 1,027,000.00
Total Change Orders: (One): $ 30,644.88
Final Cost:
$ 1,057,644.88
Days Allocated:
240
Days Used:
284
Liquidated Damages:
$ 0.00
Legislation Council Memo
95. 23-00654 Pump Station 44 Valve Replacement
Project Number:
11-PS-MS-024A
Account Number:
80820-5110000004-NCDPPS0062-653400
Council Award Date:
9/21/2022
Contractor:
NCMC, LLC
Estimated Cost:
$ 510,000.00
Contract Amount:
$ 571,000.00
Total Change Orders: (One): $ 11,733.13
Final Cost:
$ 582,733.13
Days Allocated:
120
Days Used:
46
Liquidated Damages:
$ 0.00
Legislation Council Memo
96. 23-00656 Sharon Hills- Cedar Glen Area Rehabilitation
Project Number:
20-AR-MS-0098
Account Number:
5110-7700-40-7710-7700-0000-000000-653000-80703
Council Award Date:
4/14/2021
Contractor:
Gulf Coast Underground, LLC
Estimated Cost:
$ 1,400,000.00
Contract Amount:
$ 933,171.53
Total Change Orders: (One): $ (331,543.19)
Final Cost:
$ 601,628.34
Days Allocated:
180
Days Used:
313
Liquidated Damages:
$ 0.00
Legislation Council Memo
ACCEPTANCE OF LOW BIDS
97. 23-00603 Janitorial Services for Public Safety Facilities, Juvenile Supplemental
Project: A21-0405S
Account: 1000-7800-10-7830-0000-0000-000000-642200
Estimat
Legislation Cover Letter Agency Approval of Bids Bid Tabulation Sheet
OTHER ITEMS
98.
23-00415 A discussion of the matter entitled "Michael McClanahan, et al vs. Scott Wilson, et al," Suit No. 17-cv-01720 on the docket of the U.S. District Court Middle District of Louisiana. *This matter may be discussed in Executive Session.* (Attorney of record is William Most of Most & Associates). By Councilwoman Chauna Banks.
This item was deferred from April 12, 2023
Legislation Draft Resolution
23-00598 Receiving a report from the Department of Environmental Services on recycling fees
99.
and the possibility of waiving such fees. By Councilwoman Jen Racca. Legislation Cover Letter
OTHER ITEMS TO BE ADOPTED (EMERGENCY)
ADJOURNMENT
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A Review of Natural Zeolites and Their Applications: Environmental and Industrial Perspectives
Gilar Wisnu Hardi, Muhammad Artha Jabatsudewa Maras, Yori Rachmia Riva, and Siti Fauziyah Rahman*
Program Study of Biomedical Engineering, Department of Electrical Engineering, Faculty of Engineering, Universitas Indonesia, Kampus UI Depok 16424, Indonesia,.
Abstract
Unique and outstanding physical and chemical properties of zeolite materials make them extremely useful in a variety of applications, including agronomy, ecology, manufacturing, and industrial processes. Zeolites are crystalline hydrated aluminosilicates with physical and chemical properties, including loss and adsorb water and other molecules that act as molecular sieves and substitution of their constituent cations without any structural change. In this review, we summarize the main uses of zeolites in environmental and industrial perspectives, including zeolite as pollutant removal, construction, and catalyst.
where the part of the square brackets reflects the framework atoms and the part of the extraframework atoms outside the square brackets is cations plus water molecules [1]. Once dehydrated (or "activated"), a zeolitic phase can readsorb not only water, but also gases, vapors, and fluids, particularly if their molecules are polar [1].
1. INTRODUCTION
Cronstedt (1756) created the term "zeolite" from the Greek with means "to boil" and "stone", for minerals that remove water when heated [1]. Zeolites have alkali and alkaline earth cations with crystalline hydrated aluminosilicate, open, threedimensional structure. This is also able to reversibly lose and gain water and exchange extraframework cations, even without altering the structure of crystal. The broad structural cavities and the inlet channels contain water molecules, which form spheres of hydration around exchangeable cations [2].
The general formula for natural zeolites is
Many zeolites naturally occur in volcanic lava flux cavities as mineral and are mined extensively all over the world. Other zeolites are synthetic and for commercial uses or produced for researchers [3]. Zeolites are presented in the hardened lava either during diagenesis due to active geothermal systems in high heat flow areas, during the burial metamorphism of the lava pile, or hydrothermal alteration of the continental basalts [3].
Due to their unique properties, zeolites are used in a variety of applications worldwide. This paper aims to give review regarding the implementation of natural zeolites, especially in the environmental and industrial perspectives.
2. CLASSIFICATION OF NATURAL ZEOLITE
Based on the framework structure of the natural zeolites, Gottardi and Galli classified natural zeolites into seven groups [1, 4]. Figure 1 shows the classification and type of natural zeolites.
(Li, Na, K)a(Mg, Ca, Sr, Ba)d[Al(a+2d)Sin-(a+2d)O2n]·mH2O
3. APPLICATION OF ZEOLITE
Figure 2 shows the applications of natural zeolite. Zeolite can be used to remove pollutants, both gas and wastewater, construction, catalyst, medical uses [5–7], and food and agriculture [2, 8]. In this paper, we will discuss more the application of zeolite for pollutants, construction, and catalyst.
3.1 Pollutant
Removal pollutant from wastewater or gas process needs appropriately modified zeolite. Type of pollutants in wastewater consists of ammonium, phosphorus, heavy metal, inorganic anion, organics, and dye adsorption. Since natural zeolites have some physicochemical properties to adsorb or ion exchange some of compound, natural zeolites have the possibility to remove pollutant from water [9].
An et al. [10] conducted experiment and adsorption characteristics such as kinetics, isotherms, and mechanism of Mg 2+ modified zeolite to adsorb NH4 + -N and E-coli. The results showed that modified zeolite has higher activity due to the unique surface of the material. Langmuir model was used in the equilibrium adsorption model of NH4 + -N and E coli with pseudo-second-order model as an adsorption kinetics model. Khosravi et al. [11] also investigated the removal of ammonium using modified natural zeolite with diluted acid and NaCl from Western Azerbaijan. They also studied adsorption kinetics using Langmuir and Freundlich isotherm models. They found that the kinetics studies followed pseudo-second-order model. Modification of zeolite showed improvement on ammonium removal process. Many researchers have reported the utilization of natural zeolite for removal of ammonium using modified natural zeolite [12–14]. Statistical analysis and optimization of ammonia removal were studied by Ding et al. [12]. They found that removal of ammonium depends on pH, ammonia concentration, and zeolite dose. They found that pH 6 was the best pH since ammonia under low pH conditions has NH4 + form. Higher composition of zeolite was also increasing removal efficiency. Based on their experiments, temperature was not significantly influence removal process.
Investigation of NaCl-modified zeolite on the removal of nitrogen and phosphorus by evaluating pH, reaction time, and zeolite dose was studied by Cheng et al. [15]. They used Langmuir and Freundlich adsorption isotherms models to analyze adsorbent kinetics and mechanisms of the zeolite. They compared characterization of natural and modified zeolite using XRD, XRF, SEM, and FTIR. They found that NaCl modified zeolite increased Si/Al ratio and content of exchangeable cations such as Na + . Si/Al ratio influences their physicochemical properties of zeolite, while higher in Na + is a benefit for the removal of the other cations. Different from the studies by Ding et al., Cheng et al. found optimal pH for NH 4 + -N and PO 4 3at pH 8. Different results influenced by type of zeolite and treatment. For phosphorous case, soluble inorganic can be present in chemical form: H 3 PO 4 at pH < 2; H 2 PO 4 -at pH 3 - 6.5; HPO 4 2at pH 7.5 - 12; PO 4 3at pH > 12 [16]. Effect of reaction time and zeolite dosage was also investigated. They found that removal efficiency increased with the contact time. With dosage 1g zeolite/100mL, the removal reaction rate increased rapidly until it reached equilibrium at 360 mins. Increasing zeolite dosage increased surface area that can effectively decrease the unsaturation of the ion exchange sites of the zeolites. Lin et al. [16] conducted experiments for phosphorous removal rates by natural zeolites. They investigated the effect of pH, contact time, and removal mechanism between batch and column test. They found that optimum pH for recoveries of P and N was high at pH 9.3. They also proposed two-step mechanism for removal of P and N. First, ammonium was adsorbed to zeolite by releasing Ca 2+ ion to solution, then Ca 2+ ion formed precipitate with phosphate for removal.
Heavy metals are classified as metallic elements with a relatively high density of over 5 g/cm 3 [17]. There have been growing local and global public health issues associated with the pollution of these metals by the environment. Removal of heavy metals by using natural and modified zeolite was also studied. Zamzow et al. determined the selectivity of removing heavy metals and other cations using clinoptilolites with sodium as exchangeable ion as follows: Pb>Cd>Cs>Cu(II)>Co(II)>Cr(III)>Zn>Ni(II)>Hg(II) [18]. Structural diversity of natural zeolites is essential for the adsorption of metal Pb in the wastewater, as reported by Curkovi et al. [19]. Borandegi and Ejhieh [20] had the finding that the modified zeolite by glutamic acid showed strong selectivity for cobalt in the presence of specific multivalent cations. Modification of zeolites using hexadecyltrimethylammonium bromide (HDTMA) and octadecyltrimethylammonium bromide (ODTMA) was also studied by Szala et al. [21] showed higher activity for removing of chromium (VI) using clinoptilolite.The adsorption process of cadmium and copper using modified natural zeolite was also investigated by Taamneh and Sharadqah [22]. The paper concludes that metal bulk concentration, adsorption time, and mass of adsorbent are factors affecting adsorption process.
3.2 Construction
The addition of natural zeolites to concrete is found to highly efficient in strengthening the stability of the final concrete product [23]. In China, as reported by Feng and Peng [24], in 2005, cement production is industry with the most significant zeolite consumption. In Germany, volcanic material from Keiserstuhl that contains 45% zeolite is used for concrete production [25]. The utilization of natural zeolite as a supplement in cement and concrete composites with 10-50% composition is also studied [26–30]. Furthermore, natural zeolite that is used for construction and building material has some unique characteristics, such as antibacterial agent, nonalkali antifreeze, and rapid mixing, carrier fluidizing agent (CFA) for concrete workability, and humidity-conditioning material [24, 31–33].
Natural zeolite can be used as pozzolanic materials since natural zeolite contains a large proportion of SiO2 and Al2O3. The formation of calcium hydroxide in the hydration of cement can contribute to the formation of highly vulnerable concrete [23]. This problem can be reduced by mixing cement with natural zeolite. The mixing with natural zeolite can form dense microstructure of hardened cement and concrete since SiO2 and Al2O3 in zeolite forming calcium silicate hydrate and aluminate hydrate gels [23, 32, 34–37]. Besides that, the effect on addition of natural zeolite also helps to reduce chloride ion penetration into concrete [35, 38]. The addition of natural zeolite as lightweight aggregates into concrete can reduce weight while improving the durability and thermal insulation ability of concrete [2, 23, 27, 29, 39]. All the results of construction research showed that cement or concrete with proper dosage of natural zeolite has high-performance ability.
Najimi et al. investigated mechanical and durability properties of concrete with addition of clinoptilolite [32]. The results showed satisfactory performance of concrete in acid environment. Durability of the concretes with the addition of 15% natural zeolite was found as an appropriate composition to enhance the effectiveness of water penetration, chloride ion penetration, corrosion rate, and drying shrinkage of concrete. However, the compressive strength of concrete containing natural zeolite was lower than without natural zeolite. Markiv et al. [27] also investigate the mechanical properties of concrete using natural zeolite. They found that the compressive strength using natural zeolite was higher than without zeolite after 180 days of hardening. They also found that natural zeolite is effective component to improve the durability of concrete that results in increasing the resistance of freezing and thawing damage and decreasing drying shrinkage, water penetration depth.
3.3 Catalyst
Researchers are trying to explore the potential of zeolites in industrial applications as a catalyst due to its excellent absorbency. Zeolites have several advantages, such as it is abundant material, inexpensive, and environmental ecofriendly [40, 41]. The uses of natural zeolites as catalyst support include pyrolysis [40, 42], transesterification of palm oil [43], dimethyl ether from methanol synthesis [44], hydrogenation [45], and for isomerization process [46, 47].
The utilization of zeolites as catalyst support for transesterification of palm oil was studied by Kusuma et al. [43]. They prepared the zeolite catalyst by impregnation with KOH. Before preparation of catalyst, zeolite was treated with hydrogen peroxide solution. While preparing the catalyst, zeolites were calcined at 450℃ . This process converted KOH into K2O which become active site during the transesterification reaction. The catalyst was characterized and used as catalyst for biodiesel production. The results show that the performance of the catalyst was having high yield, good stability with three reaction cycles of reusability. Beside catalyst for biodiesel, zeolite was also used for dimethyl ether from methanol [44]. The results show that zeolites have properties to adsorb the water, so it has possibility to become inexpensive and efficient catalyst for DME production.
Zeolites, as pyrolysis catalyst, were also observed by Pütün et al. [42] and Lee et al. [40]. Lee et al. evaluated two-stage catalytic pyrolysis of lignin using fixed bed reactor system contain in-situ natural zeolite and ex-situ HZSM-5 as the additive and main catalyst. The results show natural zeolite was very helpful in improving alkylphenols and pyrocatechols. It was also decreasing guaiacols, eugenols, and heavy lignin pyrolyzates. It also shows that the two-stage pyrolysis using NZ and HZSM-5 made the process more economical. According to Pütün et al., the liquid obtained by pyrolysis using natural zeolite offers a strongly aliphatic substance with more olefinic and aromatic fractions compared to previous noncatalytic processes.
4. CONCLUSION
Natural zeolites have many advantages, such as abundant, inexpensive, and environmentally friendly materials. Zeolites have proved to be effective in various environmental and industrial applications. These applications are related to the adsorption properties of zeolites. Zeolites have been used for pollutant removal both gas and wastewater, construction as the addition of concrete materials to improve their stability properties, and catalyst for energy production.
Natural zeolites have some physicochemical properties to adsorb or ion exchange some of compound so that natural zeolites can remove pollutant from water. Besides for pollutant removal, the addition of natural zeolites in the application of constructions is found to have high-performance ability in strengthening the stability of the final cement or concrete with proper dosage of natural zeolite. Many researchers are also conducted to explore potential zeolites as catalysts. All the study showed that zeolites have high potential as catalysts, especially for dehydrogenation and dehydration.
ACKNOWLEDGMENT
We gratefully acknowledge the funding from Universitas Indonesia through Publikasi Terindeks Internasional (PUTI) Saintekes 2020 No. NKB-2450/UN2.RST/HKP.05.00/2020.
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University of Nebraska - Lincoln
DigitalCommons@University of Nebraska - Lincoln
Module 1 - How People Reason
Workshop Materials - College Teaching and the Development of Reasoning
October 2007
Module 1 - How People Reason - Overview
Follow this and additional works at: http://digitalcommons.unl.edu/adaptworkshopmodule1 Part of the Curriculum and Instruction Commons
"Module 1 - How People Reason - Overview" (2007). Module 1 - How People Reason. 1. http://digitalcommons.unl.edu/adaptworkshopmodule1/1
This Article is brought to you for free and open access by the Workshop Materials - College Teaching and the Development of Reasoning at DigitalCommons@University of Nebraska - Lincoln. It has been accepted for inclusion in Module 1 - How People Reason by an authorized administrator of DigitalCommons@University of Nebraska - Lincoln.
Module 1
How People Reason
Introduction
You have probably been puzzled at various times in your teaching career by the thinking strategies that students appear to use to solve problems. It is difficult for most of us to understand that many students do not use reasoning patterns that seem obvious to us. Many students substitute numbers into a formula they remember even though the formulas may not be applicable to the problem at hand. This situation quite naturally leads us to wonder about the reasoning that students utilize when we would employ mental operations such as separating variables, excluding an irrelevant factor, or applying a mathematical relationship such as ratios.
Objectives
To assist you in distinguishing among various patterns of reasoning used to solve simple problems.
Procedure
The activities of this module take place at four different stations. You will find a different puzzle activity at each station, and may visit them in any order you wish. Take one of the puzzle pamphlets at the station's table and then carry out the steps described on the first page of the pamphlet in the order given. Please do at least three activities, and then complete the self-check on the back of this page. You may wish to discuss your findings with the other participants as you proceed through this module.
You will be able to examine four different puzzle activities:
The Treasure Hunt Puzzle, The Mr. Short/Mr. Tall Puzzle, The Mealworm Puzzle and The Islands Puzzle
Have a good time!
Module 1 Self Check
After you have completed the puzzles in Module 1, please read the following responses and classify them as Student A or Student B. Compare your answers with those of other participants and with ours (bottom of page).
Student X1 (age 23) Treasure Hunt Puzzle
W, WR, WJ, WF, WRJ, WRJF, WRF, WJF, R, J, F Type
Student X2 (age 21) Mr. Short/Mr. Tall Puzzle
Prediction for Mr. Tall: 15 paper clips high
Explanation: "Guess, I'm really not sure how to do this." Type
Student X3 (age 20) Mealworm Puzzle
A) light but not moisture. "When the sunlight is at one end
of the box it is dry, they all move to that one end."
Type
Student X4 (age 20) Islands Puzzle
1. Answer: Can't tell from the two clues
Explanation: No information about flights between B and D.
2. Answer: Yes
Explanation: Go from C to D and then to B.
3. Answer: Can't tell from the three clues.
Explanation: Not possible to fly from B to A, and there is no mention of a direct flight between C and A. Type
Now go on to Module 2.
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Strong coupling asymptotics of the $\beta$-function in $\varphi^4$ theory and QED
I. M. Suslov
Kapitza Institute for Physical Problems,
Moscow, Russia
Abstract
The well-known algorithm for summing divergent series is based on the Borel transformation in combination with the conformal mapping. A modification of this algorithm allows one to determine a strong coupling asymptotics of the sum of the series through the values of the expansion coefficients. An application of the algorithm to the $\beta$-function of $\varphi^4$ theory leads to the asymptotics $\beta(g) = \beta_\infty g^\alpha$ at $g \to \infty$, where $\alpha \approx 1$ for space dimensions $d = 2, 3, 4$. The natural hypothesis arises, that the asymptotic behavior is $\beta(g) \sim g$ for all $d$. Consideration of the "toy" zero-dimensional model confirms the hypothesis and reveals the origin of this result: it is related to a zero of a certain functional integral. A generalization of this mechanism to the arbitrary space dimensionality leads to the linear asymptotics of $\beta(g)$ for all $d$. The same idea can be applied to QED and gives the asymptotics $\beta(g) = g$, where $g$ is the running fine structure constant. A relation to the "zero charge" problem is discussed.
1. Introduction
It is commonly accepted that summing divergent series can give important and non-trivial information. It will be demonstrated below that sometimes we can obtain even more: summation of the series allows to guess the exact result and then this result can be proved.
Our main interest is a reconstruction of the Gell-Mann – Low function $\beta(g)$ for actual field theories from its divergent perturbation expansion. We describe the summation procedure in Sec. 2 and illustrate it for the case of $\varphi^4$ theory in Sec. 3. The arising hypothesis on the linear asymptotics $\beta(g) \propto g$ is tested in Sec. 4 in the zero-dimensional limit, while Sec. 5 gives its justification for any dimension $d \leq 4$. The same idea is applied to QED in Sec. 6. Finally, Sec. 7 discusses some problems arising in relation to the obtained results.
2. Summation procedure
Let us consider the typical problem in field theory applications. A certain quantity $W(g)$ is defined by its formal perturbation expansion
$$W(g) = \sum_{N=0}^{\infty} W_N(-g)^N$$ \hspace{1cm} (1)
in the powers of the coupling constant $g$. The coefficients $W_N$ are given numerically and have the factorial asymptotics at $N \to \infty$,
$$W_N^{as} = ca^N \Gamma(N + b),$$ \hspace{1cm} (2)
which is a typical result obtained by the Lipatov method [15]. One can see that the convergence radius for (1) is zero. The problem arises, can we make any sense of the series (1) and find $W(g)$ for arbitrary $g$.
The conventional treatment of the series (1) is based on the Borel transformation
$$W(g) = \int_0^{\infty} dx e^{-x} x^{b_0 - 1} B(gx),$$ \hspace{1cm} (3)
$$B(z) = \sum_{N=0}^{\infty} B_N(-z)^N, \quad B_N = \frac{W_N}{\Gamma(N + b_0)},$$ \hspace{1cm} (4)
relating the function $W(g)$ with its Borel transform $B(z)$, while $B(z)$ is given by a series with a factorially improved convergence; $b_0$ is an arbitrary parameter, which can be used for optimization of the procedure. Under the proper conditions, Eq.3 is an identity obtained by interchanging of summation and integration and using a definition of the gamma-function. In the general case, Eqs.3,4 give a definition of the Borel sum for a series (1). In what follows, we identify the function $W(g)$ with the Borel sum of its perturbation series. In the case of $\varphi^4$ theory, it is possible to test a validity of such identification in one and zero dimensions [24] and to prove the Borel summability in two and three dimensions [16, 6].
It is easy to show that the Borel transform $B(z)$ has a singularity at the point $z = -1/a$ (Fig. 1, $a$) determined by the parameter $a$ in the Lipatov asymptotics (2). The series for $B(z)$ is convergent in the disk $|z| < 1/a$, while we should know it on the positive semi-axis, in order to perform integration in the Borel integral (3); so we need an analytical continuation of $B(z)$. Such analytical continuation is easy if the coefficients $W_N$ are defined by a simple formula, but it is a problem when they are given numerically.
The elegant solution of this problem was given by Le Guillou and Zinn-Justin in 1977 [8]. It is based on the hypothesis that in field theory applications all singularities of $B(z)$ lie on the negative semi-axis. This hypothesis can be proved in the case of $\varphi^4$ theory [21].\footnote{A validity of this hypothesis is frequently questioned in relation to possible existence of the renormalon singularities [7]. Such singularities can be easily obtained by summing some special sequences of diagrams, but their existence was never proved, if all diagrams are taken into account [2]. The present results for the asymptotics of the $\beta$-function (Secs. 5, 6) are in agreement with a general criterion for absence of renormalon singularities [22] and a proof of their absence for $\varphi^4$ theory [21] (see a detailed discussion in [23]).} If
Figure 1: (a) The Borel transform $B(z)$ is analytical in the complex plane with the cut $(-\infty, -1/a)$; (b) Its domain of analyticity can be conformally mapped to a unit disk in the $u$ plane; (c) If analytic continuation is restricted to the positive semi-axis, then a conformal mapping can be made to any domain, for which the point $u = 1$ is the nearest to the origin of all boundary points; (d) An extreme case of such domain is the $u$ plane with the cut $(1, \infty)$.
such analytical properties are accepted, we can make a conformal transformation $z = f(u)$, mapping the complex plane with the cut (Fig. 1, $a$) into the unit disk $|u| < 1$ (Fig. 1, $b$). If we re-expand $B(z)$ in the powers of $u$,
$$B(z) = \sum_{N=0}^{\infty} B_N(-z)^N \bigg|_{z = f(u)} \quad \longrightarrow \quad B(u) = \sum_{N=0}^{\infty} U_N u^N,$$
then such series will be convergent for any $z$ except the cut $(-\infty, -1)$. Indeed, all singular points $P$, $Q$, $R$, $\ldots$ of $B(z)$ lie on the cut, and their images $P$, $Q$, $Q'$, $R$, $R'$, $\ldots$ in the $u$ plane appear on the circle $|u| = 1$. The re-expanded series in (5) is convergent for $u$ lying within the unit circle, but the interior of the circle $|u| < 1$ is in one-to-one correspondence with the analyticity domain in the cutted $z$ plane (Fig. 1, $a$).
Such conformal mapping is unique (apart from trivial modifications), if we want to make an analytical continuation to the whole domain of analyticity. In fact, such strong demand is not necessary since we need $B(z)$ only at the positive semi-axis, in order to produce integration in (3). If we accept that the image of $z = 0$ is $u = 0$ and the image of $z = \infty$ is $u = 1$, then we can make a conformal mapping to any domain, for which the point $u = 1$ is the nearest to the origin of all boundary points (Fig. 1, $c$). The series in $u$ converges for $|u| < 1$, and in particularly at the interval $0 < u < 1$, which is the image of the positive semi-axis.
The advantage of such conformal mapping consists in the possibility to express the large $g$ asymptotics of $W(g)$ in terms of the expansion coefficients $W_N$. Indeed, the divergency of the series in $u$ is determined by the nearest singular point $u = 1$, which is an image of infinity: so the large $N$ behavior of the expansion coefficients $U_N$ is related to the strong coupling asymptotics of $W(g)$. In order to diminish influence of other singular points $P$, $Q$, $Q'$, $\ldots$, it desirable to remove these points as far, as possible. Thereby, we come to an extremal form of such conformal mapping, when it is made on the whole complex plane with the cut $(1, \infty)$ (Fig. 1, $d$). Mapping of the initial region (Fig. 1, $a$) to the region of Fig. 1, $d$ is given by a simple rational transformation
$$z = \frac{u}{a(1-u)},$$
for which it is easy to find the relation of $U_N$ and $B_N$,
$$U_0 = B_0, \quad U_N = \sum_{K=1}^{N} \frac{B_K}{a^K} (-1)^K C_{N-1}^{K-1} \quad (N \geq 1),$$
where $C_N^K = N!/K!(N-K)!$ are the binomial coefficients. If $W(g)$ has a power law asymptotics
$$W(g) = W_\infty g^\alpha, \quad g \to \infty,$$
then the large order behavior of $U_N$
$$U_N = U_\infty N^{\alpha-1}, \quad N \to \infty,$$
\[ U_\infty = \frac{W_\infty}{a^\alpha \Gamma(\alpha) \Gamma(b_0 + \alpha)} \] (10)
is determined by the parameters \( \alpha \) and \( W_\infty \). Consequently, we come to a very simple algorithm [24]: the coefficients \( W_N \) of the initial series (1) define the coefficients \( U_N \) of re-expanded series (5) according to Eqs. 4, 7, while the behavior of \( U_N \) at large \( N \) (Eqs. 9, 10) is related to the strong coupling asymptotics (8) of \( W(g) \).
If information on the initial series (1) is sufficient for establishing its strong coupling behavior (8), then summation at arbitrary \( g \) presents no problem. The coefficients \( U_N \) are calculated by Eq. 7 for not very large \( N \), and then they are continued according to their asymptotics (9). Consequently, we know all coefficients of the convergent series (5) and it can be summed with the required accuracy.
Few comments should be made to avoid a misunderstanding. The conformal mapping corresponding to Fig. 1, b provides (for fixed \( z \)) the fastest convergence rate for the \( u \) series [5], and is cited as "optimal" in the literature. It may look preferable to use this algorithm and extract the asymptotics of \( W(g) \) from the summation results. In fact, all investigators of the strong coupling region [11, 13, 20, 24] independently came to the same conclusion that the asymptotics of \( W(g) \) should be estimated before any summation.\(^2\) On the other hand, the fastest convergence is a distinctive excellence only if \( W_N \) are known exactly. In the presence of round-off errors, the uncertainty in \( U_N \) grows as \( 5.8^N \) for Fig. 1, b and as \( 2^N \) for Fig. 1, d [24]; more than that, the latter (but not the former) algorithm is stable in respect to smooth errors (like interpolation ones) [24], and it has a crucial significance for the following applications.
### 3. Application to \( \varphi^4 \) theory
The described algorithm was successfully tested for a lot of simple examples [24], and now we can apply it to a reconstruction of the Gell-Mann – Low function \( \beta(g) \) of quantum field theories. This function enters the Gell-Mann – Low equation which describes the behavior of the effective charge \( g \) as a function of the length scale \( L \):
\[-\frac{dg}{d \ln L} = \beta(g).\] (11)
The most interesting problem is an appearance of the \( \beta \)-function in relativistic theories, like four-dimensional \( \varphi^4 \) theory or QED. In this case, the expansion of \( \beta(g) \) begins with the positive quadratic term and the effective charge \( g \) grows at small distances\(^3\) (Fig. 2): it is interesting to find the law of this growth in the strong coupling region.
According to the classification by Bogolyubov and Shirkov [3], there are three qualitatively different possibilities (Fig. 3): (1) if \( \beta(g) \) has a zero at some point \( g^* \), then the effective
\(^2\)For example, it is clear from the described algorithm, that one cannot find a correct asymptotics of \( W(g) \), if he does not know a correct asymptotics of \( U_N \).
\(^3\)Equation (11) is valid for \( L \lesssim m^{-1} \), where \( m \) is a mass of the particle; in the region \( L \gtrsim m^{-1} \), \( g \) remains constant and equal to its observed value \( g_{obs} \).
Figure 2: Effective coupling $g$ as a function of the length scale $L$ in four-dimensional $\varphi^4$ theory and QED.
Figure 3: Three qualitatively different situations according to the Bogolyubov and Shirkov classification.
coupling $g$ tends to $g^*$ at small $L$; (2) if $\beta(g)$ is non-alternating and has the asymptotic behavior $g^\alpha$ with $\alpha \leq 1$, then $g(L)$ grows to infinity; (3) if non-alternating $\beta(g)$ behaves at infinity as $g^\alpha$ with $\alpha > 1$, then $g(L)$ is divergent at some finite $L_0$ and the dependence $g(L)$ is not defined at smaller distances: the theory is internally inconsistent and a finite interaction at large distances is impossible in the continual limit. To distinguish between these three possibilities, one needs to know the $\beta$-function at arbitrary $g$, and in particular its asymptotic behavior for $g \to \infty$.
One can attempt to solve this problem by summation of the perturbation series,
$$\beta(g) = \beta_2 g^2 + \beta_3 g^3 + \ldots + \beta_L g^L + \ldots + ca^N \Gamma(N + b) g^N + \ldots,$$
having in mind that several first coefficients (till $\beta_L$) are known from diagrammatic calculations and their large order behavior is given by the Lipatov method. The intermediate coefficients can be found by interpolation, the natural way for which is as follows. It can be shown that corrections to the Lipatov asymptotics has a form of the regular expansion in $1/N$:
$$\beta_N = ca^N \Gamma(N + b) \left\{ 1 + \frac{A_1}{N} + \frac{A_2}{N^2} + \ldots + \frac{A_K}{N^K} + \ldots \right\}.$$
One can truncate this series and choose the retained coefficients $A_K$ from correspondence with the first coefficients $\beta_2, \ldots, \beta_L$; then the interpolation curve goes through the several known points and automatically reaches its asymptotics. To variate this procedure, one can re-expand the series (13) in the inverse powers of $N - \tilde{N}$,
$$\beta_N = ca^N \Gamma(N + b) \left\{ 1 + \frac{\tilde{A}_1}{N - \tilde{N}} + \frac{\tilde{A}_2}{(N - \tilde{N})^2} + \ldots + \frac{\tilde{A}_K}{(N - \tilde{N})^K} + \ldots \right\},$$
and obtain a set of interpolations, determined by the arbitrary parameter $\tilde{N}$.
In the case of four-dimensional $\varphi^4$ theory, a realization of this program [24] gives the non-alternating $\beta$-function (Fig. 4, $a$), with the results for the exponent $\alpha$ shown in Fig. 4, $b$. The exponent $\alpha$ is practically independent on $\tilde{N}$, and only its uncertainty depends on this parameter. If we take the result with the minimal uncertainty, we have a value $\alpha = 0.96 \pm 0.01$, surprisingly close to unity.\footnote{Estimation of errors was made in a framework of a certain procedure worked out in [24]. Subsequent applications have shown that such estimation is not very reliable.}
Something close to unity is obtained also in two and three dimensions [18, 19] (Fig. 5). The natural hypothesis arises, that $\beta(g)$ has the linear asymptotics
$$\beta(g) \sim g, \quad g \to \infty$$
for arbitrary space dimension $d$. If this hypothesis is correct, then there is a natural strategy for its justification:
(i) to test it in a simple case $d = 0$;
(ii) to find out the mechanism leading to this asymptotics;
Figure 4: (a) General appearance of the $\beta$-function in four-dimensional $\varphi^4$ theory according to [24] (solid curve), and results obtained by other authors (upper, middle, and lower dashed curves correspond to [11, 13, 20] respectively). (b) Different estimations of the exponent $\alpha$ according to [24].
Figure 5: Estimations of the exponent $\alpha$ for $\varphi^4$ theory in two and three dimensions [18, 19].
(iii) to generalize this mechanism for arbitrary $d$. Surprisingly, this program can be realized and Eq.15 is our main result. Since summation of the series gives non-alternating $\beta(g)$ (Fig. 4, a), we may conclude that the second possibility of the Bogolyubov and Shirkov classification is realized.
4. ”Naive” zero-dimensional limit
Consider the $O(n)$-symmetric $\varphi^4$ theory with an action
$$S\{\varphi\} = \int d^dx \left\{ \frac{1}{2} \sum_{\alpha=1}^{n} (\nabla \varphi_\alpha)^2 + \frac{1}{2} m_0^2 \sum_{\alpha=1}^{n} \varphi_\alpha^2 + \frac{1}{8} u \left( \sum_{\alpha=1}^{n} \varphi_\alpha^2 \right)^2 \right\},$$
$$u_0 = g_0 \Lambda^\epsilon, \quad \epsilon = 4 - d$$
in $d$-dimensional space; here $m_0$ is a bare mass, $\Lambda$ is a momentum cut-off, $g_0$ is a dimensionless bare charge. It will be essential for us, that the $\beta$-function can be expressed in terms of the functional integrals. The general functional integral of $\varphi^4$ theory
$$Z_{\alpha_1 \ldots \alpha_M}^{(M)}(x_1, \ldots, x_M) = \int D\varphi \varphi_{\alpha_1}(x_1)\varphi_{\alpha_2}(x_2) \ldots \varphi_{\alpha_M}(x_M) \exp(-S\{\varphi\})$$
contains $M$ factors of $\varphi$ in the pre-exponential; this fact is indicated by the subscript $M$.
We can take a zero-dimensional limit, considering the system restricted spatially in all directions. If its size is sufficiently small, we can neglect the spatial dependence of $\varphi(x)$ and omit the terms with gradients in Eq.17; interpreting the functional integral as a multi-dimensional integral on a lattice, we can take the system sufficiently small, so that it contains only one lattice site. Consequently, the functional integrals transfer to the ordinary integrals:
$$Z_{\alpha_1 \ldots \alpha_M}^{(M)} = \int d^n \varphi \varphi_{\alpha_1} \ldots \varphi_{\alpha_M} \exp\left(-\frac{1}{2} m_0^2 \varphi^2 - \frac{1}{8} u \varphi^4\right).$$
This is the usual understanding of zero-dimensional theory. Such model allows to calculate any quantities with zero external momenta. If external momenta are not zero, the model is not complete: it does not allow to calculate the momentum dependence. To have a closed model, let us accept that there is no momentum dependence at all.\footnote{This point is essential for evaluation of the $Z$-factor, which is defined in terms of the pair correlator $G(x-x') = \langle \varphi(x)\varphi(x') \rangle$ in the momentum representation as
$$G(p) = \frac{1}{p^2 + m_0^2 + \Sigma(p,m_0)} \equiv \frac{Z}{p^2 + m^2 + O(p^4)},$$
and is determined by the momentum dependence of self-energy. In the described "naive" theory we accept $Z = 1$, since the momentum dependence is absent.} This "naive" model is internally consistent but does not correspond to the true zero-dimensional limit of $\varphi^4$
theory. The latter fact is not essential for us, since this model is used only for illustration and the proper consideration of the general $d$-dimensional case will be given in the next section.
Expressing the $\beta$-function in terms of functional integrals, we obtain it in a form of the parametric representation
$$g = 1 - \frac{n}{n+2} \frac{K_4 K_0}{K_2^2}$$ \hspace{1cm} (19)
$$\beta = -\frac{2n}{n+2} \frac{K_4 K_0}{K_2^2} \left[ 2 + \frac{\frac{K_0 K_0}{K_4 K_2} - 1}{1 - \frac{K_4 K_0}{K_2^2}} \right].$$ \hspace{1cm} (20)
The right hand sides of these formulas contain the integrals
$$K_M(t) = \int_0^\infty \varphi^{M+n-1} d\varphi \exp \left( -t\varphi^2 - \varphi^4 \right), \quad t = \left( \frac{2}{u} \right)^{1/2} m_0^2$$ \hspace{1cm} (21)
obtained from (18) by simple transformations. According to (19, 20), the quantities $g$ and $\beta$ are functions of the single parameter $t$; excluding $t$ we obtain the dependence $\beta(g)$.
Investigation of (19, 20) for real $t$ shows that $g$ and $\beta$ as functions of $t$ have a behavior shown in Fig. 6, $a$; combination of these results shows that $\beta(g)$ behaves as in Fig. 6, $b$. We see that variation of the parameter $t$ along the real axis determines $\beta(g)$ in the finite interval.
$0 \leq g \leq g^*$, where $g^*$ is a fixed point\footnote{Existence of the fixed point $g^*$ (obtained previously in [17]) does not mean the existence of a phase transition, which is absent for $d < 2$ due to a finiteness of $m^2$.}
$$g^* = \frac{2}{n + 2}.$$
(22)
To advance into the large $g$ region, we should consider the complex values of $t$.
It appears, that in the complex $t$ plane we should be interested in zeroes of the integrals $K_M(t)$. The origin of these zeroes is very simple. There are two saddle points in the integral $K_M(t)$, the trivial and nontrivial,
$$\varphi_{c1} = 0, \quad \varphi_{c2} = \sqrt{-t/2},$$
(23)
and $K_M(t)$ can be presented as a sum of two saddle point contributions:
$$K_M(t) = A_1 e^{i\psi_1} + A_2 e^{i\psi_2}.$$
(24)
If these two contributions compensate each other, then the integral can turn to zero. Such compensation can be obtained by adjustment of the complex parameter $t$, and in fact there are infinite number of zeroes lying close to lines $\arg t = \pm 3\pi/4$ and accumulating at infinity (Fig. 7). The above saddle-point considerations can be rigorously justified for zeroes lying in the large $|t|$ region. In fact, it is only essential for us that (i) zeroes of $K_M(t)$ exist in principle, and (ii) zeroes of different integrals lie in different points.
Now return to the parametric representation (19, 20). It appears, that large values of $g$ can be achieved only near the root of the integral $K_2$. If $K_2$ tends to zero, then (19, 20) are simplified,
$$g \approx -\frac{n}{n+2} \frac{K_4 K_0}{K_2^2}, \quad \beta(g) \approx -\frac{4n}{n+2} \frac{K_4 K_0}{K_2^2},$$
(25)
and the parametric representation is resolved in the form
$$\beta(g) = 4g, \quad g \to \infty.$$
(26)
We see that, indeed, the asymptotic behavior of $\beta(g)$ appears to be linear.
5. General $d$-dimensional case
The same ideas can be applied to the general $d$-dimensional case. First of all, the actual functional integrals can turn to zero by the same reason. Indeed, the complex values of $t$ with large $|t|$ correspond to complex $g_0$ with small $|g_0|$ (see Eq.21), and we come to a miraculous conclusion: large values of the renormalized charge $g$ corresponds not to large values of the bare charge $g_0$ (as naturally to think\footnote{It is commonly accepted that the bare charge $g_0$ is the same quantity as the renormalized charge $g$ at the length scale $\Lambda^{-1}$. In fact, these two quantities coincide only on the two-loop level [29] and this relation is valid only in the weak coupling region.}), but to its complex values; more than
that, it is sufficient to consider the region \(|g_0| \ll 1\), where the saddle-point approximation is applicable. As a result, the zeroes of the functional integrals can be obtained by the compensation of the saddle-point contributions of trivial vacuum and of the instanton configuration with the minimal action; contributions of higher instantons are inessential for \(|g_0| \ll 1\).
Now we need a representation of the \(\beta\)-function in terms of functional integrals. The Fourier transform of (18) will be denoted as \(K_M\) after extraction of the \(\delta\)-function of the momentum conservation and a factor \(I_{\alpha_1 \ldots \alpha_M}\) depending on tensor indices:
\[
Z^{(M)}_{\alpha_1 \ldots \alpha_M}(p_i) = K_M(p_i) I_{\alpha_1 \ldots \alpha_M} N \delta_{p_1 + \ldots + p_M}
\]
where \(N\) is the number of sites on the lattice, and \(I_{\alpha_1 \ldots \alpha_M}\) is a sum of terms like \(\delta_{\alpha_1 \alpha_2} \delta_{\alpha_3 \alpha_4} \ldots\) with all possible pairings. In general, integrals \(K_M(p_i)\) are taken at zero momenta, and only the integral \(K_2\) should be known for small momentum
\[
K_2(p) = K_2 - \tilde{K}_2 p^2 + \ldots
\]
Expressing the \(\beta\)-function in terms of functional integrals\(^8\), we have a parametric rep-
\(^8\) Definition of the \(\beta\)-function depends on the specific renormalization scheme. We accept renormalization conditions at zero momenta (see Sec.VI.A in [4]).
presentation (see [25] for details):
\[
g = - \left( \frac{K_2}{\tilde{K}_2} \right)^{d/2} \frac{K_4 K_0}{K_2^2},
\]
\[
\beta = \left( \frac{K_2}{\tilde{K}_2} \right)^{d/2} \left\{ -d \frac{K_4 K_0}{K_2^2} + 2 \frac{(K'_4 K_0 + K_4 K'_0) K_2 - 2 K_4 K_0 K'_2}{K_2^3} \frac{\tilde{K}_2}{K_2 \tilde{K}_2' - K'_2 \tilde{K}_2} \right\}
\]
where the prime marks the derivatives over \(m_0^2\). If \(g_0\) and \(\Lambda\) are fixed, then the right hand sides of these equations are functions of only \(m_0\), while dependence on the specific choice of \(g_0\) and \(\Lambda\) is absent due to general theorems [4].
We see from Eq.29 that large values of \(g\) can be obtained near the root of either \(K_2\), or \(\tilde{K}_2\). If \(\tilde{K}_2 \to 0\), equations (29, 30) are simplified, so \(g\) and \(\beta\) are given by the same expression apart from a factor \(d\),
\[
g = - \left( \frac{K_2}{\tilde{K}_2} \right)^{d/2} \frac{K_4 K_0}{K_2^2}, \quad \beta = -d \left( \frac{K_2}{\tilde{K}_2} \right)^{d/2} \frac{K_4 K_0}{K_2^2},
\]
and the parametric representation is resolved as
\[
\beta(g) = d g, \quad g \to \infty.
\]
For \(K_2 \to 0\), the limit \(g \to \infty\) can be achieved only for \(d < 4\) and we have analogously:
\[
\beta(g) = (d - 4) g, \quad g \to \infty.
\]
The results (32), (33) correspond to different branches of the analytical function \(\beta(g)\). It is easy to understand that the physical branch is the first of them. Indeed, it is well known from the phase transitions theory that properties of \(\varphi^4\) theory change smoothly as a function of space dimension, and results for \(d = 2, 3\) can be obtained by an analytic continuation from \(d = 4 - \epsilon\). According to all available information, the four-dimensional \(\beta\)-function is positive, and thus has a positive asymptotics; by continuity, the positive asymptotics is expected for \(d < 4\). The result (32) does obey these demands, while the branch (33) does not exist for \(d = 4\) at all. Eq.32 agrees with the approximate results discussed in Sec.3 and with the exact asymptotic result \(\beta(g) = 2g\), obtained for the 2D Ising model [9] from the duality relation\(^9\).
6. Strong coupling asymptotics in QED
The same ideas can be applied to QED. Summation of perturbation series for QED [26] gives the non-alternating \(\beta\)-function (Fig.8) with the asymptotics \(\beta_\infty g^\alpha\), where (Fig.9)
\(^9\) Definition of the \(\beta\)-function in [9] differs by the sign from the present paper.
\[
\alpha = 1.0 \pm 0.1, \quad \beta_\infty = 1.0 \pm 0.3
\] (34)
($g = e^2$ is the running fine structure constant). Within uncertainty, the obtained $\beta$-function satisfies inequality
\[0 \leq \beta(g) < g,\] (35)
established in [12, 30] from the spectral representations, while the asymptotics (34) corresponds to the upper bound of (35). Such coincidence does not look incident and indicates that the asymptotics $\beta(g) = g$ is an exact result. We show below that it is so indeed.
The general functional integral of QED contains $M$ photonic and $2N$ fermionic fields in the pre-exponential,
\[I_{M,2N} = \int DAD\bar{\psi}D\psi A_{\mu_1}(x_1)\ldots A_{\mu_M}(x_M)\psi(y_1)\bar{\psi}(z_1)\ldots \psi(y_N)\bar{\psi}(z_N)\exp\left(-S\{A,\psi,\bar{\psi}\}\right),\] (36)
where $S\{A,\psi,\bar{\psi}\}$ is the Euclidean action,
\[S\{A,\psi,\bar{\psi}\} = \int d^4x \left[\frac{1}{4}(\partial_\mu A_\nu - \partial_\nu A_\mu)^2 + \bar{\psi}(i\slashed{\partial} - m_0 + e_0 A)\psi\right],\] (37)
while $e_0$ and $m_0$ are the bare charge and mass, and the crossed symbols are convolutions of the corresponding quantities with the Dirac matrices. Fourier transforms of the integrals $I_{M,N}$ with excluded $\delta$-functions of the momentum conservation will be referred as
Figure 9: Different estimations of the parameters $\alpha$ and $\beta_\infty$ for QED according to [26].
$K_{MN}(q_i, p_i)$ after extraction of the usual factors depending on tensor indices\textsuperscript{10}; $q_i$ and $p_i$ are momenta of photons and electrons.
In general, these functional integrals are taken for zero momenta, but two integrals $K_{02}(p)$ and $K_{20}(q)$ should be estimated for small momenta: the first is linear in $p$, and the second is quadratic in $q$,
$$K_{02}(p) = K_{02} + \tilde{K}_{02} p, \quad K_{20}(q) = K_{20} + \tilde{K}_{20} q^2,$$
and in fact the tilde denotes their momentum derivatives.
Expressing the $\beta$-function in terms of functional integrals (see [27] for details), we have a parametric representation
$$g = -\frac{K_{12}^2 K_{00}}{\tilde{K}_{02}^2 \tilde{K}_{20}},$$
$$\beta(g) = \frac{1}{2} \frac{K_{02} \tilde{K}_{02} - K_{02}' \tilde{K}_{02}}{K_{02} \tilde{K}_{02}' - K_{02}' \tilde{K}_{02}} \frac{K_{12}^2 K_{00}}{\tilde{K}_{02}^2 \tilde{K}_{20}} \left\{ \frac{2}{K_{12}} + \frac{K_{00}'}{K_{00}} - \frac{2}{\tilde{K}_{02}} - \frac{\tilde{K}_{20}'}{\tilde{K}_{20}} \right\},$$
where the prime denotes differentiation over $m_0$. According to Secs.4, 5, the strong coupling regime for renormalized interaction is related to a zero of a certain functional integral. It is clear from (39) that the limit $g \to \infty$ can be realized by two ways: tending to zero either $\tilde{K}_{02}$, or $\tilde{K}_{20}$. For $\tilde{K}_{02} \to 0$, equations (39, 40) are simplified,
$$g = -\frac{K_{12}^2 K_{00}}{\tilde{K}_{02}^2 \tilde{K}_{20}}, \quad \beta(g) = -\frac{K_{12}^2 K_{00}}{\tilde{K}_{02}^2 \tilde{K}_{20}},$$
and the parametric representation is resolved in the form
$$\beta(g) = g, \quad g \to \infty.$$
For $\tilde{K}_{20} \to 0$, one has
$$\beta(g) \propto g^2, \quad g \to \infty.$$
Consequently, there are two possibilities for the asymptotics of $\beta(g)$, either (42), or (43). The second possibility is in conflict with inequality (35), while the first possibility is in excellent agreement with results (34) obtained by summation of perturbation series. In our opinion, it is sufficient reason to consider Eq.42 as an exact result for the asymptotics of the $\beta$-function. It means that the fine structure constant in pure QED behaves as $g \propto L^{-2}$ at small distances $L$.
\textbf{7. Concluding remarks}
\textsuperscript{10} A specific form of these factors is inessential, since the results are independent on the absolute normalization of $e$ and $m$.
As should be clear from the preceding discussion, the conventional renormalization procedure defines theory only for $0 \leq g \leq g_{\text{max}}$, where $g_{\text{max}}$ is finite. For values $g_{\text{max}} < g < \infty$, the theory is defined by an analytic continuation, and large values of $g$ correspond to complex values of $g_0$. Physically, the latter situation looks inadmissible: the $S$-matrix can be expressed through the Dyson $T$-exponential of the bare action, and Hermiticity of the bare Hamiltonian looks crucial for unitarity of theory.
In fact, a situation is more complicated, as demonstrated by Bogolyubov’s axiomatical construction of the $S$-matrix [3]: according to it, the general form of the $S$-matrix is given by the $T$-exponential of $iA$, where $A$ is a sum of (i) the bare action, and (ii) a sequence of arbitrary “integration constants” which are determined by quasi-local operators. In the regularized theory we can set the “integration constants” to be zero, and the $S$-matrix is determined by the bare action. However, in the course of renormalization these constants are taken non-zero, in order to remove divergences. These non-zero “integration constants” can be absorbed by the action due to the change of its parameters. As a result, for the true continual theory the $S$-matrix is determined by the renormalized action, while the bare Hamiltonian and the Schrödinger equation are ill-defined. From this point of view there is no problem with the complex bare parameters, since the renormalized Lagrangian is Hermitian for real $g$.
Some problems remain for regularized theory, where the bare and renormalized Lagrangians are equally admissible and a situation looks controversial. The analogous situation was discussed for the exactly solvable Lee model [14], which also has the complex bare coupling for the sufficiently large renormalized coupling. After the paper [10] it was generally accepted that the Lee model is physically unsatisfactory due to existence of “ghost” states (i.e. the states with a negative norm). Quite recently [1] it was found that this point of view is incorrect and the Lee model is completely acceptable physical theory. It is a key idea of [1] that an analytical continuation of the Hamiltonian parameters to the complex plane should be assisted by a modification of the inner product for the corresponding Hilbert space,
$$ (f, g) = \int f^*(x)g(x)dx \quad \longrightarrow \quad (f, g)_G = (f, \hat{G}g), $$
and with the proper choice of the operator $\hat{G}$ the bare Hamiltonian is Hermitian in respect to the new inner product $(f, g)_G$. As a result, all states of the Lee model have a positive norm and evolution is unitary. The analogous procedure should exist in the present case, in order to remove the indicated controversy. In fact, a definition of charge is ambiguous due to ambiguity of the renormalization scheme [29] (arising from arbitrariness of “integration constants” in Bogolyubov’s construction) and complex-valuedness of $g_0$ has a relative sense (see Sec.5 of [25]).
The result $\alpha = 1$ corresponds to one of the really existing branches of the $\beta$-function, analytically continued from the weak coupling region. Strictly speaking, we did not prove that this branch is physical. This point, together with complex-valuedness of $g_0$, casts certain doubt on the physical relevance of this result. However, our approximate summation
results (Secs.3, 6), the exact result for the Ising model [9] and inequality (35) for QED give the essential evidence that the result $\alpha = 1$ is physical.
In conclusion, summation of perturbation series gives the positive $\beta$-function in four-dimensional $\varphi^4$ theory and QED, while its strong coupling asymptotics is shown to be linear. It means that the second possibility in the Bogolyubov and Shirkov classification (Sec.3) is realized, and it is possible to construct the continuous theory with finite interaction at large distances.\footnote{Discussion of a wide-spread opinion on “triviality” of $\varphi^4$ theory is given in [28].}
\begin{thebibliography}{99}
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\bibitem{3} N. N. Bogolyubov and D. V. Shirkov, Introduction to the Theory of Quantized Fields, 3rd ed. (Nauka, Moscow, 1976; Wiley, New York, 1980).
\bibitem{4} E. Brezin, J. C. Le Guillou, J. Zinn-Justin, Field theoretical approach to critical phenomena, in: Phase Transitions and Critical Phenomena, ed. by C. Domb and M. S. Green, Academic, New York (1976), Vol. VI.
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\bibitem{9} G. Jug, B. N. Shalaev, Duality symmetry, strong coupling expansion and universal critical amplitudes in two-dimensional $\phi^4$ field models, J. Phys. A \textbf{32}, (1999) 7249–7261.
\bibitem{10} G. Källen, W. Pauli, On the mathematical structure of T.D.Lee’s model of a renormalizable field theory, Mat.-Fyz. Medd. \textbf{30}, (1955) No.7 .
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[12] N. V. Krasnikov, Analyticity and renormalization group, Nucl. Phys. B 192, (1981) 497–508.
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[14] T. D. Lee, Some special results in renormalizable field theory, Phys. Rev. 95, (1954) 1329–1335.
[15] L. N. Lipatov, Divergence of perturbation series and the quasiclassical theory, Zh. Eksp. Teor. Fiz. 72, (1977) 411–427 [Sov.Phys. JETP 45, (1977) 216–227].
[16] J. Magnen, R. Seneor, Phase space cell expansion and Borel summability for the Euclidean $\varphi_3^4$ theory, Commun. Math. Phys. 56, (1977) 237–276.
[17] A. Pelissetto, E. Vicari, Four-point renormalized coupling constant and Callan–Symanzik $\beta$-function in $O(N)$ models, Nucl. Phys. B 519 (1998) 626–660.
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[29] A. A. Vladimirov and D. V. Shirkov, Renormalization group and ultraviolet asymptotica, Usp. Fiz. Nauk 129, (1979) 407–441 [Sov. Phys. Usp. 22, (1979) 860–884].
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Assalamu alikum & Welcome
Current status & overview of the debt market in Bangladesh
Presented by:
AIMS of Bangladesh Limited www.aims-bangladesh.com
October 13, 2001 The Pan Pacific Sonargaon Hotel, Dhaka
1
Introduction
Bangladesh does not have a debt market
without a money or debt securities market, the capital market in Bangladesh remains incomplete
however, awareness is increasingly growing
remedial steps are being contemplated by interested quarters and stakeholders
2
Structure of the Financial Market of Bangladesh
72.19%, of domestic savings is stacked in the form of term deposits with the commercial banks.
nationalized Commercial Banks (NCBs) dominates the banking sector accounting for 54.55% of public deposits.
fixed income securities including non-transferable instruments constitute 27.81% of domestic debt.
corporate debentures are only less than 1% of the debt securities market.
20% of annual budget financed from internal debt in 199-2000
3
Heavily Burdened Banking Sector
classified loans in the banking system stood at Tk 242.75 billion in June 2000
classified loans as percentage of out-standing loan portfolio has improved to 39.70% from 41.11%
banking sector fell short of the required provisioning by Tk 50.57 billion
4
Widening Fiscal Deficit
persistent revenue shortfall is forcing the government to borrow resulting in increased debtservicing liability
15% of the total budget is used in debt servicing costing Tk 56.29 billion in 1999-2000
expenditure control appears to be almost impossible
enhancing revenue earnings remain as the only option, including reforms in tax collection system and widening the VAT net
5
Lack of Diversified Financial Product Basket
in Fixed Income Securities market, government issues constitute 99% share through treasury bills, bonds and savings schemes, leaving only 1% for corporate debentures
out of all the FISs, only treasury bills and corporate debentures are transferable though transfers of treasury bills are not in practice.
6
High Risk-Free Interest Rates
Sovereign instruments carry high interests
higher commercial-bank borrowing rate
higher coupon in corporate debt issue
attractive sweeteners
rational structure and tenure
7
Effective Yield
8
YIELD CURVES OF GOVERNMENT SECURITIES & BANK DEPOSIT
9
Lack of Institutions and Initiatives
no product variation in the market
fixed deposits and government savings schemes are traditional vehicles of investment
only one private sector mutual fund exits
14 corporate debentures are listed with poor liquidity
Lack of Institutions and Initiatives contd…
no money market mutual fund exits
new Mutual Fund Rules of SEC bars money market Mutual Funds
commercial paper and other money market instruments are non-existent
Poor Confidence on the Private Sector
corporate debentures are in gross default
no clear cut function and responsibilities of debenture trustees
SEC has recently stepped into the matter as arbitrator
Government Borrowing through T-Bills Multiplying
investment in treasury bills has grown 15.44x during 1995-2000.
deposits registered a high growth while investment scope did not increase or diversify
idle money with the banks found t-bills as best resort
not open to general public
Treasury Bonds
issued to meet issue-specific financial need of the government
maturities range from 3 to 25 years
not open to general public
Savings Certificates Attracting Huge Funds
major source of fund for the government
open-ended in nature
gained enormous popularity among the middle income bracket due to its high interest rate
pension and provident funds are main institutional investors in the savings schemes
1999-2000, Tk million
1999-2000, Tk million
Debentures, the only form of private FIS
traded with exchanges with poor liquidity
the first issue came in 1988 by Beximco Pharmaceuticals
only public debt-raising instrument for corporate houses
interest rate ranges from 14 to 17% nominal
no dedicated rule for issuing corporate debt
trustees are not functioning up to the mark in absence of adequate legal framework
Impediments in Developing an Active Debt Market
high-yielding government instruments hindering private sector bond issue
non-transferability of the most of the existing debt instruments is another big impediment
lack of awareness and confidence on new debt products in the market, as well as with the Regulators
lack of expertise and innovativeness and absence of institutions in bringing variations in debt products
a comprehensive legal framework and a policy guideline for liberalizing the debt sector are yet to be formulated
Impediments as per Earlier Studies
weak governance institutions
overlapping role of the SEC and Bangladesh Bank
out-crowding effect from bad loan situation and fiscal deficit of the government
dominance of NCBs
insignificant non-banking sector
absence of arbitration institutions
absence of unsecured bonds
Impediments as per Earlier Studies contd…
want of trained and experienced professionals
no Credit Rating agency
few research and information institutions
no secondary trading of government debt instruments
inferior and unscientific interest rate structure
no interest from intermediaries
no SEC guidelines on FIS
Road Map to Bond Market Development
rationalization of the Interest Rate Structure whereby the Government borrows at the lowest possible rate
establish benchmarking and long-term Yield Curve.
provide a Legal Framework of user friendly Rules & Regulations
develop a system of issuance of future Sovereign Papers as Tradable and Transferable Securities.
fund future infrastructure projects through issuance of Government and Private Bonds.
Road Map to Bond Market Development contd…
lower Registration and Issue cost
create independent Credit Rating Agencies.
develop and strengthen market intermediaries like dealers, investment analysts, investment/ merchant bankers' etc.
facilitate education process of market participants
unbundle pension and insurance funds and establish Money Market Mutual Funds.
allow Investment Grade Corporate Bonds and Debentures to form part of SLR of Banks.
Road Map to Bond Market Development contd…
facilitate Securitization and issuance of Asset Backed Securities and Collateralized Loan Obligations with the backing of multilateral agencies and development of Money Market instruments.
establish Central Depository and Electronic Settlement and Registration System.
upgrade Accounting and Disclosure Standards as well as Foreclosure Laws.
Proposed Debt Issues & Agenda for NBFI's
CBSF has been established at Bangladesh Bank
AIMS of Bangladesh is structuring the securitized debt issue of BRAC micro-credit receivables
few leasing companies are contemplating asset securitization
Agrani Bank Industrial Bonds has been well received by investors
SEC is reportedly formulating regulations
multi-lateral agencies like WB, IFC and ADB are assisting in this regard
the awareness level has improved considerably
Thank you for your time
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The Trailblazer
7585 Indian Ridge Trail South Kissimmee, Florida 34747 Phone: 407-504-4158 [email protected] www.indianridgehoa.com
INDIAN RIDGE HOMEOWNERS ASSOCI AT I O N
Fall 2014
I'd like to welcome all of our new homeowners to our community and hope to see you at the upcoming General Membership Meeting in November.
Indian Ridge HOA Account: $ 26,817.96
I've received numerous calls regarding the Zip-Line that is located at the corner of Old Lake Wilson and Sinclair Road . I just want to let everyone know that your HOA Board has spent at least the last year discussing this project at board and general membership meetings.
We were involved from the beginning when the property was re-zoned from residential to commercial. If there was something we could have done to prevent it, it would have been done. The owners are doing their part to minimize any negative impact it will have on our community and we will continue to keep the lines of communication open with them. We will have a brief discussion on the subject at the meeting.
We have several board member openings to fill. If you have some free time and want to be involved in the community, please see the Election section on page 3. We are hoping to fill these positions with homeowners that can help with community events, the Trailblazer, social media, and general operations of the Board. Your input and time would be greatly appreciated.
I look forward to seeing many of you at the November 12th meeting.
Respectfully,
Lisa Molina-Saunders
See something? Say something!
We are asking the residents of Indian Ridge to be pro-active and report any suspicious or unlawful activity to the Sherriff's Department, as well as the HOA. We need everyone's help to keep our neighborhood safe and free of criminal or unlaw- ful activity.
Osceola Sheriffs Office Non-Emergency number is 407-348-2222. If you see drug activity you can call 407-348-1174 to make an anonymous report.
Community Project Updates
The long awaited repair and painting of the wall located at the back of the community along Connector Road has been completed.
Everyone who lives along the perimeter walls are required to maintain the inside of the wall. Those who have not painted the inside with the approved color will be receiving notice that it needs to be completed. Thank you to everyone who has already completed their painting.
Rotted wood in the pool cabana area has been removed and replaced.
Calendar
General Membership Meeting November 12, 2014 7:00 p.m.
Children's Christmas Party December 20, 2014 12:00 p.m.
Community Yard Sale November 1st & 2nd
The Trailblazer
Pool and Tennis Court Keys
We are currently working on getting new keys for the pool and tennis courts.
The keys have not been changed for several years and this has led to many non-residents continuing to use our facilities.
The change will hopefully take place sometime in January which would give us plenty of time to distribute new keys before the summer.
We are also hoping to go to a more updated type of lock and key system which will allow us to make sure keys are deactivated once a resident or tenant moves out of the community.
Please keep an eye on the website as well as look for signage in the pool area communication board over the next few months.
We will also send out an email to members that have provided us with a current email address.
Parking in Indian Ridge
Just a reminder to our residents that there is no parking on the street or in the grass as per our Deed Restrictions, as well as the Osceola County Ordinance 12-10.
additional cars. Permits are only valid for the hours between 8am and 2am.
Permits can be requested and will be issued for residents who are having guests and do not have room in their driveway for
Fences and Sheds
Old sheds and fences in need of repair have become a growing eyesore in our community. These additions are an extension of your home. Please maintain them accordingly to avoid a deed or County Code Violation.
Sheds are not permitted without the approval of the HOA and are limited in type, material and size. Osceola County also requires you to pull a permit to have one installed.
Fences are also limited in height and type of material, as well as where they can be placed on your property and require a County Permit.
Please follow the guidelines in the Covenants and Restrictions to ensure that you are not in violation.
You can download a Parking Permit Request form at www.indianridgehoa.com/ parking. It can be submitted via email, fax, or call to arrange a time to drop off the form and pick up the permits.
Please keep in mind that we are in the initial stages and will need Osceola County Management approval to spend the funds from the 2014-2015 MSTU budget.
We just want to make sure everyone is aware that we are in the process and to be prepared to get new keys.
Please also understand that the HOA does not issue the $100.00 tickets, Osceola County Code Enforcement issues and receives the money from these citations.
If you receive a citation, please don't call the HOA to ask how we can "get rid of the ticket" for you.
See a COUNTY CODE VIOLATION?
Code enforcement has been successful in getting boats/vehicles/etc off of the grass areas and is continuing their efforts to clean up the neighborhood. The HOA Board is also issuing Violation Notices to residents to make them aware of Deed Violations as well as County Code Enforcement Violations.
We would ask that you not only report violations to the HOA email, but to County Code Enforcement as well. You can reach them by calling 407-742-0200.
Deed Restrictions and Violations
LAWNS AND LANDSCAPING
safe passage on the common sidewalks.
Now that summer is over, it should be easier to keep up with mowing and trimming.
JUNK AND DEBRIS
be placed on a property other than a "for sale or rent" sign, or a temporary sign for contractors who are doing licensed work on your property.
Keep in mind that the area behind fences and along sidewalks needs to be kept cut and edged. If the grass is growing over the sidewalk or over the curb in front of your home, please get that cleaned up as well as trim any trees or bushes that are interfering with
Junk and debris stacked up in driveways or on the side of homes is a violation of the Deed Restrictions as well as a County Violation. Please keep the area around your home free of junk and debris.
SIGNAGE
Our deed restrictions do not allow any signage to
We are currently processing 75+ Deed Restriction Violations. If you receive one, please take care of the violation as soon as possible. For questions please email indianridgehoaviolations @gmail.com
Fall Community Yard Sale - November 1st & 2nd
The Community Yard Sale is advertised and a great way to not only to make a few dollars on unwanted treasures or acquire items you may need at a great price, but also a good time to get out and meet your neighbors!
The advertised start time is 8am, but you can set up as early as you like!
Also keep in mind that the Osceola County Land Development Code has rules regarding "yard sales".
The more residents who participate, the more successful it will be.
Board Member Elections
At the November 12th HOA General Membership meeting we will be holding elections for the 2015 thru 2016 calendar year. The meeting will be held at the Community Pool at 7:00pm.
email your nomination to indianridgehoaelections @gmail.com. Board members must be owners and full time residents in good standing.
This will be the election for 6 Board Members. If you are interested in becoming a board member, please
We will also take nominations from the floor the night of the meeting.
One of which states that they are LIMITED TO ONE DURING EACH SIX (6) MONTH PERIOD, FOR DURATION NOT TO EXCEED THREE (3) DAYS.
PLEASE DO NOT USE OUR EXISTING SIGNAGE TO ATTACH YOUR SIGNAGE TO, AND REMEMBER TO PICK UP YOUR SIGNS AFTER YOUR EVENT OR SALE
Keep in mind that only members in good standing will be able to vote at the meeting.
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Long-term Outcome of Brain Structure in Premature Infants
Effects of Liberal vs Restricted Red Blood Cell Transfusions
Peg C. Nopoulos, MD; Amy L. Conrad, PhD; Edward F. Bell, MD; Ronald G. Strauss, MD; John A. Widness, MD; Vincent A. Magnotta, PhD; M. Bridget Zimmerman, PhD; Michael K. Georgieff, MD; Scott D. Lindgren, PhD; Lynn C. Richman, PhD
Objective: To assess the long-term outcome of brain structure in preterm infants, at an average age of 12 years, who received a red blood cell transfusion for anemia of prematurity.
Design: As neonates, this cohort of infants participated in a clinical trial in which they received red blood cell transfusions based on a high pretransfusion hematocrit threshold (liberal group) or a low hematocrit threshold (restricted group). These 2 preterm groups were compared with a group of full-term healthy control children.
Setting: Tertiary care hospital.
Participants: Magnetic resonance imaging scans for 44 of the original 100 subjects were obtained.
Intervention: Liberal vs restricted transfusion.
Main Outcome Measures: Intracranial volume, total brain tissue, total cerebrospinal fluid, cerebral cortex and cerebral white matter volume, subcortical nuclei volume, and cerebellum volume.
Results: Intracranial volume was substantially smaller in the liberal group compared with controls. Intracranial volume in the restricted group was not different from controls. Whole-cortex volume was not different in either preterm group compared with controls. Cerebral white matter was substantially reduced in both preterm groups, more so for the liberal group. The subcortical nuclei were substantially decreased in volume, equally so for both preterm groups compared with controls. When sex effects were evaluated, the girls in the liberal group had the most significant abnormalities.
Conclusion: Red blood cell transfusions affected the long-term outcome of premature infants as indicated by reduced brain volumes at 12 years of age for neonates who received transfusions using liberal guidelines.
Arch Pediatr Adolesc Med. 2011;165(5):443-450.
Published online January 3, 2011.
doi:10.1001/archpediatrics.2010.269
Advances in prenatal medicine and neonatal intensive care have resulted in improved survival for preterm infants, in particular for those infants with extremely low birth weight (<1000 g) and those born at the limits of viability (22-25 weeks’ gestation). Despite improvements in survival, the incidence of disability in this population has not diminished accordingly. A major morbidity for this patient group is neurodevelopmental and behavioral abnormalities.
Understanding the risk factors for abnormal neurodevelopmental outcomes is critical for implementing intervention strategies to improve the outcomes of premature infants. Some of the key risk factors for adverse outcome are biologic factors that are not modifiable following preterm birth: gestational age, birth weight, male sex, and multiple birth. However, there are factors with potential impact on developmental outcome that can be targeted for improvement. One important factor is management of the anemia of prematurity, particularly, optimal red blood cell (RBC) transfusion practices. Transfusion of packed red blood cells is a major component of neonatal care of the preterm infant. As many as 95% of extremely low-birth-weight infants will receive at least 1 RBC transfusion, as will up to 80% of preterm infants with birth weights less than 1500 g (very low birth weight), during the first few weeks of life. Red blood cell transfusions can be prescribed according to liberal or restricted guidelines (ie, with relatively high or low pretransfusion hematocrit values, respectively) with the possibility of undertransfusion or overtransfusion, either of which may have adverse effects.\textsuperscript{13}
Investigation of differential transfusion practices as a potential mechanism of critical importance in neurodevelopmental outcome is an innovative area of research in which important findings are just beginning to emerge. To date, there have been 3 randomized clinical trials that have evaluated the neurodevelopmental impact in preterm infants of differential transfusion practices through a randomized clinical trial. The first study, the Iowa study, randomly allocated preterm infants to a “liberal” or “restrictive” program for RBC transfusion.\textsuperscript{14} A short-term outcome measure (ultrasonography obtained after study enrollment, during hospitalization) suggested that severe grades of intraventricular hemorrhage and periventricular leukomalacia were confined to the restricted group. A similar randomized multinational trial, the Premature Infants in Need of Transfusion (PINT) trial, found no differences in primary or secondary outcome measures between premature infants randomized to liberal and restricted RBC transfusion guidelines.\textsuperscript{15} However, when the PINT infants were evaluated for developmental outcomes at 18 to 21 months, cognitive delay was more prevalent in the restricted group.\textsuperscript{16} Finally, a recent study from Taiwan indicated no differences in clinical outcomes between preterm babies administered either restrictive or liberal transfusions.\textsuperscript{17} Although the recent study was negative, the Iowa and PINT studies suggest that liberal RBC transfusions may be neuroprotective (or that restricted RBC transfusions may be harmful).
In regard to outcomes of preterm birth, one consistent finding is that boys tend to fare more poorly in regard to both short- and long-term outcomes. Studies indicate that boys compared with girls have poorer survival, greater incidence of cerebral palsy, and lower measures of mental ability early in life.\textsuperscript{18,19}
The current study reports a long-term outcome of brain structure (using magnetic resonance imaging) of the infants from the original Iowa study. Based on the published findings from the Iowa study\textsuperscript{14} and the PINT study,\textsuperscript{16} our hypothesis was that brain structure and function would be most abnormal in the restricted RBC transfusion group and that boys would fare worse than girls. Quantitative measures of brain structure were compared across 3 groups: (1) subjects from the original restricted transfusion group, (2) subjects from the original liberal transfusion group, and (3) age-equivalent healthy controls born full-term.
**METHODS**
**PARTICIPANTS**
This study was approved by the University of Iowa institutional review board. Participants were recruited from the 100 infants who participated in the Iowa transfusion trial. Details regarding the inclusion and exclusion criteria for this study have been previously reported.\textsuperscript{14} This follow-up study began in 2005, 13 years after the initial study began. From the original sample of 100 preterm infants, a total of 55 subjects participated in the follow-up study and 45 preterm subjects did not. Reasons for not participating included the following: 3 were deceased, 17 declined to participate, and 25 were unable to be contacted despite multiple attempts. A death index search was conducted on those children who were lost to follow-up. These children did not match any death records through 2007.
To evaluate potential for bias in regard to neonatal characteristics in the participant group (n = 55) compared with the nonparticipant group (n = 45), independent-samples t tests were conducted. Measures included the Score for Neonatal Acute Physiology\textsuperscript{20} (SNAP), which was recorded on the day of birth and once daily through the first week of life; gestational age; birth weight; total number of days on a ventilator; and total number of apnea episodes. There were no differences between the 2 groups (Table 1). In addition, presence of intraventricular hemorrhage was compared across groups. A total of 19 of the 55 participants (34%) had an intraventricular hemorrhage compared with 11 of the 45 nonparticipants (24%). A $\chi^2$ test was nonsignificant ($P = .27$).
Of the 55 participants, 44 completed the magnetic resonance imaging. Of the remaining 11 subjects with no useable scan, 4 had their scans cancelled (2 subjects from the restricted group and 2 from the liberal group) because of contraindication (metal vessel clamp placed for patent ductus arteriosus) and 7 did not complete their scans because they were too impaired cognitively or behaviorally to stay in the scanner (2 from the restricted group and 5 from the liberal group). Important characteristics of the neonatal hospitalization and demographic information are listed in Table 2 for the 44 preterm subjects who had a high-quality magnetic resonance imaging scan.
Healthy control children were recruited via advertisements from the surrounding communities. Exclusion criteria from the parent interview included any significant medical or psychiatric disorders or history of traumatic brain injury.
**MEASURES**
The SNAP was recorded on the day of birth and once daily through the first week of life. The transfusion threshold levels for each treatment group consisted of 3 steps in hematocrit level, which became lower as the subjects advanced through 3 phases of progressively better clinical condition based on their respiratory status.\textsuperscript{14} Hematocrit levels were obtained each morning in phase 1, 3 times per week in phase 2, and 2 times per week in phase 3. A measure of average hematocrit level was calculated for each infant, reflecting the mean hematocrit level over the course of his or her inpatient stay.
Because neurodevelopmental outcomes have been associated with infection,\textsuperscript{21,22} we also documented the number of times each subject underwent evaluation for sepsis and the total number of days they took antibiotics as a means of quantifying infection burden.
PROCEDURE
All magnetic resonance imaging data were acquired on a 3-T Siemens Trio scanner (Siemens, Malvern, Pennsylvania). The protocol acquired a 3-dimensional T1-weighted magnetization-prepared rapid-acquisition gradient-echo sequence in the coronal plane with 1-mm slice thickness. A turbo spin-echo T2-weighted sequence was obtained in the coronal plane with 1-mm slice thickness. Scans were processed through an automated procedure implemented in BRAINS. A discriminant tissue classification was then performed and a brain mask was created using an artificial neural network. Measures of gray matter, white matter, and cerebrospinal fluid (CSF) volumes were then completed using the standard Talairach method. Brain measures included intracranial volume (ICV), total brain tissue, cerebellum tissue volume, and total CSF. The cerebrum measures were further broken down into the 4 cerebral lobes (frontal, parietal, temporal, and occipital) and the subcortical nuclei (caudate, thalamus, and putamen). Cerebral gray matter, further divided into surface gray matter (reflecting the volume of the cortex), was divided into lobes, and cerebral white matter, further divided into the 4 cerebral lobes.
STATISTICAL ANALYSIS
All analyses were performed by using the SAS language with SAS STAT procedures (SAS Institute Inc, Cary, North Carolina). All general brain measures were analyzed using the general linear models procedure. The analysis for ICV was adjusted for height, sex, and age. Analysis for the remaining brain regions was done on measures adjusted for ICV (by using a brain measure:ICV ratio), age, and sex. This is important given the significant difference in sex distribution across groups and the major difference in brain structure between boys and girls. Small structures (caudate, putamen, thalamus) are listed and labeled as ICV percentages to avoid excessive leading zeros. All possible interaction terms were entered into the model but dropped if not significant. If the overall effect of group was significant, post hoc $t$ tests were evaluated to determine the differences between the 3 groups. A 2-tailed $\alpha$ level of .05 was used for significance tests.
Because of the low number of girls in the restricted group, we were unable to evaluate a sex $\times$ group interaction. Therefore, sex effects were evaluated only in the liberal group compared with controls. For this analysis, a more liberal $P$ value of <.10 was used to decide whether the interaction term of sex $\times$ group should be included in the model, because it is well known that statistical power to detect interactions is lower than for main effects.
RESULTS
DEMOGRAPHICS
Table 2 shows demographic data for the 3 groups. Age at study and parental social class were compared across the 3 groups using analysis of variance. There was no significant difference in age at study. Both preterm groups had significantly lower parental social class compared with the controls. Social class did not differ between the 2 preterm groups.
Other pertinent variables from the neonatal period were compared between the 2 preterm samples using analysis of variance. There was no significant difference between groups in gestational age, birth weight, SNAP, number of sepsis evaluations, or number of days taking antibiotics. Average hematocrit level and nadir hematocrit level (lowest hematocrit level recorded) were significantly lower for the restricted group compared with the liberal group, as expected based on transfusion protocols. Although the mean number of transfusions was greater for the liberal group, this difference did not reach statistical significance.
GROUP COMPARISONS
Table 3 shows the general and regional brain measures compared across the 3 groups. Raw means and standard deviations for the volume (in milliliters) of each brain region are listed.
There were 2 brain measures (ICV and putamen) in which 1 of the preterm groups was significantly different than controls and the other preterm group was not, yet both preterm groups were not different from each other. For ICV, the restricted transfusion group was not significantly lower than controls ($t_{83} = 1.91; P = .06$), but the liberal group showed a robust significance compared with controls ($t_{83} = 4.39; P < .001$), with the liberal subjects having lower volumes. However, the 2 preterm groups were not significantly different from each other ($t_{83} = 1.74; P = .08$). For the putamen, the mean volume for the restricted group was lower than controls ($t_{83} = 2.36; P = .03$), but the mean volume for the liberal group was not significantly lower than controls ($t_{83} = 1.71; P = .09$); the 2 preterm groups were not significantly different from each other ($t_{83} = 0.832; P = .41$). This pattern suggests that, descriptively, the volume decrement of ICV appears to be greater in the liberal group than in the restricted group, and the volume decrement of the putamen is greater in the restricted group than in the liberal group. These differences, however, did not reach statistical significance when compared across only the 2 preterm groups.
For several brain measures, there was no significant difference in volume between the 2 preterm groups, but both preterm groups were significantly different from the controls in total brain tissue, total CSF, cerebral white matter, caudate, and thalamus. The cerebral cortex and cerebellum were not different across the 3 groups.
Given the differences between the preterm group and controls in regard to parental social class, the analysis was repeated controlling for social class; the findings remained the same.
**BREAKDOWN BY SEX**
Because the restricted female group was too small to be analyzed independently ($n = 2$), this group was dropped from further analyses. Comparison of brain structure was then made between the liberal boys and the control boys and between the liberal girls and the control girls. Age at study did not differ among groups (Table 4). For parental social class, again the preterm groups were both significantly lower in social class than controls, but they were not different from each other. In terms of other pertinent variables from the time of birth, the liberal boys, compared with liberal girls, were significantly younger in gestational age. They also had higher SNAPs compared with the liberal girls, but this did not reach statistical significance. The liberal boys and liberal girls did not differ in birth weight, number of sepsis evaluations, or days taking antibiotics.
**BRAIN MEASURES**
Table 5 shows the analysis of all the general and regional brain measures across the liberal and control groups, separated by sex. Figure 1 displays these data visually. For the general measures of ICV, total brain tissue, and total CSF, there was no significant sex × group interaction. However, the decrement in ICV and total brain tissue and subsequent increase in CSF volume was descriptively more robust in the girls compared with boys.
For several measures, there was a statistically significant sex × group interaction. These measures included cerebral cortex, cerebral white matter, and thalamus. To investigate regional measures, both cerebral cortex and cerebral white matter were further divided into the regions of the 4 cerebral lobes. Table 5 and Figure 2 show the regional breakdown of the cortical gray matter volumes across the sexes. The liberal girls had elevations in all 4 regions. This reached statistical significance for the frontal lobe. In contrast, the boys had increases in the frontal lobe but decrements in the remaining 3 lobes compared with controls. This difference reached statistically significant levels for the volume of the occipital gray...
Table 4. Demographics of Sample Broken Down by Sex
| | Mean (SD) | Liberal Group (n=26) | Controls (n=40) | F Test | P Value |
|------------------------|-----------|----------------------|-----------------|--------|---------|
| | | Boys (n=10) | Girls (n=16) | Boys (n=20) | Girls (n=20) | | |
| Current age, y | | | | | | | |
| | | 12.33 (2.26) | 12.57 (1.38) | 11.82 (2.14) | 11.67 (2.00) | 0.83 | .51 |
| Parental social classb | | 2.70 (0.34) | 2.87 (0.61) | 2.32 (0.46) | 2.32 (0.46) | 4.05 | .005 |
| Gestational age, wk | | 26.75 (1.86) | 29.15 (2.25) | NA | NA | 7.91 | .009 |
| Birth weight, g | | 961.20 (199.75) | 946.93 (192.07) | NA | NA | 0.03 | .86 |
| SNAP | | 10.22 (4.91) | 6.53 (4.50) | NA | NA | 3.62 | .07 |
| Average hematocrit level, % | | 45.08 (2.61) | 44.56 (5.48) | NA | NA | 0.08 | .78 |
| No. of sepsis workups | | 3.22 (2.48) | 2.19 (1.16) | NA | NA | 2.02 | .17 |
| No. of days taking antibiotics | | 19.89 (17.38) | 11.56 (8.38) | NA | NA | 2.65 | .12 |
Abbreviations: NA, not applicable; SNAP, Score for Neonatal Acute Physiology.
a Analysis performed on liberal group compared with controls and with each other across sex using analysis of variance. For the liberal group vs controls, both the male and female liberal groups had significantly lower parental social class compared with controls but were not different from each other.
b Parental social class was determined by a Hollingshead Scale score of 1 to 5 where the lower the score, the higher the social class.
Table 5. General and Regional Brain Measures Compared Across the Liberal Preterm Group and Controls for Effects of Sex
| | Mean | Liberal Girls (n=16) | Control Girls (n=20) | t Test | P Value | Mean | Liberal Boys (n=10) | Control Boys (n=20) | t Test | P Value | Sex × Diagnostic Interaction |
|------------------------|------|----------------------|----------------------|--------|---------|------|---------------------|---------------------|--------|---------|--------------------------------|
| ICV, mL | | 1202.79 | 1358.84 | 4.43 | <.001 | | 1370.91 | 1472.92 | 2.54 | .01 | 1.12 |
| Total brain tissue | | 0.919 | 0.944 | 3.25 | .001 | | 0.928 | 0.936 | 1.00 | .31 | 1.95 |
| CSF | | 0.080 | 0.055 | 3.25 | .001 | | 0.071 | 0.063 | 1.00 | .32 | 1.95 |
| Cerebral cortex | | 0.491 | 0.482 | 1.58 | .12 | | 0.475 | 0.481 | 0.872 | .39 | 2.94 |
| Frontal | | 0.197 | 0.191 | 2.638 | .01 | | 0.194 | 0.191 | 1.05 | .29 | 0.91 |
| Temporal | | 0.123 | 0.122 | 0.338 | .74 | | 0.122 | 0.122 | 0.12 | .90 | 0.02 |
| Parietal | | 0.112 | 0.110 | 1.34 | .18 | | 0.105 | 0.108 | 1.35 | .19 | 3.69 |
| Occipital | | 0.058 | 0.058 | 0.60 | .95 | | 0.052 | 0.058 | 2.66 | .009 | 3.92 |
| Cerebral white matter | | 0.274 | 0.305 | 5.86 | <.001 | | 0.298 | 0.300 | 0.390 | .70 | 12.92 |
| Frontal | | 0.107 | 0.115 | 2.69 | .009 | | 0.118 | 0.117 | 0.484 | .63 | 5.86 |
| Temporal | | 0.044 | 0.050 | 4.69 | <.001 | | 0.050 | 0.049 | 1.27 | .21 | 19.99 |
| Parietal | | 0.067 | 0.072 | 2.57 | .01 | | 0.074 | 0.073 | 0.070 | .48 | 6.05 |
| Occipital | | 0.022 | 0.026 | 2.88 | .005 | | 0.263 | 0.258 | 0.499 | .62 | 6.63 |
| Cerebellum | | 0.101 | 0.097 | 1.53 | .13 | | 0.096 | 0.097 | 0.217 | .83 | 1.40 |
| Caudate | | 0.355 | 0.390 | 2.347 | .022 | | 0.351 | 0.401 | 2.93 | .005 | 0.45 |
| Putamen | | 0.920 | 0.967 | 2.00 | .049 | | 0.923 | 0.939 | 0.606 | .55 | 0.76 |
| Thalamus | | 0.868 | 0.959 | 3.58 | .001 | | 0.890 | 0.881 | 0.314 | .75 | 6.85 |
Abbreviations: CSF, cerebrospinal fluid; ICV, intracranial volume.
a Adjusted means are shown. Intracranial volume was adjusted for height and age. For all other measures, volumes are expressed as a ratio to ICV. For the caudate, putamen, and thalamus, this was multiplied by 100 to decrease excessive zeros.
matter in the liberal boys compared with the male controls. The sex × group interactions were significant for the parietal and occipital regions.
Table 5 and Figure 3 show the regional breakdown of the cerebral white matter volumes for each sex. The liberal girls had significant decrements in all 4 cerebral lobes, whereas the liberal boys had no significant difference in any region compared with their controls. Therefore, all 4 regions had a statistically significant group × sex interaction. A post hoc analysis of the cerebral lobe white matter volumes was run on only the liberal girls compared with the female controls to assess if there was a region × group interaction. The lobe × group interaction was significant (F = 4.04; P = .02), indicating that, although all white matter regions in the liberal girls were low, this finding was particularly robust in the temporal lobes.
In regard to the remaining regions of interest, there was no significant sex × group interaction for the cerebellum, caudate, or putamen. However, the thalamus...
was significantly lower in the female liberal group compared with the female controls; the male liberal group was not different compared with the male controls.
Finally, we sought to explore further the relationship between the abnormal brain findings in the liberal female group and measures of transfusion status. The initial analysis used a dichotomous group approach (restricted vs liberal). However, average hematocrit level is a continuous measure that also reflects transfusion status but can be applied to all girls (including the 2 in the restricted group who could not be analyzed separately as a group). Pearson partial correlations were calculated to assess the relationship between the brain measures and average hematocrit level, controlling for current age. To limit the number of tests and minimize the effect of type II error, only those measures that were distinctly abnormal in the female group were assessed: cerebral white matter and thalamus volume. Both cerebral white matter volume and thalamus volume were significantly inversely correlated with average hematocrit level (18 girls: white matter, $r = -0.507; P = .04$; thalamus, $r = -0.478; P = .051$). This indicates that the regional brain measures most affected in the girls are directly related to average hematocrit level: those children who had the highest average hematocrit level were the 12-year-olds with the lowest volumes of white matter and thalamus. This finding supports the notion that the abnormalities in the girls are indeed related to hematocrit level (transfusion status).
**COMMENT**
**GENERAL GROUP EFFECTS**
As a group, premature infants have structural brain abnormalities in almost every measure. These findings are in support of several other studies that have shown widespread abnormalities in long-term outcomes of preterm brain structure.\(^{4,28-35}\) With respect to the comparisons between prematurity group effects, we found that, contrary to our original hypothesis, the restricted group did not show the greatest degree of abnormality. In general, there were no significant differences in brain structure between the 2 preterm groups, although descriptively measures tended to be lower in the liberal group than in the restricted group. This pattern is consistent with the results of our assessment of the long-term cognitive outcomes of the original Iowa sample (of which the current study is a subsample) (Thomasin McCoy, PhD, A.L.C., L.C.R., S.D.L., P.C.N., E.F.B., unpublished data, January 2010), which showed that the liberal preterm group performed below that of the restricted group on all cognitive tests that were administered. Most of these effects, as with the brain measures, did not show a significant difference between the 2 preterm groups, but the pattern of the liberal group having overall poorer cognitive outcome is congruent with the structural brain findings of the current subsample.
EFFECTS OF SEX
Despite the lack of differences in brain volumes between the preterm groups when analyzed as a whole, when the liberal group was analyzed by sex, many significant differences emerged. The results show that the liberal girls had the greatest degree of structural brain abnormality. The liberal girls had more robust abnormalities despite the fact that they were older in gestational age than the liberal boys, a well-documented protective factor for developmental outcomes.
This analysis of sex effects was limited by our inability to assess restricted girls. Therefore, we are left with 2 possibilities: (1) the effects seen in the liberal female group are generalized effects to all premature girls compared with boys; or (2) the sex effect is specific to the girls in the liberal transfusion group. The first possibility is inconsistent with a large body of research supporting the notion that the male brain is more at risk for abnormal neurodevelopmental outcome. The findings from the correlation analysis support the second possibility, that the sex effect is specific to the girls in the liberal group. In that analysis, average hematocrit level was directly related to volume of white matter and thalamus. According to this correlation, female infants with the lowest average hematocrit level have the largest volumes of white matter and thalamus and, therefore, a better long-term outcome in terms of brain structure.
POTENTIAL DIFFERENCE BETWEEN SHORT- AND LONG-TERM OUTCOMES
The findings of the current long-term study suggest potential neuroprotective benefits of restrictive transfusion status, whereas the short-term outcome studies of this original sample and the PINT study suggested the opposite. One possible explanation for this conundrum is that short-term developmental or cognitive assessments, such as the Bayley Scales of Infant Development (as used in the PINT study), may be relatively poor prognosticators for long-term outcome. One study of 330 preterm infants showed that a subnormal Mental Developmental Index score from the Bayley Scales of Infant Development, at age-corrected age 20 months, was poorly predictive of cognitive function at age 8 years. The same appears to be true for neonatal brain imaging, with studies showing no relationship between neonatal brain ultrasonography abnormality and general cognitive ability at age 9 years or school performance at age 12 years.
POTENTIAL ETIOLOGY
One possible etiology for our findings is that the restrictive group fared better because endogenous erythropoietin production was suppressed in the liberal transfusion group. Research studies over the past several years have documented in both animal and human studies that erythropoietin has substantial neuroprotective properties. Analysis from the original Iowa study showed that erythropoietin levels obtained at 6 weeks into the protocol were significantly higher in the restricted group compared with the liberal group. Therefore, this suppression of erythropoietin may translate into “loss” of a growth factor known to promote brain growth and recovery from brain injury. Finally, the neuroprotective effect of erythropoietin has been shown to result from selective attenuation of cytokine production and inflammation, bringing together inflammation and erythropoietin suppression as 2 potential mechanisms with a common pathway.
In sum, the current study finds that the long-term outcome of brain structure in premature infants may be related to differential transfusion status or difference in mean hematocrit level. Although short-term outcomes suggest that restricted transfusion may bode a poor neurodevelopmental outcome (especially for boys), long-term outcomes may be adversely affected by liberal transfusion (especially for girls). Future studies should be geared toward replication and expansion of long-term outcome studies evaluating brain morphology in the context of anemia and its treatment in the neonatal period. In addition, studies evaluating the roles of inflammation and erythropoietin suppression in response to transfusion are needed.
Accepted for Publication: October 20, 2010.
Published Online: January 3, 2011. doi:10.1001/archpediatrics.2010.269
Correspondence: Peg C. Nopoulous, MD, University of Iowa, 200 Hawkins Dr, W278 GH, Iowa City, IA 52242 ([email protected]).
Author Contributions: Dr Nopoulous had full access to all of the data in the study and takes responsibility for the integrity of the data and the accuracy of the data analysis. Study concept and design: Nopoulous, Bell, Strauss, and Lindgren. Acquisition of data: Nopoulous, Conrad, Magnotta, and Lindgren. Analysis and interpretation of data: Nopoulous, Conrad, Bell, Strauss, Widness, Magnotta, Zimmerman, Georgieff, Lindgren, and Richman. Drafting of the manuscript: Nopoulous, Conrad, and Widness. Critical revision of the manuscript for important intellectual content: Nopoulous, Conrad, Bell, Strauss, Magnotta, Zimmerman, Georgieff, Lindgren, and Richman. Statistical analysis: Zimmerman and Richman. Obtained funding: Nopoulous, Bell, Strauss, Widness, Lindgren, and Richman. Administrative, technical, and material support: Conrad, Bell, Widness, Magnotta, and Lindgren.
Financial Disclosure: None reported.
Funding/Support: The current study was funded by grant 2 P01 HL046925 from the National Heart, Lung, and Blood Institute (Dr Widness, principal investigator).
Additional Information: The trial registration number for the original Iowa study at clinicaltrials.gov is NCT00369005.
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Please cite the Published Version
Coad, L, Willis, J, Maisels, F, Funk, SM, Doughty, H, Fa, Julia, Gomez, J, Ingram, DJ, Li, Y, Nihotte, L, Paemelaere, E, Sartoretto, E, van Vliet, N and Nasi, R (2021) Impacts of Taking, Trade and Consumption of Terrestrial Migratory Species for Wild Meat. Research Report. Convention on Migratory Species.
Publisher: Convention on Migratory Species
Version: Published Version
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IMPACTS OF TAKING, TRADE AND CONSUMPTION OF TERRESTRIAL MIGRATORY SPECIES FOR WILD MEAT
Impacts of Taking, Trade and Consumption of Terrestrial Migratory Species for Wild Meat
Prepared for the Secretariat of the Convention on Migratory Species (CMS) by the Center for International Forestry Research (CIFOR), September 2021.
AUTHORS
Lauren Coad, Jasmin Willis, Fiona Maisels, Stephan Funk, Hunter Doughty, Julia E. Fa, Juanita Gomez, Daniel J. Ingram, Yuhan Li, Lola Nihotte, Evi Paemelaere, Eugenio Sartoretto, Nathalie van Vliet and Robert Nasi
ACKNOWLEDGEMENTS
Clara Nobbe, Head of CMS Terrestrial Species
Tilman Schneider, CMS Associate Programme Officer
Andrea Dekrout, CMS EU Programme Manager
Dunia Sforzin, AEWA and CMS Information Assistant, for the layout
A previous draft was informally peer-reviewed by experts from the CITES Secretariat, the Eurobats Secretariat, the IUCN Sustainable Use and Livelihoods Specialist Group, the UN Environment Programme, and the Wildlife Conservation Society (WCS).
Funded by the Government of Germany and the Government of Norway, EU Sustainable Wildlife Management Programme, USAID, USFWS and the UKRI TRADE Hub Initiative.
Thanks go to all image owners for permission to use their images in this report.
COVER IMAGE
© Manuel Lopez/CIFOR
ISBN: 978-3-937429-33-5
© 2021 CMS. This publication may be reproduced in whole or in part and in any form for educational and other non-profit purposes without special permission from the copyright holder, provided acknowledgement of the source is made. The CMS Secretariat would appreciate receiving a copy of any publication that uses this publication as a source. No use of this publication may be made for resale or for any other commercial purposes whatsoever without prior permission from the CMS Secretariat.
DISCLAIMER
The designations employed and the presentation do not imply the expression of any opinion whatsoever on the part of CMS or contributory organisations concerning the legal status of any country, territory, city or area in its authority, or concerning the delimitation of its frontiers or boundaries.
Copies of this publication are available from the CMS website: https://www.cms.int
# Table of Contents
1 Executive Summary ........................................................................................................... 3
2 Introduction ....................................................................................................................... 4
2.1 Migratory species and hunting for wild meat: CMS Decision 13.109 ......................... 4
2.2 Terms used in this report .............................................................................................. 4
2.3 The use of wild animals as food .................................................................................. 4
2.4 Other forms of hunting and deliberate killing ............................................................. 5
2.5 Threats to wild animals from wild meat hunting .......................................................... 6
2.6 Wild meat hunting and zoonotic diseases .................................................................. 6
2.5 Key questions asked in this report .............................................................................. 6
3 Methods ............................................................................................................................ 7
3.1 Species covered by this report ..................................................................................... 7
3.2 IUCN Red List Assessments: Species uses and hunting threat ................................... 11
3.3 Presence/absence of species in hunting and trade databases ..................................... 11
3.4 Systematic online literature review ............................................................................. 13
3.5 Review of the links between wild meat hunting and zoonotic disease risk ............... 13
4 Results ............................................................................................................................. 15
4.1 IUCN Red List: Species uses and threats from hunting .............................................. 15
4.2 Global database records of wild meat hunting and trade ............................................ 23
4.3 Literature review: hunting offtakes, trends and impacts ............................................ 23
4.4 Governance of wild meat hunting and use .................................................................. 45
4.5 Zoonotic diseases and wild meat hunting and use ..................................................... 53
5 Discussion ....................................................................................................................... 60
5.1 Limitations of our study .............................................................................................. 60
5.2 Impacts of hunting on CMS species: significant impacts are documented, but current,
systematic assessment is lacking .................................................................................. 60
5.3 Large-scale drivers of hunting: poverty, conflict, and land use change ....................... 61
5.4 Hunting governance: the need for review, revision and effective enforcement of hunting
legislation ..................................................................................................................... 62
5.5 Wild meat hunting and zoonotic disease transmission ............................................... 62
5.6 Conclusions ................................................................................................................ 62
6 References ....................................................................................................................... 64
7 Appendices ....................................................................................................................... 81
1 Executive Summary
This study looks for the first time at the extent to which terrestrial animals protected by the Convention on the Conservation of Migratory Species of Wild Animals (CMS) are being impacted by wild meat taking, trade and consumption. It contributes to the implementation of a decision adopted by the CMS Conference of the Parties in 2020 (CMS Decision 13.109). We assessed the direct and indirect impacts of wild meat taking, trade and consumption of 105 terrestrial mammal species listed in the CMS Appendices I and II and relevant CMS daughter agreements and initiatives. We first used a systematic review of the published literature, global database searches and the IUCN Red List to determine which CMS species are affected by wild meat hunting. We then reviewed the legislation applicable to the regulation of wild meat hunting and trade and explored the application of hunting legislation using a national case-study example. Finally, we examined the known linkages between zoonotic diseases and wild meat use and trade.
We concluded that a large proportion of the CMS species considered in this report are affected by wild meat hunting. The literature review found that 64% of the 105 reviewed CMS terrestrial mammal species are recorded as hunted. When Chiroptera (bat) species are removed from the analysis, this increases to 98% (47/48) of species. 70% of CMS terrestrial mammal species are hunted for wild meat consumption and 60% are recorded as traded (nationally and/or internationally; legally or illegally). Similarly, global database records of wild meat hunting and trade show that 51% of the CMS terrestrial mammal species are recorded as hunted or traded legally or illegally.
Taking (for all purposes) is reported as a key threat to the survival of many species. Of the 99 CMS species with an IUCN Red List assessment 50% of species and 98% of all non-bat species are threatened by hunting (including intentional or unintentional hunting and hunting for persecution/control), and 95% of the CMS species classified by IUCN as Endangered, Critically Endangered, or Extinct in the Wild are threatened by hunting.
For most CMS species studied, taking for domestic use has likely a greater impact than taking for international trade. When only meat for consumption was considered, 27 species were reported as consumed for subsistence in their IUCN Red List Assessment, 10 species used for national wild meat trade and only two species used for international wild meat trade.
There is strong evidence that zoonotic disease emergence is linked to human activities that bring wildlife, domestic animals, and humans into increasingly intense contact, including encroachment into remaining natural habitats and transport of wildlife to urban centres. CMS species used for wild meat can be a potential source of new zoonotic outbreaks. Data from (Johnson et al., 2020) suggests that 51% of the CMS terrestrial mammal species were known to host at least one of 60 pathogens that have been, or have the potential to be, transmitted to humans and cause disease.
Management of wild meat hunting generally is challenging; laws and regulations governing wild meat hunting and trade are often outdated, are based on insufficient scientific evidence, and often do not consider the land rights of local and indigenous peoples. Additionally, contradicting regulations, legal loopholes, lack of resources/capacity, and high levels of corruption make enforcement difficult. Migratory species are especially susceptible to over-hunting; national laws and regulations governing wildlife hunting and wild meat use, enforcement of these laws, and political and social conditions vary widely between nations, presenting a particular challenge for migratory species whose range may cross multiple international borders. Additionally, hunters can take advantage of predictable peaks in the abundance of species along migration routes.
In conclusion, there is strong evidence from the literature that wild meat use is a major driver of unsustainable hunting for numerous CMS species, especially under conditions of conflict, poverty, and land use change. However, additional research is needed for many species, as data on hunting offtakes and species abundance is limited and species may be targeted for multiple reasons.
We recommend several follow-up actions. First, we recommend that comparable and collatable data on hunting offtakes and species abundance are gathered on all the species studied to enable more complete assessments of impacts of hunting for wildlife consumption and trade. Second, a review of existing national hunting legislation and regulations, as well as the enforcement of these regulations, is needed. Third, capacity for monitoring and enforcement should also be examined. Fourth, the drivers contributing to the use of wildlife for domestic consumption, especially in urban areas, should be further identified and addressed. Finally, additional international cooperation will be needed to address wild meat taking, particularly for migratory species whose ranges may span vast areas that include various countries.
2 Introduction
2.1 Migratory species and hunting for wild meat: CMS Decision 13.109
Migratory species are hunted and eaten by humans in many regions of the world. However, the impact of this use on wild species populations is not well documented. Responding to this information gap, the 13th Meeting of the Conference of the Parties (COP13) of CMS directed the Secretariat to prepare an analysis on the direct and indirect impacts of wild meat taking, trade and consumption of terrestrial and avian species listed on CMS Appendices I and II (CMS Decision 13.109 on Addressing Unsustainable Use of Terrestrial and Avian Wild Meat of Migratory Species of Wild Animals). The Secretariat was also requested to organise an assessment of the impact of direct use on the conservation status of species listed on Appendix I (CMS Decision 13.24 on Conservation Status of Migratory Species).
The aim of this report is to contribute to the implementation of CMS Decision 13.109, by assessing, to the extent possible, the direct and indirect impacts of wild meat taking, trade and consumption for each of the CMS terrestrial mammal species covered by CMS Appendices I and / or II, as well as the following species: *Gazella bennettii*, *Pantholops hodgsonii*, and *Procapra picticaudata* (all under CMS Central Asian Mammals Initiative); and *Myotis aurascens*, *Otonycteris hemprichii*, *Plecotus kolombatovici*, *Plecotus macrobullaris*, *Plecotus sardus*, *Rousettus aegyptiacus*, and *Taphozous nudiventris* (all listed under the Agreement on the Conservation of Populations of European Bats (EUROBATS)).
Considering the broad definition of ‘taking’ in CMS (Article I (1)(j)), covering ‘taking, hunting, fishing, capturing, harassing, deliberate killing, or attempting to engage in any such conduct’, a variety of scenarios need to be considered. In the frame of this study, any taking of the above-named species for the delivery of meat or other wildlife parts for human consumption (food or non-food, including for ‘medicinal use’), legal or illegal, regulated, or unregulated by law is relevant. The analysis is also expected to provide input to an assessment of the impact of direct use on the conservation status of species listed on Appendix I as provided by CMS Decision 13.24.
2.2 Terms used in this report
In this report we use the following terminology:
- Hunting: The pursuit of wild animals often, but not always, ending in their killing or capture. This includes legal and illegal hunting activity. We use ‘hunting’ to cover the same broad CMS definition of ‘taking’ as outlined above.
- Sustainable hunting: Hunting in a way and at a rate that does not lead to the long-term decline of biological diversity, thereby maintaining its potential to meet the needs and aspirations of present and future generations (adapted from the CBD definition of sustainable use (CBD, Article 2)).
- Threatened by hunting: We follow the IUCN Red List definition of a threat, which is “the proximate human activities or processes that have impacted, are impacting, or may impact the status of the taxon being assessed”. In the context of the Red List, the ‘status’ refers to the Red List Extinction Risk Assessment status. More generally in this report a species threatened by hunting would be one that is experiencing significant population declines or is at risk from extinction, due to hunting off-takes.
- Wild meat: The meat of wild animals, used for food. Also referred to in the hunting literature as ‘bushmeat’. For the purposes of this report, it does not include wild fish.
- Trade: The sale of wildlife or wild meat. This refers to all levels of trade, from local to international, unless otherwise stated in the text.
2.3 The use of wild animals as food
The meat from wild animals, obtained from a diversity of habitats (forests, savannas, aquatic environments, agricultural areas, deserts, glaciers etc.), is used as food around the world. Centuries of agricultural development have greatly diminished reliance on terrestrial wild meat in most temperate regions (Ramankutty et al., 2018), but wild meat is still used as a source of food and income in much of the tropics. Nielsen et al. (2018) examined the use and role of wild meat in 7978 households in 24 countries across Africa, Latin America and Asia, and found that 39% of households hunted wildlife for food at least once a year. Extrapolating from this sample they suggest that over 150 million households (between 230 and 833 million people) in the global south may hunt wildlife for food at least once a year. The number of people harvesting wild meat can vary significantly between regions; for example, Nielsen et al. (2018) found that 97% and 85% of sampled households hunted in Cameroon and Mozambique respectively, whereas none of the sampled households in India and Ecuador reported hunting.
In some rural communities – often those that are remote, where poverty levels are high, affordable alternatives to wild meat are scarce, and wildlife populations are still relatively abundant - wild meat can provide a significant proportion of daily protein, fat and micronutrient needs for rural peoples, and contribute to diversified diets (Alves & van Vliet, 2018; Cawthorn & Hoffman, 2015; Nasi et al., 2011). For example, Nasi et al., (2011) estimated that wild meat consumption could be providing between 60 and 80% of daily protein needs for 15 communities surveyed in the Congo Basin. Wild meat can also be an important source of household income and, due to urban demand for wild meat, the amount and
proportion of hunting offtakes sold by hunters increases with proximity to urban markets, where bushmeat prices can be many times higher than in the villages within the areas where the animals were hunted (Brashares et al., 2011; Kümpel, 2006; Starkey, 2004).
Several site-level studies have found that wild meat can also provide a ‘safety net’ in times of economic hardship, civil unrest, drought or disruption in the supply of alternatives (Cawthorn & Hoffman, 2015; de Merode et al., 2004; Schulte-Herbrüggen et al., 2013, 2017; van Vliet et al., 2017; van Vliet et al., 2018), however, see Nielsen et al. (2018), who found no correlation between wild meat use and idiosyncratic income or food security shocks). While adequate data exists to show widespread use of wild meat by rural communities in the Global South, disentangling wild meat ‘use’ from ‘dependence’ on wild meat can be difficult, and has only been robustly assessed in a few cases (e.g., Allebone-Webb, 2009; Nunes et al., 2019). This has been identified as a major data gap by Ingram et al. (2021) in their recent review of progress in wild meat research, policy and practice from 2002-2020.
While wild meat can be an important source of nutrition for rural communities, wild meat does not often play a significant role in food security for urban dwellers, for whom relatively cheap alternative meats are available (Coad et al., 2019) and wild meat is generally consumed as a luxury item (Shairp et al., 2016; Wilkie et al., 2016). Population increases coupled with rural to urban migration has resulted in rapidly growing urban populations; In 2016, 54% of the world’s people lived in urban areas, a rise from 34% in 1960 (World Bank, 2017). An estimated 83% of the population of South America lived in urban areas in 2014 (UNDESA, 2014), and Africa and Asia are urbanising rapidly (Cawthorn & Hoffman, 2015). As urban populations grow, so does the demand for wild meat. Even low per capita consumption rates can add up to large total quantities of wild meat consumed, and urban demand is fuelling increasing unsustainable offtakes in surrounding rural areas (Fa et al., 2003). This reduces wild species populations, and therefore meat availability, in the more wildlife-dependent rural communities surrounding these urban centres (Van Vliet & Mbazza, 2011).
Increasing urban demand incentivises external commercial hunters (as opposed to local village hunters), who are often primarily hunting for high-value wildlife products (such as ivory or skins; (UNODC, 2020) but will also respond to the lucrative profits to be made in urban and transborder sales of wild meat (Coad et al. 2019) and will move between hunting areas following target prey availability to maximise profits. External commercial hunters – especially those involved in the trade in ivory or in other high-value wildlife products - are often part of well-organised, well-armed hunting groups, sometimes military, with strong direct links to urban and international traders (Coad et al., 2019; UNODC, 2020; Wutty & Simms, 2005). Due to the illegal nature of such wildlife trade, obtaining data on the activities of these groups can be difficult and dangerous, and therefore few estimates of offtake and incomes for these groups exist. However, it is thought that the number of groups and their activity is increasing with urban and global demand for wildlife products (UNODC, 2020).
Although transport of wild meat has been identified in Europe (Maisels et al., 2013), and the United States (Bair-Brake et al., 2014), long-distance intercontinental trade in wild meat from the tropics is poorly understood (Ingram et al. 2021). Estimates of annual inflows of illegal wild meat in passenger luggage to major airports in Europe at the start of the decade were up to 300 tons, with the bulk originating from Central and West African countries (Chaber et al., 2010; Falk et al., 2016). However, estimates of total wild meat harvest from Central Africa range between 1 and 5.5 million tonnes per year (Ingram, 2018). Comparison of these estimates suggests predominantly national use, with the caveat that investigation of the international trade in wild meat represents a key research gap.
### 2.4 Other forms of hunting and deliberate killing
Other forms of hunting and deliberate killings of wildlife were considered in this report to encompass the broad definition of ‘taking’ in CMS (Article I (1)(j)), which not only includes wild meat hunting, but also deliberate killing, and harvesting of other body parts for non-food human consumption or trade, such as for traditional medicines (Alves & van Vliet, 2018; Gomez, 2021) or for clothing or decorations and ornaments (Alves & van Vliet, 2018; Vander Velden, 2019). Other forms include direct hunting for sport/recreational purposes or trophy hunting (e.g., Batavia et al., 2019), indirect hunting (i.e., where the species was not the intended target, but was captured as bycatch or in snares and traps meant for other animals), killings resulting from human-wildlife conflict, retaliatory/nuisance killings, and opportunistic hunting and/or harvesting of body parts resulting from chance encounters.
Human-wildlife conflict includes the deliberate killing or harming of an animal as a retaliatory or pre-emptive measure to avoid financial losses (e.g., property or crop damage, or killing of livestock) or loss of human life (Dickman & Hazzah, 2016). Human-wildlife conflict is common where humans and wildlife come into frequent contact, such as where human settlements encroach on wildlife habitat or national parks, or large areas of wildlife habitat are converted to agriculture (Nicole, 2019). It is considered the primary motivation for the killing of species such as lions and jaguars where hunting for wild meat is a notable, but lesser threat (Bauer et al. 2016). Pests or nuisance animals are often larger species, such as elephants or jaguars, especially more aggressive young males, but can be smaller species; for example, bats may
be considered pests when nesting in buildings. Trophy hunting is the deliberate killing of a species for sport or recreational purposes, after which the whole animal or a part of the animal is kept as a decorative object or souvenir to symbolise the hunter’s success (Mitchell et al., 2021). Trophy hunting may occur as part of a legal commercial industry, where individuals (often international tourists) pay a fee to hunt a preferred species, or illegally. Similar to human-wildlife conflict, trophy or recreational hunting can have detrimental impacts on wildlife if offtake levels are unsustainable or if legal hunting encourages illegal hunting (Brink et al., 2016; Packer et al., 2011). It is therefore important to include trophy/recreational hunting and human-wildlife conflict when considering the impacts of hunting on CMS species.
2.5 Threats to wild animals from wild meat hunting
Hunting of wild species is widely recognised as a major threat to global biodiversity (Mazor et al., 2018). Nearly 20% of the IUCN Red List’s threatened and near-threatened species are directly threatened by hunting (Mazor et al., 2018), including over 300 threatened mammal species (Ripple et al., 2015). Unsustainable hunting levels have been reported in many regions of the world, driven by increases in human populations, increased access to once remote areas, immigration to these areas following economic opportunities (i.e. logging or mining camps), demand for wild meat from growing urban populations, the higher catch-per-unit-effort (CPUE) possible from modern hunting technologies (e.g. wire/nylon snares and cheap firearms) and an unwillingness of national governments in some regions to devolve management responsibilities to local communities and support them to exclude external commercial hunters from their lands (for an in-depth discussion of the drivers of wild meat hunting see Coad et al. (2019); Ingram et al. (2021).
Hunting can be economically sustainable (i.e., can continue to provide local people with stable incomes into the foreseeable future) in ‘post-depletion’ scenarios, where large and medium-bodied species populations have been severely reduced or even driven to local extinction, but where small bodied species can persist under high levels of hunting pressure (Nielsen et al., 2018). However, post-depletion ecosystems lack many of their primate and large herbivore (Dirzo et al., 2014; Ripple et al., 2015, 2016). This has serious knock-on effects on ecosystem structure and function (Young et al., 2016).
2.6 Wild meat hunting and zoonotic diseases
While wild meat can provide an important source of nutrition for rural communities, there are also some serious health concerns associated with wild meat consumption. Zoonotic disease outbreaks have been increasing steadily since the 1940s, with over 70% of zoonotic emerging infectious disease events now originating in wildlife (Jones et al., 2008). There is strong evidence that zoonotic disease emergence is linked to human activities, which bring wildlife, domestic animals, and humans into more frequent and close contact. This includes destruction and degradation of natural areas (Allen et al., 2017), deforestation and reforestation (Morand & Lajunie, 2021), intensive livestock rearing (Han et al., 2016), and hunting, trade, and consumption of wildlife (Swift et al., 2007). Considering predicted human population growth, compounded with other pressures on food security, there is a high likelihood that hunting for wild meat will increase. This will, in turn, increase human-wildlife contacts and, in the absence of better regulation and safety precautions, the risk of zoonotic spillover (McMichael, 2005).
2.7 Key questions asked in this report
To respond to CMS Decision 13.109, we focus on the following key questions regarding CMS terrestrial mammal species and their use as wild meat:
- Which of and how are the terrestrial mammal species listed on CMS Appendices I and II and relevant CMS Agreements and Initiatives directly impacted by wild meat hunting and trade (both legal and illegal) across their range? What information is available on levels of hunting offtake, types of use, trends, and drivers of hunting?
- What are the direct and indirect impacts of wild meat hunting, international trade, domestic trade/sale and consumption of the CMS terrestrial species across their range? How does this compare with other drivers of decline?
- What are the key issues surrounding hunting legislation and its enforcement, especially where this pertains to use of wildlife as food?
- What are the linkages between hunting, trade and consumption of wild animals, in particular the CMS terrestrial species for consumptive purposes and the spread of zoonotic diseases?
- What are our knowledge gaps concerning the use of CMS species for wild meat and how could these be filled?
3 Methods
3.1 Species covered by this report.
We investigated wild meat use of all terrestrial mammal species covered by Appendix I and II of the Convention on Migratory Species. A review on CMS aquatic migratory mammal species has already been conducted, and can be accessed here: https://www.cms.int/en/document/report-aquatic-mammals-working-group-aquatic-wild-meat. Our review covers a total of 105 species from six orders (Table 1).
Table 1. The CMS terrestrial mammal species covered by this review, and their CMS appendices\(^1\). CAMI=Central Asian Mammals Initiative. EUROBATS = Agreement on the Conservation of Populations of European Bats.
| Scientific Name | Common Name | Order | Listing | Date |
|--------------------------|------------------------------|------------------|---------|--------------------|
| Acinonyx jubatus | Cheetah | Carnivora | I | **I** 05/03/2009 |
| Addax nasomaculatus | Addax | Artiodactyla | I | **I** 01/01/1979 |
| Ammotragus lervia | Barbary Sheep | Artiodactyla | II | **II** 05/03/2009 |
| Barbastella barbastellus | Barbastelle Bat | Chiroptera | II | **II** 24/01/1986 |
| Barbastella leucomelas | Asian barbastelle, Eastern barbastelle | Chiroptera | II | **II** 24/01/1986 |
| Bos grunniens | Wild Yak, Yak | Artiodactyla | I | **I** 24/01/1986 |
| Bos sauveli | Kouprey | Artiodactyla | I | **I** 01/01/1979 |
| Camelus bactrianus | Wild or Bactrian Camel | Artiodactyla | I | **I** 23/12/2002 |
| Cervus elaphus barbarus | Barbary deer | Artiodactyla | I | **I** 01/01/1979 |
| Cervus elaphus yarkandensis | Bukhara Deer | Artiodactyla | I/II | **I** 23/02/2006 |
| | | | | **II** 23/02/2006 |
| | | | | **II** 01/01/1979 |
| Eidolon helvum | Straw-Coloured Fruit Bat | Chiroptera | II | **II** 01/01/2001 |
| Elephas maximus indicus | Asian Elephant | Proboscidea | I | **I** 22/05/2020 |
| Eptesicus bottae | Botta's serotine | Chiroptera | II | **II** 24/01/1986 |
| Eptesicus nilssonii | Northern Serotine Bat | Chiroptera | II | **II** 24/01/1986 |
| Eptesicus serotinus | Serotine Bat | Chiroptera | II | **II** 24/01/1986 |
| Equus africanus | African Wild Ass, Somali Wild Ass, Nubian Wild Ass | Perissodactyla | I | **I** 26/01/2018 |
| Equus ferus przewalskii | Przewalski’s Horse | Perissodactyla | I | **I** 26/01/2018 |
| Equus grevyi | Grevy’s Zebra | Perissodactyla | I | **I** 01/01/1979 |
| Equus hemionus | Asiatic Wild Ass, Khulan | Perissodactyla | II | **II** 23/12/2002 |
| Equus kiang | Kiang | Perissodactyla | II | **II** 23/12/2002 |
| Eudorcas rufifrons | Red-fronted Gazelle | Artiodactyla | I | **I** 08/02/2015 |
\(^1\) Appendix I & II of CMS: CMS has two Appendices. These appendices list migratory species to which the Convention applies. The text of the Convention defines the basic obligations of the Contracting Parties towards species listed on Appendix I and Appendix II. These obligations are quite distinct for the two Appendices, and a migratory species can be listed in both Appendices at the same time, if the circumstances so warrant.
| Scientific Name | Common Name | Order | Listing | Date |
|---------------------------------|--------------------------------------------------|----------------|---------|--------------------|
| Gazella bennettii | Chinkara | Artiodactyla | CAMI | |
| Gazella cuvieri | Cuvier's Gazelle | Artiodactyla | I | **I** 01/01/1979 |
| Gazella Dorcas | Dorcas Gazelle | Artiodactyla | I | **I** 01/01/1979 |
| Gazella erlangeri | Neumann's Gazelle, Mountain Gazelle, Edmi Gazelle| Artiodactyla | II | **II** 01/01/1979 |
| Gazella leptoceros | Slender-Horned Gazelle, Rhim | Artiodactyla | I | **I** 24/01/1986 |
| Gazella subgutturosa | Goitered Gazelle, Black-Tailed Gazelle | Artiodactyla | II | **II** 23/12/2002 |
| Giraffa camelopardalis | Giraffe | Artiodactyla | II | **II** 26/01/2018 |
| Gorilla beringei beringei | Mountain Gorilla | Primates | I | **I** 1979 |
| Gorilla beringei graueri | Eastern Lowland Gorilla | Primates | I | **I** 1979 |
| Gorilla gorilla diehli | Cross River Gorilla | Primates | I | **I** 2005 |
| Gorilla gorilla gorilla | Western Lowland Gorilla | Primates | I | **I** 2005 |
| Hippocamelus bisulcus | Huemul, South Andean Deer | Artiodactyla | I | **I** 15/07/1997 |
| Hypsugo savii | Savi's pipistrelle | Chiroptera | II | **II** 24/01/1986 |
| Kobus kob leucotis | White-eared Kob | Artiodactyla | II | **II** 08/02/2015 |
| Lasiurus blossevillii | Southern Red Bat, Western Red Bat, Desert Red Bat| Chiroptera | II | **II** 26/01/2018 |
| Lasiurus borealis | Eastern Red Bat | Chiroptera | II | **II** 26/01/2018 |
| Lasiurus cinereus | Hoary Bat | Chiroptera | II | **II** 26/01/2018 |
| Lasiurus ega | Southern Yellow Bat | Chiroptera | II | **II** 26/01/2018 |
| Loxodonta africana | African Elephant | Proboscidea | II | **II** 01/01/1979 |
| Loxodonta cyclotis | Forest Elephant | Proboscidea | II | **II** 01/01/1979 |
| Lycaon pictus | African Wild Dog, Painted Wolf, Cape hunting dog | Carnivora | II | **II** 05/03/2009 |
| Miniopterus majori | Major's long-fingered bat | Chiroptera | II | **II** 24/01/1986 |
| Miniopterus natalensis | Natal long-fingered bat | Chiroptera | II | **II** 24/01/1986 |
| Miniopterus schreibersii | Schreibers' Bent-Winged Bat | Chiroptera | II | **II** 24/01/1986 |
| Myotis alcathoe | Alcathoe Myotis | Chiroptera | II | **II** 24/01/1986 |
| Myotis aurascens | Steppe Whiskered Bat | Chiroptera | EUROBATS| |
| Myotis bechsteinii | Bechstein's Bat | Chiroptera | II | **II** 24/01/1986 |
| Myotis blythii | Lesser Mouse-Eared Bat | Chiroptera | II | **II** 24/01/1986 |
| Scientific Name | Common Name | Order | Listing | Date |
|-------------------------|--------------------------------------------------|---------------|---------|-----------------------|
| Myotis brandtii | Brandt's Bat | Chiroptera | II | **I** 24/01/1986 |
| Myotis capaccinii | Long-Fingered Bat | Chiroptera | II | **I** 24/01/1986 |
| Myotis dasycneme | Pond Bat | Chiroptera | II | **I** 24/01/1986 |
| Myotis daubentonii | Daubenton's Bat | Chiroptera | II | **I** 24/01/1986 |
| Myotis emarginatus | Geoffroy's Bat, Notch-Eared Bat | Chiroptera | II | **I** 24/01/1986 |
| Myotis hajastanicus | Armenian whiskered bat, Hajastan myotis, Armenian myotis | Chiroptera | II | **I** 24/01/1986 |
| Myotis myotis | Greater Mouse-Eared Bat | Chiroptera | II | **I** 24/01/1986 |
| Myotis mystacinus | Whiskered Bat | Chiroptera | II | **I** 24/01/1986 |
| Myotis nattereri | Natterer's Bat | Chiroptera | II | **I** 24/01/1986 |
| Myotis nipalensis | Nepal myotis | Chiroptera | II | **I** 24/01/1986 |
| Myotis punicus | Felton's myotis, Maghreb Mouse-eared Bat, Maghrebian Myotis | Chiroptera | II | **I** 24/01/1986 |
| Myotis schaubi | Schaub's myotis | Chiroptera | II | **I** 24/01/1986 |
| Nanger dama | Dama Gazelle | Artiodactyla | I | **I** 01/01/1979 |
| Nyctalus lasiopterus | Greater Noctule Bat | Chiroptera | II | **I** 24/01/1986 |
| Nyctalus leisleri | Leisler's Bat | Chiroptera | II | **I** 24/01/1986 |
| Nyctalus noctule | Noctule Bat | Chiroptera | II | **I** 24/01/1986 |
| Oryx dammah | Scimitar-Horned Oryx | Artiodactyla | I/II | **I** 01/01/1994 |
| Otomops madagascariensis| Madagascar free-tailed Bat | Chiroptera | II | **I** 01/01/1979 |
| Otomops martiensseni | Large-Eared Free-Tailed Bat, Giant Mastiff Bat | Chiroptera | II | **I** 23/02/2006 |
| Otonycteris hemprichii | Desert long-eared bat | Chiroptera | EUROBATS| |
| Ovis ammon | Argali Sheep | Artiodactyla | II | **I** 23/02/2012 |
| Ovis vignei | Urial | Artiodactyla | II | **I** 22/05/2020 |
| Pan troglodytes | Chimpanzee | Primates | I/II | **I** 26/01/2018 |
| Panthera leo | Lion | Carnivora | II | **I** 26/01/2018 |
| Panthera onca | Jaguar | Carnivora | I/II | **I** 22/05/2020 |
| Panthera pardus | Leopard, Panther | Carnivora | II | **I** 26/01/2018 |
| Pantholops hodgsonii | Chiru, Tibetan Antelope | Artiodactyla | CAMI | |
| Scientific Name | Common Name | Order | Listing | Date |
|-------------------------|--------------------------------------------------|---------------|---------|-----------------------|
| Pipistrellus kuhlii | Kuhl's Pipistrelle Bat | Chiroptera | II | **II** 24/01/1986 |
| Pipistrellus nathusii | Nathusius's Pipistrelle Bat | Chiroptera | II | **II** 24/01/1986 |
| Pipistrellus pipistrellus | Common Pipistrelle | Chiroptera | II | **II** 24/01/1986 |
| Pipistrellus pygmaeus | Soprano pipistrelle, Brown pipistrelle | Chiroptera | II | **II** 24/01/1986 |
| Plecotus auratus | Brown Long-Eared Bat | Chiroptera | II | **II** 24/01/1986 |
| Plecotus austriacus | Grey Long-Eared Bat | Chiroptera | II | **II** 24/01/1986 |
| Plecotus kolombatovici | Kolombatovic's Long-eared Bat | Chiroptera | II | **II** 24/01/1986 |
| Plecotus macrobullaris | Alpine Long-eared Bat | Chiroptera | EUROBATS| |
| Plecotus sardus | Sardinian long-eared bat | Chiroptera | II | **II** 24/01/1986 |
| Procapra gutturosa | Mongolian Gazelle, White-Tailed Gazelle | Artiodactyla | II | **II** 23/12/2002 |
| Procapra picticaudata | Tibetan Gazelle | Artiodactyla | CAMI | |
| Rhinolophus blasii | Blasius' Horseshoe Bat | Chiroptera | II | **II** 24/01/1986 |
| Rhinolophus euryale | Mediterranean Horseshoe Bat | Chiroptera | II | **II** 24/01/1986 |
| Rhinolophus ferrumequinum | Greater Horseshoe Bat | Chiroptera | II | **II** 24/01/1986 |
| Rhinolophus hipposideros | Lesser Horseshoe Bat | Chiroptera | II | **II** 24/01/1986 |
| Rhinolophus mehelyi | Mehely's Horseshoe Bat | Chiroptera | II | **II** 24/01/1986 |
| Rousettus aegyptiacus | Egyptian Fruit Bat | Chiroptera | EUROBATS| |
| Saiga borealis | Mongolian Saiga antelope, Saiga antelope | Artiodactyla | II | **II** 23/12/2002 |
| Saiga tatarica | Saiga Antelope | Artiodactyla | II | **II** 23/12/2002 |
| Tadarida brasiliensis | Mexican Free-Tailed Bat | Chiroptera | I | **I** 01/01/1979 |
| Tadarida insignis | Oriental (or East Asian) Free-tailed Bat | Chiroptera | II | **II** 01/01/1979 |
| Tadarida latouchei | La Touche's Free-tailed Bat | Chiroptera | II | **II** 01/01/1979 |
| Tadarida teniotis | European Free-Tailed Bat | Chiroptera | II | **II** 01/01/1994 |
| Taphozous nudiventris | Naked-rumped Tomb Bat | Chiroptera | EUROBATS| |
| Uncia uncia | Snow Leopard | Carnivora | I | **I** 24/01/1986 |
| Ursus arctos isabellinus | Gobi Bear | Carnivora | I | **I** 26/01/2018 |
| Ursus maritimus | Polar Bear | Carnivora | II | **II** 08/02/2015 |
| Vespertilio murinus | Parti-Coloured Bat | Chiroptera | II | **II** 24/01/1986 |
| Vicugna vicugna | Vicuña | Artiodactyla | I/II | **I** 01/01/1979 |
| | | | | **II** 01/01/1979 |
3.2 IUCN Red List Assessments: Species uses and hunting threat
The IUCN Red List of Threatened Species is a checklist of taxa that have undergone an extinction risk assessment using the IUCN Red List Categories and Criteria. It divides species into nine categories: Not Evaluated, Data Deficient, Least Concern, Near Threatened, Vulnerable, Endangered, Critically Endangered, Extinct in the Wild and Extinct. Of these, Vulnerable, Endangered, Critically Endangered are considered the “Threatened Categories” (IUCN, 2021). Most assessments appearing on the IUCN Red List are carried out by members of the IUCN Species Survival Commission (SSC), appointed Red List Authorities (RLAs), Red List Partners, or specialists working on IUCN-led assessment projects (IUCN, 2021). In addition to the Red List Categories, Red List assessments collect a range of information on the species. This includes the current trend of the population (declining, increasing, stable, not known), the threats facing the species (using a hierarchical Threat Classification Scheme), and the current use and trade of the species (using General Use and Trade Classification Scheme), which also records the scale of the use (subsistence, national, international).
We used the April 2021 download of the IUCN Red List (IUCN, 2021) to investigate the current Red List Classification and population trend for each of the 105 CMS terrestrial mammal species. We also used the IUCN Threat data to look at the number of CMS species that are threatened by hunting (IUCN Red List Threat classifications 5.1.1 – 5.1.4) and whether those species threatened by hunting are more likely to be at risk of extinction or are experiencing declines in their populations. We further investigated the current use and trade of CMS species, using the following seven Red List Use/Trade categories relevant to terrestrial mammal species: Food – human; Food – animal; Medicine – human & veterinary; Wearing apparel, accessories; Handcrafts, jewellery, etc; Pets/display animals, horticulture; Sport hunting/specimen collecting. We then recorded the number of species used/traded for subsistence, nationally and internationally.
3.3 Presence/absence of species in hunting and trade databases
There are at least seven global databases and four regional or national databases containing species-level records on illegal wildlife trade (Challender et al., 2021); see their supplementary materials for a useful review of known databases). Global databases include the UNODC World WISE (World Wildlife Seizures) database, TRAFFIC’s Wildlife Trade Portal, the ETIS (Elephant Trade Information System), the World Customs Organization Customs Enforcement Network Database, the Great Apes Survival Partnership’s Great Apes Seizure Database, the Environmental Investigation Agency (EIA) global database of seizures involving elephants, rhinos, pangolins and big cats, and the Wildlife
Justice Commission’s global database of seizures on selected species (e.g., pangolins). National and regional databases include the EU-TWIX (European Union – Trade in Wildlife Information eXchange) database, the ASEAN-WEN (Association of Southeast Asian Nations-Wildlife Enforcement Network) Seizures database, the CITES Annual Illegal Trade Reports and the United States Fish and Wildlife Service’s (USFWS) Law Enforcement Management Information System (LEMIS).
However, of these only two are open access (TRAFFIC’s Wildlife Trade Portal, with prior approval from TRAFFIC and the USFWS LEMIS database, as provided by Eskew et al. (2020). In addition to these illegal trade databases, the CITES Trade Database provides open-access data on trade (imports and exports) of CITES-listed wildlife, and the WILDMEAT database provides soon-to-be open access data on legal and illegal wild meat hunting, consumption, and trade.
1. **The TRAFFIC Wildlife Trade Portal.** The Wildlife Trade portal ([https://www.wildlifetradeportal.org/](https://www.wildlifetradeportal.org/)) presents a portion of TRAFFIC’s open-source wildlife seizure and incident data. All information available on the Portal is obtained from publicly accessible or ‘open’ sources and consists of data relating to illegal wildlife trade. We extracted data for the last 5 years (2017 – 08/04/2021) and recorded the presence/absence of each CMS species in the database.
2. **The USFWS Law Enforcement Management Information System (LEMIS) database.** The USFWS LEMIS data are derived from legally mandated reports submitted to USFWS and contain information on US imports/exports of both live organisms and wildlife products. LEMIS data from 2000 – 2014 have been made publicly available by Eskew et al. (2020), who used a Freedom of Information Request\(^2\) to obtain the data. Using this version of the database, we recorded the presence/absence of each CMS species in the database.
3. **The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) Trade database.** The CITES trade database ([https://trade.cites.org/](https://trade.cites.org/)) is managed by the UN Environment Programme World Conservation Monitoring Centre (UNEP-WCMC) on behalf of the CITES Secretariat. It currently holds approximately 23 million records of trade in wildlife. Data predominantly covers the legal trade, as information on seized or confiscated specimens is often absent or provided in insufficient detail by Parties. (CITES Secretariat, 2013). Contracting Parties provide annual reports to the CITES Secretariat including full details of all export and import permits and certificates issued during the previous year. We extracted data from 2017 – 12/04/2021 and recorded the presence/absence of each CMS species in the database.
4. **The WILDMEAT database.** The WILDMEAT database ([www.wildmeat.org](http://www.wildmeat.org)) is managed by the Center for International Forestry Research (CIFOR), the Wildlife Conservation Society (WCS) and the University of Stirling. It collates available published and unpublished wild meat data within one database and in one standardised format. Three different types of data are held in the database:
- Hunting offtakes. I.e., the number of individual animals harvested by hunters over a given period.
- Wild meat consumption. I.e., the quantity of animal biomass consumed by individuals or within households over a given period.
- Wild meat market sales. I.e., data on the price and number of individual animals, or pieces thereof, on offer at wild meat markets over a given period.
The WILDMEAT database currently holds data from Latin America and sub-Saharan Africa. In Latin America, this includes data from 65 references covering 10 countries: Bolivia, Brazil, Colombia, Ecuador, French Guyana, Mexico, Nicaragua, Peru, Suriname, and Venezuela. In sub-Saharan Africa, this includes data from 138 references covering 23 countries: Angola, Botswana, Cameroon, Central African Republic, Côte d'Ivoire, Democratic Republic of Congo, Equatorial Guinea, Gabon, Ghana, Guinea, Guinea-Bissau, Kenya, Liberia, Morocco, Mozambique, Nigeria, Republic of Congo, Senegal, Tanzania, Togo, Uganda, Zambia, and Zimbabwe. Each reference can include multiple sites and data types. While this database will become open access in late 2021, until then it is only accessible to WILDMEAT partners. We have used the April 2021 version of the database to search for published records of hunting offtakes, wild meat consumption and wild meat sales for the 105 species. For each species we downloaded the units and number of units recorded as hunted, consumed, or sold, together with the geographic location of this use, and information on the publication that the data came from.
We interrogated these four databases to determine which of the 105 species were recorded as being hunted or traded over the periods that each database covers. As TRAFFIC make clear in their description of the Wildlife Trade Portal, “while illegal wildlife trade incident data is a vital source of information, it should not be inferred that there is a direct correlation between seizures and the overall illegal wildlife trade, or that information across locations, species or time is consistent” (TRAFFIC, 2021). As noted by Challender et al. (2021), unintentional misuse of the data provided in trade databases by several previous studies has led to mischaracterization of wildlife trade, which may in turn mislead policy processes, and
---
2 The Freedom of Information Act, or FOIA, generally provides any person with the statutory right, enforceable in court, to obtain access to Government information in executive branch agency records. See [https://www.archives.gov/foia-for-further-information](https://www.archives.gov/foia-for-further-information).
great care should be taken when trying to infer total trade volumes and trends from these data. For this reason, and due to the rapid nature of this review, we have simply recorded presence or absence for a species, and not attempted to calculate trade volumes. A detailed analysis of legal and illegal trade volumes of migratory species, heeding the advice of Challender et al. (2021) on the correct use of these trade databases, is a future research priority.
Information from these databases was used to determine, for each of the 105 species:
- Whether the species was recorded as illegally and legally traded globally, for wild meat and other purposes, using CITES, LEMIS and TRAFFIC data.
- Whether the species was recorded as being hunted, traded, or consumed as wild meat, using WILDMEAT data (but only for South America and sub-Saharan Africa, due to the current coverage of the WILDMEAT database).
### 3.4 Systematic online literature review
We conducted a systematic online literature review to search for publications containing information on reported hunting offtakes, types of use and hunting impacts for each of the 105 species.
We used Google Scholar as our main search platform. Before initiating our searches, we cleared all browsing history and cookies or used an incognito browser, to ensure that searches were equivalent between researchers. We created and used a list of pre-defined search terms (Appendix 1) to systematise our searches. We then searched the first 20 pages of results from Google Scholar to select the most relevant publications for each species, up to a total of 15 publications due to the time available for review and analysis of these publications. Publications were considered as relevant when they obtained data or information on the hunting, use or trade of the reviewed species. For species where few publications were available, studies were included irrespective of publication date. Where more than 15 references were available for a species, we selected those publications that were the most relevant and were the most recent. When Google Scholar returned too few relevant publications, we used the same search terms on Google (also using an incognito browser) and collected publications. We included peer-reviewed articles, peer-reviewed and published reports, and unpublished reports (i.e., ‘grey literature’). We did not include news articles. Where a publication referenced primary data from another source, we located the publication containing the primary data when available and selected this as one of our 15 publications, rather than the publication referencing it.
In total we conducted searches using Google Scholar for all 105 CMS-listed terrestrial mammal species. In addition, we searched the IUCN Red List species assessments for information related to hunting in the longer written assessment documents (rather than the coded Red List database, as reported above) for all 105 species. Of the 105 species, 99 species are found in the IUCN Red List. We then entered information into a MS Access database. For each species we recorded the search terms used and the number of results returned in Google Scholar. For each publication we recorded information on:
1. The publication itself: authors, year of publication, countries covered in the publication, type of publication.
2. The type of data presented in the publication (for example, hunter surveys, seizures, patrols, questionnaires etc.).
3. The type of use or motivation of killing (for instance for consumption, trade, medicine, culture, bycatch, human-wildlife conflict etc.).
4. The geographic location of the use (at the scale given).
5. The legality of the use (legal or illegal, and any details on enforcement given).
6. Details of any trade, and the scale of the trade (i.e., national, international, transboundary; transboundary includes local scale trade that crosses international boundaries).
7. Details of any large-scale drivers, where given (i.e., the development of roads, civil conflict, or extractive industry development).
8. The amounts of the species used, where specified.
9. The impacts of the use (i.e., species population declines, local extinctions, indirect impacts) and the relative importance of the impacts of hunting in comparison with other threats (e.g., land use change, climate change), where specified.
10. Any record of zoonotic disease risks from the species.
A summary of the collated data was created for each species. The final database and summaries are provided with this report.
### 3.5 Review of the links between wild meat hunting and zoonotic disease risk
We investigated the link between species used for wild meat and known zoonotic pathogens, with special attention to CMS terrestrial mammal species, in two ways:
3.5.1 A review of the linkages between wild meat hunting and zoonotic disease risk, with special regard for CMS terrestrial mammal species.
To further understand the linkages between hunting, consumption and trade of CMS species and the spread of zoonotic diseases, we then conducted an online literature review, to include all types of zoonotic pathogens (bacteria and parasites, as well as viruses). We looked for evidence of zoonotic spillover (spillover being the transmission and subsequent replication of a disease agent that generates an immune response but can be asymptomatic) due to human contact through wild meat hunting, consumption, and trade, including handling, butchering, processing, and preparation of carcasses, and eating of wild meat.
3.5.2 An analysis of zoonotic viruses hosted by CMS species.
In 2020, Johnson et al. collated all published information in the scientific literature through to December 2013 on zoonotic viruses and their known terrestrial mammal hosts, examining data for 142 zoonotic viruses. They found that among IUCN Red List mammal species (using the 2014 IUCN Red List), those with population reductions owing to exploitation (Threat categories A1 – A4(d)) and loss of habitat share more viruses with humans. Using the data from (Johnson et al., 2020), which was published as supplementary materials (supplementary data file S1), we identified the known zoonotic viruses hosted by each CMS terrestrial mammal species as of December 2013.
4 Results
4.1 IUCN Red List: Species uses and threats from hunting
4.1.1 Species used for consumptive purposes
Of the 105 species investigated in this report, 99 had a Red List assessment. Of these, 38 were recorded as being “used” under the IUCN Use and Trade Classification scheme, under the following use categories:
- Food – human (27 species)
- Food – animal (2 species)
- Medicine - human & veterinary (15 species)
- Wearing apparel, accessories (9 species)
- Handicrafts, jewellery, etc. (8 species)
- Pets/display animals, horticulture (5 species)
- Sport hunting/specimen collecting (17 species)
Figure 1 presents the type of recorded use for the 99 study species, by order, and Table 2 provides the recorded use by species. Species within the Artiodactyla and Perissodactyla (ungulate) orders are most used for wild meat consumption (human food). Carnivore species have a range of recorded uses, and Proboscidea (elephant) species are used more for ‘jewellery’ – i.e., ivory – and for sport hunting/specimens. Bat species are recorded as having few uses by humans.
Figure 2 presents the scale of use – whether the use was at a local (subsistence) level, whether it was traded nationally, or whether it was traded internationally (and this is provided in Table 3 by species). Overall, 34 of the 99 species were reported as used at the subsistence level, 27 were traded nationally, and 22 were traded internationally, when all types of use were considered (and many were used at all three of these levels). When only meat for consumption was considered, 27 species were reported as consumed for subsistence, 10 species for national wild meat trade and two species, the straw-coloured fruit bat (*Eidolon helvum*) and Dorcas gazelle (*Gazella dorcas*), for international wild meat trade. Use of species for wild meat, rather than for other uses such as medicine, pets, clothing, jewellery, and sport, is generally local, with some trade nationally and very little internationally. The main species recorded as being eaten are ungulates.
188.8.131.52 Species threatened by hunting
The IUCN Red List documents whether a species is directly threatened by hunting under the IUCN Threats Classification Scheme (IUCN Threat category 5.1). The Scheme defines a direct threat as the proximate human activities or processes that have impacted, are impacting, or may impact the status of the taxon being assessed. In this context, if a species is not classified as threatened by hunting, it may still be used for consumption or commercial purposes, but not at a scale that is considered a threat, or because there is insufficient information available to class the level.
Figure 2: The scale of the use of the 99 CMS terrestrial mammal species, by scientific order. Darker shaded bars show the scale of all uses, and lighter shaded bars show the scale of use where species are used for human consumption ('International', 'National' and 'Subsistence' categories are those used by the IUCN Red List). Bars represent the number of species.
Figure 3: The percentage of the 99 CMS terrestrial mammal species recorded by the IUCN Red List as being threatened by hunting (Threat 5.1 and associated sub-categories), by scientific order. Numbers in parentheses give the number of CMS terrestrial mammal species in each order.
Figure 4: The proportion of the 99 CMS terrestrial mammal species in each IUCN Red List Assessment Category that are listed as being threatened by hunting.
Figure 5: The number of the 99 CMS terrestrial mammal species listed as being threatened by hunting, by population trend (as recorded in their IUCN Red List assessment).
of use as a threat to the species. The scheme does not differentiate between whether the threat comes from legal or illegal hunting. Within the general threat category of ‘hunting’, assessors then classify the hunting threat into four sub-categories:
- 5.1.1 Intentional use (species being assessed is the target)
- 5.1.2 Unintentional effects (species being assessed is not the target)
- 5.1.3 Persecution/control
- 5.1.4 Motivation Unknown/Unrecorded
Of the 99 study species, 50 species are listed as being threatened by hunting (Table 2). Of these 50 species, 46 are threatened by intentional hunting, 16 by unintentional hunting, 22 by hunting for persecution/control and for one species the motivation was unknown.
Of the 50 species threatened by hunting, 41 were non-bat species. All but one (*Equus kiang*) of the 42 non-bat species are listed as threatened by hunting. Most bat species (*Chiroptera*) are not threatened by hunting (48 of 57 species). Key exceptions include the straw-coloured fruit bat (*Eidolon helvum*), which is classed under threat category ‘5.1.1 Intentional use’, and the Schreiber’s Bent-winged Bat (*Miniopterus schreibersii*), which is categorised under threat categories ‘5.1.3. Persecution/control’ (this is because of deliberate roost disturbance and not for consumption of any kind). Figure 3 illustrates the number of species threatened by different sub-categories of hunting, by scientific order.
Of the 22 CMS species that are Endangered, Critically Endangered, or Extinct in the Wild, 21 are threatened by hunting (Figure 4). Of the 52 CMS species that were assessed as having decreasing populations, 40 species were recorded as threatened by hunting (Figure 5). However, the correlations between hunting as a threat and Red List status/population status for CMS species should be interpreted with caution. As mentioned above, when bat species are removed from the analysis, all species apart from one are reported as threatened by hunting. The ‘not threatened’ columns in these graphs are therefore almost completely bat species. Most of these bat species have a European distribution, and therefore this also creates a geographical bias.
**Table 2: Information from the IUCN Red List Assessment for each CMS terrestrial mammal species**\(^3\).
- **Red List**: The current Red List assessment.
- **Pop. Trend**: Population trend (increasing, decreasing stable, unknown) as given by the Red List assessment
- **Hunt Threat**: Whether hunting is listed as a threat in the IUCN Red List assessment
- **Hunt Type**: Whether hunting is listed as Intentional (I), Persecution/Control (P) and/or Unintentional (U) in the Red List assessment
- **Use Type**: Which Use categories are listed in the Red List assessment, using the Red List numbering system. 1 = Food – human; 2 = Food – animal; 3 = Medicine, human & veterinary; 10 = Wearing apparel, accessories; 12 = Handicrafts, jewellery, etc; 13 = Pets/display animals, horticulture; 15 = Sport hunting/specimen collecting. If no specific listing has been entered in the Red List, we have filled it in from our knowledge of the region or from the other relevant fields in the IUCN Red List, and this is in italics.
- **Trade scale**: Whether trade for wild meat is at the Subsistence (S), National (N) and/or International (I) level.
| Scientific Name | Common Name | Red List | Pop. Trend | Hunt Threat | Hunt Type | Use Type | Trade Scale |
|--------------------------|------------------------------|------------------------|--------------|-------------|-----------|----------|-------------|
| *Acinonyx jubatus* | Cheetah | Vulnerable | Decreasing | 1 | I,P,U | 10;12;13;15 | |
| *Addax nasomaculatus* | Addax | Critically Endangered | Decreasing | 1 | I | 1;15 | S |
| *Ammotragus lervia* | Barbary sheep | Vulnerable | Decreasing | 1 | I | 1 | S |
| *Barbastella barbastellus* | Barbastelle bat | Near Threatened | Decreasing | | | | |
| *Barbastella leucomelas* | Asian barbastelle, eastern barbastelle | Least Concern | Unknown | | | | |
| *Bos grunniens* (now *Bos mutus*) | Wild yak, yak | Vulnerable | Decreasing | 1 | I,P | 1 | S,N |
| Scientific Name | Common Name | Red List | Pop. Trend | Hunt Threat | Hunt Type | Use Type | Trade Scale |
|-------------------------|------------------------------|---------------------------------|----------------|-------------|-----------|----------|-------------|
| Bos sauveli | Kouprey | Critically Endangered | Decreasing | 1 | I | 1;3;12;15| S,N |
| Camelus bactrianus | Wild camel, bactrian camel | Critically Endangered | Decreasing | 1 | I,P | 1;15 | S |
| Cervus elaphus barbarus4| Barbary deer | Least Concern (at species level)| | | | | |
| Cervus elaphus yarkandensis | Bukhara deer, Tarim Red Deer | Least Concern (at species level) | | | | | |
| Eidolon helvum | Straw-coloured fruit bat | Near Threatened | Decreasing | 1 | I | 1;3 | S,N,I |
| Elephas maximus indicus | Asian elephant (the taxon on the mainland) | Endangered | Decreasing | 1 | I,P,U | 1;10;12;13| L,N,I |
| Eptesicus bottae | Botta’s serotine | Least Concern | Stable | | | | |
| Eptesicus nilssonii | Northern serotine bat | Least Concern | Stable | | | | |
| Eptesicus serotinus | Serotine bat | Least Concern | Stable | | | | |
| Equus africanus | African wild ass | Critically Endangered | Decreasing | 1 | I | 1;2;3 | S |
| Equus ferus przewalskii | Przewalski’s horse | Endangered | Increasing | 1 | I | | |
| Equus grevyi | Grevy’s zebra | Endangered | Stable | 1 | I | 1;3 | S |
| Equus hemionus | Asiatic wild ass | Near Threatened | Stable | 1 | I,P | 1;3;10 | S,N |
| Equus kiang | Kiang | Least Concern | Stable | 1 | I | 1 | S |
| Eudorcas rufifrons | Red-fronted gazelle | Vulnerable | Decreasing | 1 | I | 1;10;13 | S,N |
| Gazella bennettii | Chinkara | Least Concern | Decreasing | 1 | I | 1;15 | S |
| Gazella cuvieri | Cuvier’s gazelle | Vulnerable | Decreasing | 1 | I | 1;15 | S |
| Gazella dorcas | Dorcas gazelle | Vulnerable | Decreasing | 1 | I | 1;15 | S,N,I |
| Gazella erlanger5 | Neumann’s gazelle | No listing | | | | | |
---
3 It should, however, be recognised that for some species, such as the African great apes (two gorilla species, and four subspecies, plus four subspecies of chimpanzee), recorded “uses” in their IUCN Red List page did not include those where the use would be illegal. Typically, the sentence “Gorillas are completely protected by national and international laws in all countries of their range, and it is, therefore, illegal to kill, capture or trade in live Gorillas or their body parts” appears in that section. For example, it is illegal in all range states to kill, capture or trade in live gorillas or their body parts. Instead, the fact that these species are hunted and eaten by humans appears in the narrative of the Red List Assessments (in the Justification and Threats sections) and in the “Biological Resource Use” field (“Hunting & trapping terrestrial animals”). The same reasoning has not been applied to other species, such as forest elephants, where the IUCN Use and Trade section details the use of forest elephants for ivory and bushmeat hunting, both of which are illegal. Noting these inconsistencies, for each species we also searched for further information on use, scale of use and threats from hunting within the wiser Red List Assessment text. Where we found reference to a particular use, we have added it to Table 4 in italics. To be conservative however, we have based our analyses only on the data provided within the IUCN Use and Trade Classification scheme.
4 There is an IUCN Red List assessment for *Cervus elaphus*, but not *Cervus elaphus barbarus* or *Cervus elaphus yarkandensis*. The assessment text for *Cervus elaphus* mentions that “In Algeria and Tunisia, the species has declined due to overhunting”
5 Possibly a captive/ domesticated form of *Gazella arabica* (Wronski et al., 2017)
| Scientific Name | Common Name | Red List | Pop. Trend | Hunt Threat | Hunt Type | Use Type | Trade Scale |
|-------------------------|------------------------------------|---------------------------|--------------|-------------|-----------|----------|-------------|
| Gazella leptoceros | Slender-horned gazelle, rhim | Endangered | Decreasing | 1 | I | 1;15 | S |
| Gazella subgutturosa | Goitered gazelle, black-tailed gazelle | Vulnerable | Decreasing | 1 | I | 1;15 | S,N |
| Giraffa camelopardalis | Giraffe | Vulnerable | Decreasing | 1 | I | 1;15 | S |
| Gorilla beringei beringei | Mountain gorilla | Critically Endangered | Decreasing | 1 | I,P,U | 1 | |
| Gorilla beringei graueri | Eastern lowland gorilla | Critically Endangered | Decreasing | 1 | I,P,U | 1 | S |
| Gorilla gorilla diehli | Cross river gorilla | Critically Endangered | Decreasing | 1 | I,P,U | 1 | S |
| Gorilla gorilla gorilla | Western lowland gorilla | Critically Endangered | Decreasing | 1 | I,P,U | 1 | S,N |
| Hippocamelus bisulcus | Huemul, south andean deer | Endangered | Decreasing | 1 | I | 1;2;15 | S |
| Hypsugo savii | Savi's pipistrelle | Least Concern | Stable | | | | |
| Kobus kob leucotis | White-eared kob | Least Concern | Decreasing | 1 | I | I | S, N |
| Lasiurus blossevillii | Southern red bat, western red bat, desert red bat | Least Concern | Unknown | | | | |
| Lasiurus borealis | Eastern red bat | Least Concern | Stable | | | | |
| Lasiurus cinereus | Hoary bat | Least Concern | Unknown | | | | |
| Lasiurus ega | Southern yellow bat | Least Concern | Unknown | | | | |
| Loxodonta africana | African elephant | Endangered | Decreasing | 1 | I,P,U | 1; 12;13;15 | S |
| Loxodonta cyclotis | Forest elephant | Endangered | Decreasing | 1 | I,P,U | 1; 12;13;15 | S |
| Lycaon pictus | African wild dog | Endangered | Decreasing | 1 | I,P,U | | |
| Miniopterus majori | Major's long-fingered bat | Least Concern | Unknown | 1 | I | | |
| Miniopterus schreibersii | Schreibers' bent-winged bat | Vulnerable | Decreasing | 1 | P | | |
| Myotis alcathoe | Alcathoe myotis | Data Deficient | Unknown | | | | |
| Myotis aurascens | Steppe whiskered bat | Least Concern | Stable | | | | |
6 IUCN Red List Assessment only available at species, and not sub-species level
7 IUCN Red List Assessment: "The major threats to this species are not known. It could be susceptible to cave disturbance in some sites and it could perhaps be hunted in some areas."
| Scientific Name | Common Name | Red List | Pop. Trend | Hunt Threat | Hunt Type | Use Type | Trade Scale |
|-------------------------|------------------------------|------------------------|--------------|-------------|-----------|----------|-------------|
| Myotis bechsteinii | Bechstein's bat | Near Threatened | Decreasing | | | | |
| Myotis blythii | Lesser mouse-eared bat | Least Concern | Decreasing | 1 | P | | |
| Myotis brandtii | Brandt's bat | Least Concern | Stable | | | | |
| Myotis capaccinii | Long-fingered bat | Vulnerable | Decreasing | 1 | I | | |
| Myotis dasycneme | Pond bat | Near Threatened | Decreasing | 1 | U | | |
| Myotis daubentonii | Daubenton's bat | Least Concern | Stable | | | | |
| Myotis emarginatus | Geoffroy's bat, notch-eared bat | Least Concern | Stable | 1 | I,P | 3 | |
| Myotis hajastanicus | Armenian whiskered bat | Critically Endangered | Unknown | | | | |
| Myotis myotis | Greater mouse-eared bat | Least Concern | Stable | | | | |
| Myotis mystacinus | Whiskered bat | Least Concern | Unknown | I | 3 | S | |
| Myotis nattereri | Natterer's bat | Least Concern | Stable | I | 3 | S | |
| Myotis nipalensis | Nepal myotis | Least Concern | Unknown | | | | |
| Myotis punicus | Felton's myotis | Data Deficient | Unknown | I | 3\(^8\) | S | |
| Myotis schaubi | Schaub's myotis | Data Deficient | Unknown | | | | |
| Nanger dama | Dama gazelle | Critically Endangered | Decreasing | 1 | I | 1;12;15 | S |
| Nyctalus lasiopterus | Greater noctule bat | Vulnerable | Decreasing | | | | |
| Nyctalus leisleri | Leisler's bat | Least Concern | Unknown | | | | |
| Nyctalus noctula | Noctule bat | Least Concern | Unknown | | | | |
| Oryx dammah | Scimitar-horned oryx | Extinct in the Wild | | 1 | I | 1;10;12\(^9\) | S |
| Otomops madagascariensis| Madagascar free-tailed bat | Least Concern | Unknown | | | | |
| Otomops martiensseni | Large-eared free-tailed bat | Near Threatened | Decreasing | | | | |
| Otonycteris hemprichii | Desert long-eared bat | Least Concern | Unknown | | | | |
| Ovis ammon | Argali sheep | Near Threatened | Decreasing | 1 | I | 1;3;15 | S |
\(^8\) Red List Assessment Threat text: "Species are collected for medicine".
\(^9\) Red List Assessment Threat text: "Overhunting and habitat loss, including competition with domestic livestock, have been reported as the main reasons for the extinction of the wild population of Scimitar-horned Oryx. Prior to their extinction in the wild Scimitar-horned Oryx were prized by local people for their meat and hide (Morrow et al. 2013). Their thick hide was used for ropes, bags, shoes and shield coverings and they were targeted by trophy hunters for their horns (Morrow et al. 2013)."
| Scientific Name | Common Name | Red List | Pop. Trend | Hunt Threat | Hunt Type | Use Type | Trade Scale |
|-------------------------|------------------------------|------------------|--------------|-------------|-----------|-----------|-------------|
| Ovis vignei | Urial | Vulnerable | Decreasing | 1 | I | 15 | |
| Pan troglodytes | Chimpanzee | Endangered | Decreasing | 1 | I,P,U | 1;13 | S,N |
| Panthera leo | Lion | Vulnerable | Decreasing | 1 | I,P,U | 3;10;12;15| |
| Panthera onca | Jaguar | Near Threatened | Decreasing | 1 | I,P,U | 3;10;12 | |
| Panthera pardus | Leopard, panther | Vulnerable | Decreasing | 1 | I,P,U | 3;10;15 | |
| Pantholops hodgsonii | Chiru | Near Threatened | Increasing | 1 | I | 1;3;10 | S |
| Pipistrellus kuhlii | Kuhl's pipistrelle bat | Least Concern | Unknown | | | | |
| Pipistrellus nathusii | Nathusius's pipistrelle bat | Least Concern | Unknown | | | | |
| Pipistrellus pipistrellus | Common pipistrelle | Least Concern | Stable | | | | |
| Pipistrellus pygmaeus | Soprano pipistrelle | Least Concern | Unknown | | | | |
| Plecotus auritus | Brown long-eared bat | Least Concern | Stable | | | | |
| Plecotus austriacus | Grey long-eared bat | Near Threatened | Decreasing | | | | |
| Plecotus kolombatovici | Kolombatovic's long-eared bat | Least Concern | Decreasing | | | | |
| Plecotus macrobullaris | Alpine long-eared bat | Least Concern | Decreasing | | | | |
| Plecotus sardus | Sardinian long-eared bat | Vulnerable | Decreasing | | | | |
| Procapra gutturosa | Mongolian gazelle | Least Concern | Stable | 1 | I | 1;3;10;12 | 5,N |
| Procapra picticaudata | Tibetan gazelle | Near Threatened | Decreasing | 1 | I | 1;10;12 | 5,N |
| Rhinolophus blasii | Blasius' horseshoe bat | Least Concern | Decreasing | | | | |
| Rhinolophus euryale | Mediterranean horseshoe bat | Near Threatened | Decreasing | 1 | U | | |
| Rhinolophus ferrumequinum | Greater horseshoe bat | Least Concern | Decreasing | | | | |
| Rhinolophus hipposideros | Lesser horseshoe bat | Least Concern | Decreasing | | | | |
| Rhinolophus mehelyi | Mehely's horseshoe bat | Vulnerable | Decreasing | | | | |
| Rousettus aegyptiacus | Egyptian fruit bat | Least concern | Stable | 1 | I,P | 1 | S |
| Saiga tatarica, Saiga borealis | Saiga antelope | Critically Endangered | Decreasing | 1 | I | 1;3 | 5,N |
### 4.2 Global database records of wild meat hunting and trade
Of the 105 CMS terrestrial mammal species, 54 are recorded as hunted or traded legally or illegally in one or more of the LEMIS, TRAFFIC, WILDMEAT and CITES databases. Figure 6 provides a summary by scientific order, and Table 3 provides information on the presence/absence of each species in the four databases. Notably, bat species are mainly absent from trade, with only 12 of 57 species recorded as hunted in trade/hunting databases.
As discussed previously, trade database records must be interpreted carefully, and the presence of each species in these databases for each species will depend on levels and quality of national reporting, enforcement activity, detectability of legal and illegal hunting events, and the scale of the trade in the species. Species that are solely traded locally or nationally will not be recorded in international trade databases, and the WILDMEAT database, which reports on local/national-level hunting, has restricted geographical coverage.
### 4.3 Literature review: hunting offtakes, trends and impacts
#### 4.3.1 Availability of information
Our literature review resulted in 636 relevant publications, of which 51% were peer-reviewed articles and 49% were reports and other grey literature. All publications have been added to a Mendeley library, which can be accessed here: https://www.mendeley.com/community/cms-hunting-impacts/. Appendix 2 details the searches carried out per species and the data on hunting found in each publication (with a link to the relevant Mendeley library page). This includes information (where available) on species use/hunting purpose, hunted amounts, trade purposes and scales (i.e., whether trade is local, national, international), trade prices, large-scale drivers of hunting, hunting impacts, hunting legality and enforcement and associated zoonotic diseases. A summary of the information found per species is provided in Appendix 3, which is attached to this report. While the following section summarises the main findings from our literature review, we would invite anyone wishing for further detailed information on each CMS species to consult these appendices.
Figure 6: The number of CMS terrestrial mammal species recorded in at least one of the four trade/hunting databases, by scientific order.
Table 3: The presence/absence of each CMS terrestrial mammal species recorded as having been hunted/traded in the four databases.
| Scientific Name | Overall | LEMIS$^{10}$ | TRAFFIC | WILDMEAT$^{11}$ | CITES |
|--------------------------|---------|--------------|---------|-----------------|-------|
| Acinonyx jubatus | y | y | y | y | Y |
| Addax nasomaculatus | y | y | | | Y |
| Ammotragus lervia | y | y | | | Y |
| Barbastella barbastellus | | | | | |
| Barbastella leucomelas | | | | | |
| Bos grunniens | y | y | | | |
| Bos sauveli | y | | | | Y |
| Camelus bactrianus | y | y | | | |
| Cervus elaphus barbarus | y | y | | y | Y |
| Cervus elaphus yarkandensis | y | y | | | |
| Eidolon helvum | y | y | | y | |
| Elephas maximus indicus | y | | | | Y |
| Eptesicus bottae | | | | | |
$^{10}$ USA only
$^{11}$ Selected countries in Africa and South America only; see methods section for full list of countries
| Scientific Name | Overall | LEMIS¹⁰ | TRAFFIC | WILDMEAT¹¹ | CITES |
|---------------------------------|---------|---------|---------|------------|-------|
| Eptesicus nilssonii | | | | | |
| Eptesicus serotinus | | | | | |
| Equus africanus | y | y | | | Y |
| Equus ferus przewalskii | y | y | | | Y |
| Equus grevyi | y | y | | | Y |
| Equus hemionus | y | | | | Y |
| Equus kiang | y | y | | | Y |
| Eudorcas rufifrons | | | | | |
| Gazella bennettii | y | y | | | Y |
| Gazella cuvieri | y | | | | Y |
| Gazella dorcas | y | y | | y | Y |
| Gazella erlangeri | | | | | |
| Gazella leptoceros | y | | | | Y |
| Gazella subgutturosa | y | y | | | |
| Giraffa camelopardalis | y | y | y | y | Y |
| Gorilla beringei beringei | y | y | y | | Y |
| Gorilla beringei graueri | y | y | y | | Y |
| Gorilla gorilla diehli | y | y | | | Y |
| Gorilla gorilla gorilla | y | y | | y | Y |
| Hippocamelus bisulcus | y | y | | | Y |
| Hyypsugo savii | | | | | |
| Kobus kob leucotis | | | | | |
| Lasiurus blossevillii | | | | | |
| Lasiurus borealis | | | | | |
| Lasiurus cinereus | y | y | | | |
| Lasiurus ega | y | y | | | |
| Loxodonta africana | y | y | y | y | Y |
| Loxodonta cyclotis | y | | | y | Y |
| Lycaon pictus | y | y | y | | |
| Miniopterus majori | | | | | |
| Scientific Name | Overall | LEMIS¹⁰ | TRAFFIC | WILDMEAT¹¹ | CITES |
|---------------------------------|---------|---------|---------|------------|-------|
| Miniopterus natalensis | y | y | | | |
| Miniopterus schreibersii | | | | | |
| Myotis alcathoe | | | | | |
| Myotis aurascens | | | | | |
| Myotis bechsteinii | | | | | |
| Myotis blythii | | | | | |
| Myotis brandtii | | | | | |
| Myotis capaccinii | | | | | |
| Myotis dasycneme | | | | | |
| Myotis daubentonii | | | | | |
| Myotis emarginatus | | | | | |
| Myotis hajastanicus | | | | | |
| Myotis myotis | | | | | |
| Myotis mystacinus | y | y | | | |
| Myotis nattereri | | | | | |
| Myotis nipalensis | | | | | |
| Myotis punicus | | | | | |
| Myotis schaubi | | | | | |
| Nanger dama | y | | | y | Y |
| Nyctalus lasiopterus | | | | | |
| Nyctalus leisleri | | | | | |
| Nyctalus noctula | | | | | |
| Oryx dammah | y | y | y | | Y |
| Otomops madagascariensis | | | | | |
| Otomops martiensseni | | | | | |
| Otonycteris hemprichii | | | | | |
| Ovis ammon | y | y | y | | Y |
| Ovis vignei | y | y | | | |
| Pan troglodytes | y | y | y | y | Y |
| Panthera leo | y | y | y | y | Y |
| Panthera onca | y | y | y | | Y |
| Scientific Name | Overall | LEMIS¹⁰ | TRAFFIC | WILDMEAT¹¹ | CITES |
|-------------------------|---------|---------|---------|------------|-------|
| Panthera pardus | y | y | y | y | Y |
| Pantholops hodgsonii | y | y | y | | Y |
| Pipistrellus kuhlii | y | y | | | |
| Pipistrellus nathusii | | | | | |
| Pipistrellus pipistrellus | y | y | | | |
| Pipistrellus pygmaeus | | | | | |
| Plecotus auritus | | | | | |
| Plecotus austriacus | | | | | |
| Plecotus kolombatovici | | | | | |
| Plecotus macrobullaris | | | | | |
| Plecotus sardus | | | | | |
| Procapra gutturosa | | | | | |
| Procapra picticaudata | y | y | y | | |
| Rhinolophus blasii | | | | | |
| Rhinolophus euryale | | | | | |
| Rhinolophus ferrumequinum | y | y | | | |
| Rhinolophus hipposideros | y | y | | | |
| Rhinolophus mehelyi | | | | | |
| Roussettus aegyptiacus | y | y | | y | |
| Saiga borealis | y | | | | Y |
| Saiga tatarica | y | y | y | | Y |
| Tadarida brasiliensis | y | y | | | |
| Tadarida insignis | | | | | |
| Tadarida latouchei | | | | | |
| Tadarida teniotis | | | | | |
| Taphozous nudiventris | | | | | |
| Uncia uncia | y | y | y | | |
| Ursus arctos isabellinus | y | y | y | | Y |
| Ursus maritimus | y | y | | | Y |
| Vespertilio murinus | y | y | | | |
| Vicugna vicugna | y | y | | | Y |
4.3.2 Types of use
Of the 105 species studied, 67 species were recorded as hunted in the publications found from our literature review (which included a review of Red List assessments for each species). Of these, 47 (70%) were hunted for wild meat consumption, 29 for cultural reasons, 33 for medicinal use, 26 due to human-wildlife conflict, 13 as bycatch and 37 for sport/trophy hunting/fashion. Of the 67 hunted species, 40 species (60%) were recorded as traded. Figure 7 illustrates the different types of use by scientific order, and a summary of use per species is provided in Appendix 3.
Artiodactyla are the group that are the most frequently used for consumption ('wild meat' - 96% of all species), whereas other groups are used for a wider range of uses. CMS listed bat species were not as frequently recorded as being hunted, with references to hunting found for only 20 of the 57 bat species (35% of species). Aside from Chiroptera, only one other CMS species was not recorded as hunted. This was Neumann's Gazelle *Gazella erlangeri*, which is not listed in the IUCN Red List. It has been suggested that this animal - sometimes kept as a pet in the Middle East - is not a true species at all but is in fact a captive form of Arabian Gazelle *Gazella arabica* (Wronski et al., 2017).
The only ungulate species not listed as threatened by hunting in the IUCN Red List (where it is listed as 'Least Concern') is the kiang (*Equus kiang*). However, the narrative of the Red List Assessment "Threats" section for this species clearly mentions hunting as a past and present threat, and there is further evidence of hunting for consumption and medicinal use from multiple sources from our literature review. The Red List Assessment states that "the status and trends of Kiang populations are poorly known" although the overall trend is assessed as "stable".
4.3.3 Levels of hunting offtake
From the literature review, we found publications that provided data on hunting offtakes, levels of hunting, or hunting trends, for 45 of the 105 species (21 Artiodactyla, 8 Carnivora, 4 Chiroptera, 4 Perissodactyla, 5 Primates and 3 Proboscidea (elephant species); see Appendix 3). In general, while some estimates of offtake levels (legal and illegal) are available for species, many come from single-site case studies, with varying methods and sampling effort, which cannot easily be extrapolated.
Table 4 provides the information on amounts hunted for dorcass gazelle (*Gazella dorcas*), by way of illustration. Hunting data comes from market surveys in Morocco; Bergin & Nijman (2015) surveyed the markets of 22 Moroccan cities from May – June 2013, May 2014 and December 2014, and 137 specimens (representing approximately 98 individuals) of dorcass gazelle were recorded. However, this cannot be extrapolated into numbers of dorcass gazelle hunted across Morocco, as we do not know the sampling effort and detection rates for these markets, the total number of markets in Morocco, or the proportion of hunted gazelle that end up in a market. Nevertheless, the authors point out that the given population size for this species in Morocco was
Table 4: An example of hunting offtake and trade data gaps: the amount of dorcas gazelle (Gazella dorcas) hunted and traded, from our literature review.
| Amount | Location and Year | Reference |
|----------------------------------------------------------------------|--------------------------------------------------------|----------------------------|
| 5 whole animals, 15 skins, 48 heads/horns | Markets in 17 towns/cities in Morocco, Year? | (Bergin & Nijman, 2014b) |
| 137 specimens; authors believe this amounts to 98 individual dorcas gazelles | Markets in 11 different cities in Morocco 2013–2014 | (Bergin & Nijman, 2014a) |
| Approximately 100 killed in 2012 and 125 killed in 2015. Data gathered through questionnaires to 40 international experts and from interviews made in September 2015 to c. 200 Libyan residents | Libya 2012–2015 | (Brito et al., 2018) |
| 372 gazelles recorded hunted between 1964 and 2016 (almost half of which were before 1990), from 13 completed questionnaire surveys from experts in Libya | Various locations in Libya, detailed listed in Table 4.17 in thesis. 1964–2016 | (Algadafi, 2019) |
approximately 200-800 individuals, and therefore the 98 specimens observed at markets could represent 8-30% of the entire population in Morocco, highlighting that sometimes exact oftakes are not needed to determine a significant hunting impact. Nationwide estimates are available for Libya (Algadafi et al., 2017; Brito et al., 2018) but are based on limited questionnaire surveys rather than observations. Dorcas gazelle ranges across most of the Sahel and hunting data and dorcas gazelle population data are unavailable for most of its range. While the investigations documented here represent substantial and high-quality research efforts on the behalf of the investigators, they do not provide adequate data to estimate hunting pressure on dorcas gazelle across its range.
The low number of hunting offtake studies is a greater issue for species whose ranges cover many countries, as research effort can vary widely by country, as can hunting pressure. Research effort tends also to be focussed on areas surrounding protected areas (PAs), with the aim of understanding threats to these PAs. This leads to very patchy data on hunting oftakes in non-protected landscapes.
A lack of systematic sampling makes extrapolation to a national level, or across a species’ range, challenging, and therefore these numbers on their own are of little use in estimating overall offtake levels. This is comparable to some of the limitations of trade database records (Challender et al. 2021). Elephants are a well-known exception to this problem, as a systematic method for documenting the illegal killing of elephants across Africa and Asia has been in use since 1996, as described in Box 1. However, detailed data are not made publicly available at the request of elephant range States/CITES Parties, and it is therefore not possible to determine the number of individuals killed for ivory or for meat or used for both purposes, even when the total number of individuals killed is known. Similarly, a Snow Leopard Crime Database exists (https://globalsnowleopard.org/capacity-center/illegal-wildlife-data/), containing records of seizures (legal actions taken by government authorities) and observations (reports of snow leopard [Uncia uncia] killing, capture or trade, including market surveys) dating back to 1989 (Nowell et al., 2016a). Between 221 – 450 snow leopards are estimated to have been poached across their range between 2008 – 2016, using data from the database. Of these, 55% were killed in retaliation for livestock depredation, 21% killed for trade and 18% taken by non-targeted methods such as snares. However, with the average rate of illegal hunting detection estimated at less than 38%, numbers are probably much higher (Nowell et al., 2016). A recent review of illegal hunting and trafficking in cheetahs (Tricorache et al., 2018) also provides estimates of the global illegal trade in cheetahs from 2005 – 2015, estimating that a minimum of 1108 cheetah were trafficked in those 10 years, of which over 80% were recorded in East Africa, for use as pets or for their pelts.
Illegal hunting oftakes may also be more quantifiable in circumstances where the hunting of an individual animal is unlikely to stay unnoticed – for large-bodied species, where the number of individuals in a specific area are low, or in open habitats where censuses are relatively straightforward, and where conservation and law enforcement efforts (and therefore detectability) are high. Examples of this include mountain gorillas (Gorilla beringei beringei), where the number of gorillas hunted per year is well-known, due to the small area in which the species is found (Virunga Transboundary Protected Area in Uganda, DRC and Rwanda and Bwindi Impenetrable National Park in Uganda), and there is high conservation and enforcement effort in the two protected areas. (Arcus Foundation, 2021) document the killing of 26 habituated gorillas from 1967 – 2008 (3 snared unintentionally, 15 shot by militia and 8 for the pet trade, wild meat trade
Box 1: Systematic monitoring of elephant killing through the MIKE programme (reproduced, with permission, from the CITES secretariat)
The CITES programme for Monitoring the Illegal Killing of Elephants, commonly known as MIKE, was established by the Conference of the Parties (CoP) to CITES at its 10th Meeting (Harare, 1997), and is conducted in accordance with the provisions in Resolution Conf. 10.10 (Rev. CoP18) on Trade in elephant specimens. The MIKE Programme is managed by the CITES Secretariat under the supervision of the CITES Standing Committee. Since implementation began in 2001, the operation of the MIKE Programme in Africa has been possible thanks to the support from range States implementing the MIKE programme and submitting data on an annual basis as well as the generous financial support of the European Union (EU) and other donors.
MIKE aims to inform and improve decision-making on elephants by measuring trends in levels of illegal killing of elephants, identifying factors associated with those trends, and building capacity for elephant management in range States. MIKE operates in a large sample of sites spread across African and Asian elephant range in 32 countries in Africa and 13 countries in Asia. The total number of MIKE sites in Africa is 69, representing more than 50% of the African elephant population on the continent. There are 29 sites in Asia.
MIKE data is collected by law enforcement and ranger patrols in the field, and through other means in designated MIKE sites. When an elephant carcass is found, site personnel try to establish the cause of death and other details, such as sex and age of the animal, status of ivory and stage of decomposition of the carcass. This minimum set of standardized information relating to each carcass detected at MIKE sites is then submitted to the MIKE Programme.
The CITES MIKE Programme, in collaboration with UNEP’s Science Division and with funding provided by the EU, developed a web-based (online) database management and reporting system. The new MIKE Online Database contains more than 23,000 records submitted by participating range States. This provides the most substantial information base available for making a statistical analysis of the levels of illegal killing of elephants in the world.
The CITES MIKE programme evaluates relative illegal hunting levels based on the Proportion of Illegally Killed Elephants (PIKE), which is calculated as the number of illegally killed elephants found, divided by the total number of elephant carcasses encountered by patrols or other means, aggregated by year for each site.
PIKE is an index of illegal hunting pressure and provides trends relating to the levels of illegal hunting, but it may be affected by several potential biases related to data quality, the fact that MIKE sites are not randomly selected, the reporting rate, the carcass detection probabilities, and the variation in natural mortality rates across MIKE sites, including increases in natural mortality caused by drought and other factors. PIKE however remains a reliable indicator to monitor and study changes in illegal hunting pressure over time. To determine the trends in PIKE at a continental and subregional scale, the MIKE Programme uses a generalized linear mixed model (GLMM): PIKE generally increased from 2003 to 2010, peaked in 2011, and decreased from 2011 to 2019. The trendline for the unweighted Bayesian GLMM PIKE estimates shows that there is sufficient evidence to confirm an upward trend (increase in PIKE) from 2003 to 2011, and a downward trend (decrease in PIKE) from 2011 to 2019. Over the last five years (2015 to 2019), the unweighted continental PIKE estimate shows a downward trend with a level of certainty over 95%.
and crop raiding) in Virunga and a further six live young gorillas confiscated from poachers from 2004 – 2017. In Bwindi four young gorillas were killed intentionally by poachers in the 1990’s for the purposes of obtaining a live infant, a blackback male was speared by a poacher hunting for other wildlife in 2011 and a female (and her unweaned baby) was killed unintentionally while crop raiding in 2012. Further killings are possible but large additional numbers are unlikely as word of major killings spread quickly. While these are relatively low numbers of mountain gorillas killed, the killings of the habituated gorillas represented 12% of all mortality of Virunga gorillas at the time, and probably reduced the growth rate of the habituated groups by about 1% annually. The seven gorillas killed in Bwindi represented 1.5 – 2% of the total gorilla population of the park. Similarly, offtakes for the Cross River gorilla, of which most of the remaining individuals are found in a few key Protected Areas in Nigeria and Cameroon, are thought to be in the range of 1 – 3 per year (Bergl et al., 2016). However, this could represent 0.4 -3% of the total global population.
For western lowland gorillas (*Gorilla gorilla gorilla*) and chimpanzees (*Pan troglodytes*), where global populations and ranges are much greater, estimates of hunting offtakes are much less precise. Stiles et al. (2013) estimate that
from 2005 -2011 more than 2000 chimpanzees and 420 gorillas (all subspecies) were hunted each year. Market surveys covering 89 urban and rural markets in a 35,000-km$^2$ area between the Cross River in Nigeria and the Sanaga River in Cameroon (Fa et al., 2006) found that more than 2,000 chimpanzees and more than 600 gorillas (all subspecies) are traded annually.
While there is a general lack of available information on bat hunting, an exception is the straw-coloured bat (*Eidolon helvum*), thought to be Africa’s most hunted bat (Box 3). While available site-level estimates of offtakes suggest a large offtake of *Eidolon helvum* is probable across Africa, these case-study estimates do not yet allow for an overall global, regional or even national offtake to be calculated, or the impact of this offtake to be assessed. This is the situation for most wild meat species globally (Coad et al., 2019) and is not limited to migratory species.
**Box 2: African Elephants: two species, principal threats, and trends**
In 2021, African elephants were recognised as two separate species by the IUCN: African savanna elephants (*Loxodonta africana*) and African forest elephants (*Loxodonta cyclotis*) (Hart et al., 2021). Prior to this, IUCN considered African elephants as a single species, with two subspecies (*L. a. africana* and *L. a. cyclotis*). Both species are in threatened categories on the IUCN Red List: African savanna elephants are listed as Endangered and African forest elephants as Critically Endangered (Gobush et al., 2021a; Gobush et al., 2021b). The principal threat for both species is illegal hunting for ivory, although there are other significant threats, dependent on location: human-elephant conflict, habitat loss and fragmentation, and climate change (Gobush et al., 2021a,b). Elephant ivory has long been a desirable luxury item across the Far East and in the Chinese diaspora (Gao & Clark, 2014).
It is used in trinkets, jewellery, furniture, as a show of wealth/status, and in religious totems among other uses. After about 2010, the principal destination of ivory was China, where the extraordinary economic boom allowed people to purchase ivory for the first time (Vigne, 2021). Once an elephant is killed, poachers typically take the tusks, and occasionally other body parts that have a high ratio of profit to weight – the tail (or tail hairs) and parts of the skin that can be sold or used as bribes to avoid law enforcement attention; occasionally the meat is also taken as well, especially in Central Africa (Gobush et al., 2021b; Stiles, 2011). Elephant meat, in contrast to ivory, is logistically complex to transport, rots unless smoked, and normally attracts the same price per kilo as other types of bushmeat, so is not very attractive to ivory poachers (Stiles, 2011).
**Box 3: Bat hunting: a lack of data or a lack of threat?**
Of the 57 bat species listed on the Convention on Migratory Species, there is little evidence of hunting or bushmeat consumption. However, it is unclear whether this absence of evidence is due to a lack of research or a lack of use. The IUCN Red List lists hunting, trade and consumption as threats to some CMS bat species and a global review by (Mickleburgh et al., 2009) found that bat species are hunted and consumed for their meat, particularly throughout Asia and Africa. In addition, bats can be killed by children as a pastime or to build hunting skills, as bycatch, or as a nuisance pest (Coad, pers. obs.; Fattah et al., 2019). However, whilst there is a high volume of literature on wild meat hunting, consumption of bats is rarely discussed or documented (Mickleburgh et al., 2009; (CIFOR et al., 2021). The absence may be because hunting studies often record hunted bats generically as ‘bats’, or record hunting offtakes at the order or genus level due to difficulties in bat identification. Bat species may therefore not show up in the results of traditional wild meat hunting offtake studies. The little or limited evidence of whether or which bats are hunted or consumed as wild meat therefore presents a big data gap.
In Europe, there is no evidence of bat species being hunted for consumption, however there are incidences of bats being deliberately killed as nuisance pests or accidentally killed during construction activities, by chemical wood treatments, as roadkill, or by wind turbines. For example, (Stebbins, 1995) recorded four instances of illegal killings of the greater horseshoe bat (*Rhinolophus ferrumequinum*) using pesticides in the UK. Similarly, hunting for persecution/control is a threat to the common bent-wing bat (*Miniopterus schreibersii*) (Stebbins, 1995) and the lesser Mouse-eared bat (*Myotis blythii*) (Juste & Paunović, 2016a) according to the IUCN Red List, but no information is given on the drivers and frequency. Some European
species are hunted in the North African part of their range and used for medicinal purposes, including *Myotis capaccinii* (Paunović, 2016), *Myotis emarginatus* (Piraccini, 2016b) and *Myotis punicus* (Juste & Paunović, 2016c). However, there is no information on amounts, prices and trade levels. In Asia, there is some evidence that *Tadarida insignis* and *Tadarida latouchei* are hunted (UNEP-WCMC, 2011). *T. latouchei* is hunted locally for wild meat consumption in Lao PDR and Viet Nam, however this is classified as a low impact threat (Thong & Loi, 2020).
One exception to the lack of available information is the straw-coloured bat (*Eidolon helvum*), thought to be Africa’s most hunted bat. This species is hunted and consumed as bushmeat in West and Central Africa, likely due to its large body size (Mickleburgh et al., 2009b). Estimates of hunting offtakes (predominantly for consumption) were available from 7 different publications. It has recently been estimated (Nnamuka et al., 2020) that 128,000 individuals are sold in Accra and Kumasi, Ghana, every year. In the Plateau of Abijan, Cote d’Ivoire, 306,000 bats were killed between August 2005 and July 2006 (Nlamién et al., 2015a). (Fa et al., 2006) estimated a regional offtake per year of 434 individuals for urban consumption and 1380 carcasses extracted for rural consumption in Nigeria, and 214 extracted for rural consumption respectively in Cameroon, across the Cross-Sanaga rivers region.
While offtake rates for *Eidolon helvum* in West and Central Africa seem high, it is not easy to know the impact on the global population, as neither national nor range-wide population estimates of *Eidolon helvum* currently exist. However, the size of individual roosts can sometimes reach millions of bats, and the species has been recorded across most of sub-Saharan Africa (Peel et al., 2017). While (Mickleburgh et al., 2009b) suggest that consumption levels only constitute a serious threat in Tanzania, in Uganda a well-known colony in Kampala declined over a forty-year period from ca 250,000 animals to 40,000 in 2007, with hunting thought to be a major factor in these declines (Monadjem et al., 2007). This suggests there may be regional variations in hunting pressure and preferences for *Eidolon helvum*. The IUCN Red List for Eidolon helvum classifies hunting and trapping as a low impact threat (Cooper-Bohannon et al., 2020).
The IUCN similarly classifies hunting as a low-level threat for *Myotis blythii* (Juste & Paunović, 2016b), *Myotis capaccinii* (Paunović 2016) and *Myotis dasycneme* (Piraccini, 2016a). For other CMS bat species, little information is available on the impact hunting has on populations. The knowledge gap regarding hunting and consumption of bats means it is unclear whether these threats are having little or no impact on CMS bat species or whether the data is incomplete.
### 4.3.4 Trends in hunting offtakes
While many of the publications in our literature highlight that the threat of hunting is a key driver of species declines, few were able to provide good estimates of hunting offtakes, either at a national level or a range-wide level. Therefore, documentation of trends in hunting activity are also scarce. Where information was available, it tended to highlight large-scale historical trends, rather than current trends. Examples include:
- Uncontrolled hunting of dorcas Gazelle (*Gazella dorcas*), dama Gazelle (*Nanger dama*) and slender-horned gazelle (*G. leptoceros*) in the 19th century to the late 20th century has led to drastic population declines. These declines were accelerated in the late 20th century due to the use of automatic weapons and motorised desert vehicles (Mallon & Kingswood, 2001). Dorcas gazelle hunting may be increasing in Libya, potentially because of the recent civil conflict (Table 4).
- For both species of African elephant (*Loxodonta africana* and *L. cyclotis*), illegal hunting is considered the principal threat. Although some savanna elephant populations (e.g., in Kenya, Tanzania, Zambia, Uganda) experienced a couple of decades of recovery from earlier illegal hunting waves, more recent data recorded by the MIKE project (since 2002) showed that illegal hunting significantly intensified across the continent, starting in 2008, peaking in 2011. The metric of illegal hunting pressure used, PIKE (see Box 1), although slowly declining, remains above 0.5, (the threshold above which elephant populations are very likely to be in net decline) in Central and West Africa (CITES, 2019b). A few populations of both species are stable, and more so in southern Africa, but unsustainably high levels of illegal hunting across much of the continent continues (Gobush et al., 2021a,b).
- Chiru (*Pantholops hodgsonii*) hunting escalated to a commercial scale in the late 1980s and 1990s when, according to the Chinese government, about 20,000 chirus were hunted annually, primarily for their shahtoosh (hair) (Du et al., 2016). However, the status of the chiru seems to be improving, with the IUCN Red List reporting an increase in populations to between 100 - 150,000 individuals, and that this in part reflects
significant effort by range and consumer States to address illegal killing and sales of chiru (IUCN SSC Antelope Specialist Group, 2016b).
- Vicuña (*Vicugna vicugna*) began a sharp decline due to over-exploitation of their meat, skin and fibre, and populations dropped until they faced a real threat of extinction, falling from 2 million individuals to under 10,000 by 1964. After 30 years of proactive, effective protection and management, vicuña populations have recovered sufficiently (to 350,000 individuals) to make sustainable management projects viable, and now vicuña are live sheared for their fleece (Box 6). However, the Red List entry for this species states that “According to the Technical Meeting of the Vicuña Convention (2015) there has been, with the exception of Ecuador, an alarming increase in Vicuña poaching throughout its range, especially affecting isolated Chilean and relict populations whose marginal distribution increases their vulnerability”.
- Saiga antelope (*Saiga tatarica*) recovered from a low of a few thousand individuals in the first few decades of the Soviet Union, after being over-hunted for meat and horns in the 19th and early 20th century. High levels of illegal hunting after the collapse of the Soviet Union, coupled with disease outbreaks, have again decimated Saiga populations which are still at risk from overhunting (Box 5).
**Box 4: Trade in jaguars – multiple uses and potentially increasing impacts**
Jaguars (*Panthera onca*) and their body parts are used locally and traded internationally. Jaguars were historically killed for their skins, which were used in the fashion industry. This legal trade was halted with the CITES listing of jaguars on Appendix I in 1975. However, jaguars are still killed because of conflict in response to predation events on livestock or other domestic animals, or out of perception that jaguars are a potential threat (Cavalcanti, 2010). Jaguar body parts are used for various purposes, including for personal use, or traded on local or international markets.
Locally, jaguar body parts may be used in decoration, traditional remedies or cultural practices (Arias et al., 2021). For example, amulets with jaguar teeth are worn as spiritual symbols, skins serve as home decoration or costumes, and jaguar fat is used to treat arthritis and other pains. Live animals are also kept as pets or attractions (Arias et al., 2021). For international trade, seizure reports suggest that canines, skins and heads are the more popular items (Morcatty et al., 2020a). In Suriname, reports exist of a jaguar paste, created by boiling down the entire jaguar carcass over several days, that is in demand from local buyers as a general and sexual health tonic that is diluted in alcohol; an international market in China may exist as well, but is largely unknown (Lemieux & Bruschi, 2019a; Arias pers comms. 2021). This paste would be nearly impossible to detect in seizures and therefore it is difficult to quantify trade volumes.
The international market for jaguar products also includes tourists, who purchase souvenirs, such as jaguar skin leather products or necklaces with canines. In a more recent trend of Ayahuasca tourism, jaguar parts are promoted to tourists by ‘shamans’ under the claim that these trinkets augment the psychedelic experience (Braczkowski et al., 2019). Additionally, drug and arms traffickers have been found in possession of a taxidermied jaguar (Melissa Arias et al., 2020), and there is evidence of illegal trophy hunting in Brazil (Arias pers comms. 2021).
The Chinese market for medicine and status symbols has been a recent focal point of concern for jaguars. Morcatty et al., (2020) found that illegal trade in jaguar parts was positively correlated with the amount of private Chinese investment and levels of corruption in the range countries. Demand of jaguar parts for the Chinese market have been attributed to the booming Chinese economy, increasing the demand for status symbols, and the increased prices of tiger parts due to stricter enforcement on tiger (*Panthera tigris*) part trade (Morcatty et al., 2020). Traditional Chinese medicine may play a role too (Lemieux & Bruschi, 2019b; Morcatty et al., 2020b). Chinese business connections facilitate a link between market and supplier through combining illegal trade with a legal market chain, but evidence suggests that a market also exists for newly established Chinese communities in the jaguar range (Lemieux & Bruschi, 2019c). However, the relative contribution of the Chinese market to illegal international trade in general is not clear as official seizures of jaguar body parts in China are rare (Arias 2021, pers. comm.). The market for jaguar body parts is likely diverse, with domestic and international markets in countries such as in the US and EU, where more seizures have occurred than in China (Arias pers comms. 2021).
Widespread use and trade of jaguars has long existed at a domestic scale; however, it has only recently received attention. Use and trade of jaguars has largely resulted from opportunistic encounters and conflict between
humans and jaguars (Arias et al., 2021). There is a risk that the opportunity to sell parts of jaguars – an animal with an already poor reputation relating to human-wildlife conflict – may give local people additional incentive to kill, which may be compounded by poverty and opportunities to quickly earn cash in countries with poor enforcement and culture where the killing of jaguars is accepted (Kerman, 2010; Lemieux and Bruschi 2019; Morcatty et al., 2020).
The number of jaguars killed annually is not known and it is difficult to measure trends over time due to a lack of baseline data. Morcatty et al. (2020) reviewed data on confiscated jaguar parts between 2012 and 2018 from 19 Central and South American countries and China and found that 857 individuals were seized. These data revealed a 200-fold increase in the number of jaguars traded in the last 10 years, and a 5-fold increase in seizure reports. The data from this study suggests an increase in jaguar trade, however the increase may not be due to a direct increase in jaguar killings, but may be linked to improved reporting, detection and an increase in media and conservation interest in recent years (Arias pers comm. 2021). More baseline information is needed before trends in jaguar hunting and trade over time can be estimated.
4.3.5 Impacts of hunting on species populations and ecosystems
184.108.40.206 Direct Impacts
Migratory species are especially susceptible to over-hunting (Datta, 2021; Dolman et al., 2021; Epstein et al., 2009; Sarwar et al., 2021). Predictable spatio-temporal peaks in abundance along migration routes can be targeted by human hunters, and the hunting of migratory species can be celebrated, as they represent a seasonal bounty (Datta 2021).
However, a lack of systematically collected data on hunting offtakes for each species makes quantitative assessment of hunting impacts extremely challenging. When species are impacted by multiple threats (as is the norm) and estimates of hunting offtakes do not exist, it is hard to formally attribute population declines to hunting, as opposed to another threat (for example, habitat loss). It is even more challenging to attribute impacts to use, such as hunting for meat as opposed to medicine or conflict for example, where (as is also the norm) hunted species have multiple uses. Nevertheless, for many species where hunting is known to be a major or the main threat, population declines have been precipitous, and as published literature makes the connection between hunting and these declines, it seems fair to draw some informed assumptions on hunting impacts.
Several publications have used a modelling approach to attribute the effect of hunting and other variables to animal density (and/or decline), not by using offtakes, but by using either directly observable evidence of hunting within systematically surveyed sites (signs such as snares, spent cartridges, hunting camps and so on), or by using a proxy for hunting, such as the distance to the closest roads and villages, or an index of accessibility which combines slope, vegetation type, remoteness from human settlements (often weighted by population size) and modelling the effect of that proxy across a much larger landscape - sometimes an entire range of a species. Examples of the former include (Stokes et al., 2010) for elephants and great apes; examples of the latter for the same broad taxa include Heinicke et al. (2019); Maisels et al. (2013); Plumptre et al. (2021) and Strindberg et al. (2018).
Of the 105 species reviewed, we found information on direct impacts of hunting for 58 species: 24 Artiodactyla, 8 Carnivora, 13 Chiroptera, 5 Perissodactyla, 5 Primates and 3 Proboscidea. Of these 58 species, published information suggests that hunting impacts have been/are currently high for at least 40 species. A summary of the impacts of hunting for each of the species is provided in Appendix 3.
Migratory ungulates are almost all reported as significantly threatened by hunting and are experiencing population declines (where information was available). While ungulates are hunted for a range of uses - including meat, medicine, trophies, conflict with livestock and skins – meat is often a key use, especially during times of conflict or famine. The scimitar horned oryx (*Oryx dammah*) is already extinct in the wild, and published literature suggests that overhunting was the main cause of extinction, partly for meat and partly to produce leather goods (Gilbert & Woodfine, 2016). High levels of hunting of kouprey (*Bos sauveli*) in the last 30 years have resulted in at least an 80% decline in population numbers, due to hunting for meat, horns and medicine, and this species may now be extinct in the wild (Timmins et al., 2016). Most other migratory ungulates still extant in the wild have experienced significant population declines that can be attributed to hunting. Examples include:
- Bukhara deer (*Cervus elaphus bactrianus*) were almost hunted to extinction for meat, skins and skulls, declining to 400 individuals before a reintroduction programme brought about an increase in numbers (Karlstetter & Mallon, 2014).
- The red-fronted gazelle (*Eudorcas rufifrons*),
where hunting is thought to affect most populations (50%-90%) across its range (IUCN SSC Antelope Specialist Group, 2017)
- The wild yak (*Bos mutus*), where hunting for meat, medicine, horns, conflict and skins have greatly reduced wild yak populations, resulting in severe range contractions and population reductions (Shi et al., 2016).
- The urial (*Ovis vignei*), where hunting for meat is the main use, has seen drastic population declines across its range, with a 56% population decline recorded in Pakistan between 1976-2004 (Awan, 2006).
- The addax (*Addax nasomaculatus*), which was present in West Africa in good numbers until the 1970’s, when uncontrolled hunting for meat, horns and hide accelerated with the introduction of motor vehicles and modern weapons. The primary factor in the decline of Addax has been uncontrolled hunting over many years. Drought and the extension of pastoralism into desert lands, due to an increase in wells, have also increased hunting pressure, particularly during the 1980s and 1990s (Beudels et al., 2005; Newby, 1984). In recent years, the only near-viable population in Termit Tin Toumma NNR in Niger has been subject to disturbance by oil exploration and production and to hunting by military escorts of oil workers (Duncan et al., 2014). Finally, political instability in Libya has caused an increase in human traffic, and opportunistic hunting, in Termit Tin Toumma (IUCN SSC Antelope Specialist Group, 2016a). In 2019 the size of the global wild population was estimated to be between 85 and 120 adults (IUCN SSC Antelope Specialist Group, 2016a).
- Both the vicuña (*Vicugna vicugna*) and the Chiru (*Pantholops hodgsonii*) have experienced severe population declines due to overhunting. The creation of strict protections for both species (the creation of protected areas and legislation to outlaw or manage hunting) have been credited for their recovery (Cooke, 2016; CITES, 2019a; Box 6), although there has been “an alarming increase in Vicuña poaching throughout its range” (Acebes et al., 2019) and some poaching of chiru continues, requiring strict anti poaching measures (IUCN, 2016b).
Some species lack enough data to make informed judgements; for example, the argali sheep is threatened by illegal hunting across its range, but also by land-use change and competition with domestic livestock. There is currently inadequate data to assess the impact of hunting alone. Similarly, there seems to be little available information for Neumann’s gazelle (*Gazella erlangeri*), where there is no recent information on wild populations.
Hunting impacts can be disproportionate to hunting offtakes. A good example of this is the saiga antelope (*Saiga tatarica* and *Saiga borealis*), where hunting has been a key driver of population declines. Hunters preferentially target male saiga for their horns, resulting in a sex-biased population with fewer males than in unhunted populations, which results in lower overall fecundity and faster population declines (Box 5). This is likely to be an issue for other migratory ungulate species where males are targeted for their horns (and for elephants - see below). Hunting can also reduce species populations to a point where they are more vulnerable to other threats and shocks – saiga are again a good illustration of this issue (Box 5).
**Box 5: Saiga antelopes: The dual impacts of sex-biased hunting and disease**
Saiga antelopes are recognized as two separate species by CMS, *Saiga tatarica* and *Saiga borealis* (CMS, 2021). Both species face similar threats, including illegal hunting, disease, infrastructure development, weather and climate, and predation. This box refers to saiga antelopes inclusive of both species; though at the population level, the circumstances vary (Milner-Gulland et al., 2001).
By the creation of the Soviet Union, Saiga numbers were down to a few thousand, due to overhunting within the Russian Empire, and demand for Saiga horn from China. In the first few decades of the Soviet Union the species recovered due to a ban on hunting, strong border controls, the limitation of firearm possession by local people, the emptying of the steppe due to collectivization, and strong law enforcement (Milner-Gulland et al., 2001). During the 1950’s and 1960s a well-organised hunting system was put in place, using trucks and a team of up to 20 hunters on each. For example, on the west of the Volga River, 120,000-150,000 saiga were hunted per year during 1957-1962 (IUCN, 2018).
With the collapse of the Soviet Union, the strict hunting control system became dysfunctional. Illegal hunting began to gain momentum. From the mid-1990s until mid-2000s, saiga’s population declined by more than 90%, which was mainly driven by illegal international horns trade and local meat consumption (Milner-Gulland et al. 2001; Kühl et al., 2009). Only male saigas have horns, which are used in traditional Chinese
medicine, therefore the illegal hunting of saigas is male-oriented. Male saigas are limited in their absolute ability to inseminate females, and as a result hunting not only directly reduces saiga numbers but also reduces female fecundity. (Ginsberg & Milner-Gulland, 1994) found that severely sex-skewed harvests can precipitate population collapse much more quickly than where both sexes are targeted (Milner-Gulland et al., 2001). Illegal hunting is still a major threat to all saiga populations today.
In addition to the hunting pressure, saiga’s population has been further reduced by Mass Mortality Events (MME’s). In 2015, more than 200,000 saiga antelopes (*Saiga tatarica tatarica*) died in 3 weeks in central Kazakhstan, from hemorrhagic septicemia caused by the bacterium *Pasteurella multocida* type B (Kock et al., 2018). Adult numbers were reduced to around 15% of the pre-calving numbers of this population, representing a loss of around 62% of the global population. Saigas may be vulnerable to mass disease-induced mortality, as previous mass mortality events were also recorded in 2010 and 2011.
In 2016, an outbreak of peste des petits ruminants virus (PPRV) into livestock in Mongolia (probably originating from uncontrolled transboundary livestock movements) was followed by the death of 1000s of saiga from PPRV and a confirmed fall in saiga populations in from 25,699 in January 2017 to 8,806 by May 2017 (Pruvot et al., 2020), raising concerns for the species survival. This MME illustrates the threat of disease spillover from livestock for wild species populations.
Hunting can increase the risk of local extinctions if species are affected by additional threats (such as disease or fluctuations in climate) as populations are already depressed and closer to their minimum viable population level. Additional threats need not therefore cause high levels of mortality to push the population to local extinction.
**Box 6: Sustainable use initiatives for the hunting of CMS species**
A few CMS species are managed for sustainable use with varying levels of success, either for subsistence use or for international trade. Here we describe two examples of sustainable use initiatives: One is based on the sustainable use of vicuña for the international trade of its fur in the Southern Andes region, and the other on the polar bear (*Ursus maritimus*), mostly used for subsistence among the Inuit people in Canada.
**Vicuña**
The vicuña is a South American Camelid (Osgood, 1943; Wheeler, 1995), with a 300,000km² range extending across Perú, Bolivia, Chile and Argentina. Overhunting of the vicuña for their meat, skin and fibre began as long ago as the Spanish conquests, and by the 1960’s they were one of the most threatened species in South America, declining from a population of approx. 2 million to only 10,000 individuals (Lichtenstein, 2009). Vicuña were protected under the Convention for the International Trade of Endangered Species (CITES) Annexe I in 1975, and under the CMS (Appendices I and II) and the Vicuña Convention (signed by Argentina, Bolivia, Chile and Perú) in 1979. All vicuña are on CMS Appendix I except the Peruvian population, which is on CMS Appendix II (CMS 2020). These protections are credited as resulting in the species’ recovery (Lichtenstein, 2009) and there are now thought to be over 350,000 mature individuals.
In 1995, the entire Peruvian vicuña population and the north Chilean populations were downlisted from CITES Appendix I to Appendix II as part of policies to promote a more sustainable use approach, permitting international sale of fibre and cloth from live shorn animals. All other populations were included in Appendix I (Acebes et al., 2019). Today (2021), the vicuna on CITES Appendix II include all the animals in Peru, Ecuador and Bolivia, some animals in Argentina (the populations of the Provinces of Jujuy, Catamarca and Salta, and the semi-captive populations of the Provinces of Jujuy, Salta, Catamarca, La Rioja and San Juan), and Chile (populations of the region of Tarapacá and of the region of Arica and Parinacota) (CITES Appendices I, II and III 2021).
Fibre is harvested from live-captured animals, and fibre export and import and the trade of products derived therefrom are allowed under strict regulations (Acebes et al., 2019). Communities are involved in the sustainable management of vicuñas and their traditional knowledge is integrated with scientific research. For example, in the Puna community, Argentina, members of the community assume responsibility for taking care of vicuñas in their territory. A vicuña management committee is endorsed by a community assembly formed from Law N° 5634, which then sets rules (re. e.g. caring for the vicuñas, preventing attacks by dogs, alerting of illegal hunting events, eliminating fences
from waterholes to facilitate access to vicuñas. Some community groups have decided to reserve part of the community grassland area for exclusive grazing of vicuñas (Cowan Ros, 2020). Currently, Peru harvests fibre from wild vicuñas maintained in extensive plots, and Bolivia and Chile have developed capture and release methods and harvest systems for large-scale exploitation of wild populations. From 2007-2016, trade in vicuña fibre increased by 78%. The annual value of these exports, largely from Peru, is approximately $3.2 million, and Italy is the main destination market, then re-exporting to China, Switzerland and the US (Kasterine & Lichtenstein, 2018).
Unfortunately, although the species is now listed as ‘least concern’ across its range on the IUCN Red List (Acebes et al., 2019), there has been “a troubling increase of poaching during the last decade” (Acebes et al., 2019). As this species has IUCN National Red Listings as well as an overall one, it is instructive to note that the Peruvian vicuñas (with just under half of the world population) is now Near-Threatened and the Chilean population (with just 3% of the world population) is Endangered (Acebes et al., 2019). In Bolivia an estimated 1% of the population is killed illegally for the fibre trade (Kasterine & Lichtenstein, 2018). This increase in illegal hunting is thought to be due to the logistical difficulty of patrolling large areas, lack of financial means by local and national authorities to initiate patrols, insufficient legal frameworks, difficulties in law enforcement and extreme poverty. In addition, the number of people benefitting from sustainable management of vicuña, and their profits, can be low or even non-existent (García-Huamani, 2020). This compares with the high prices of garments that are made from vicuña fibres and sold within Europe (Lichtenstein, 2009), which drives an illegal market for vicuña fibres (Acebes et al., 2019), which continues to put pressure on the species.
**Polar bear**
Polar bears are a prominent example of sustainable use of CMS species for the subsistence and cultural reproduction of indigenous and local communities. Polar bears are one of the most sensitive marine mammals in the Arctic to climate-induced habitat change (Laidre et al., 2008). Climate change and resulting declines in the quality and quantity of sea ice have reduced the available habitat and prey availability for polar bears and this is seen as the biggest threat to their survival (Lam et al., 2021).
Polar bears have been used by the Inuit people for millennia for their meat and pelts. Polar bear hunting is of high cultural importance to many Inuit communities, and the sale of pelts provides an important source of income. The US, Canada, and Greenland allow and manage a subsistence harvest of Polar Bears; harvest is prohibited in Norway and Russia (Wiig et al., 2015). In Canada, land claims and treaty agreements have formalized polar bear harvesting by aboriginals (Natural Resources Transfer Agreement of the Constitution Act (Manitoba) 1930; James Bay and Northern Quebec Agreement 1975; The James Bay Treaty – Treaty No. 9, 1905; Inuvialuit Final Agreement 1984; Nunavut Land Claims Agreement (NLCA) 1993; Labrador Inuit Land Claims Agreement 2005). These agreements call for wise use of wildlife based on the principles of conservation and provide for the aboriginal public to be participants in wildlife management. The Nunavut Land claims agreement, for example, aims to create a wildlife management system that promotes the involvement of aboriginal communities in polar bear harvest management and research. Aboriginal communities, particularly in Nunavut and the Northwest Territories, participate in decisions on harvest levels, protected areas, what kind of information decisions should be based on, and the nature and funding levels of research projects (Gilchrist and Mallory 2007). Polar Bears were included in CITES Appendix II in 1992 and remain there today (CITES 2021). Of the wild-caught Polar Bears on the CITES Trade database examined in this report (2017-2021), 80% of the consignments originated in Canada.
The IUCN Red List assessment, last completed in 2015 (Wiig et al., 2015), reports that the annual legal harvest of Polar Bears is between 700 and 800 or 3-4% of the estimated size of the total population of about 20-25,000 animals. This harvest level is thought to be sustainable in most subpopulations (Wiig et al., 2015). Although illegal hunting of Polar Bears is not thought to be of major concern, illegal hunting of polar bears in Russia (estimated at 100 - 200 bears per year), combined with legal subsistence harvest in the U.S., may exceed sustainable limits for the Chukchi subpopulation (Wiig et al., 2015). In addition, as polar bear populations decline because of climate change impacts, current harvesting levels will become less sustainable. As for many CMS species, there is a need for more rigorous documentation of legal and illegal harvest levels, and population numbers, to allow managers to adaptively manage polar bear quotas.
Carnivores are not often intentionally hunted for food, but are highly threatened by hunting for medicinal use, skins, trophies, and due to human-wildlife conflict or opportunistic encounters. As the hunting of carnivore species is for many purposes, it is hard to disentangle the impact of each use. However, it seems that direct consumption for meat is not a principal driver of population declines, with human-wildlife conflict, trophy hunting and skins, and the indirect effects of reductions in their prey base being more impactful (see section on indirect impacts below).
Large declines in carnivore populations have occurred globally. For example, the African lion (*Panthera leo*) has declined by 38% over 21 years (1993 - 2014) to <35,000 individuals occupying 25% of its historic range (Henschel et al., 2014; Bauer et al., 2016). The main drivers of lion declines are large-scale habitat conversion, prey base depletion through unsustainable hunting (see 'Indirect impacts' below), and the retaliatory killing of lions due to human-lion conflict. Lion bones are also used as a substitute for tiger bone in SE Asian traditional medicines, as tiger populations decline (Creel et al., 2016; Bauer et al., 2016). The situation is most critical in West Africa, where lions have been considered regionally endangered since 2004, and where <500 individuals may persist (Henschel et al., 2014). While the Red List assessment (Bauer et al. 2016) classifies habitat loss and human development as higher threats than hunting to the global lion population, this may vary between regions. In Southern Africa, Everatt et al. (2019) found that illegal hunting was the biggest driver of population declines in the Greater Limpopo Lion Conservation Unit, one of eleven lion ‘strongholds’.
Leopards (*Panthera pardus*) have suffered similar declines. Leopards historically lived across nearly 35,000,000 km² but are now confirmed present in only 25% of this area, in 173 extant patches covering ~8,500,000 km² (Jacobson et al., 2016), and have suffered range loss of 63–75%, with highest losses in Asia. Four subspecies have lost more than 90% of their historic range and six are spread across less than 100,000 km². Leopards are threatened by illegal hunting due to human-wildlife conflict, for their skins, as traditional medicine (and as a tiger bone substitute), due to bycatch in snares, due to prey depletion from wild meat hunting and due to legal and illegal trophy hunting (Naude, 2020). As with lions they are also threatened by habitat destruction. The lack of data on leopard offtakes makes it difficult to disentangle the impacts of these different threats (Stein, 2020), and the relative impact of different threats is likely to vary between region and subspecies. The Javan leopard is thought to be threatened primarily by habitat loss (Gomez and Shepherd, 2021), whereas illegal hunting is reported to be the biggest threat to the Indo-Chinese leopard (Rostro-Garcia et al., 2016), and in South Africa (Balme et al., 2010). In Saudi-Arabia the decline of the leopard’s prey base and retaliatory killings were reported as the biggest threats (Islam et al., 2018). Similarly, hunting is known to be a key threat to snow leopards (*Uncia uncia*), however despite the existence of the Snow Leopard Crime Database, a lack of data on snow leopard populations and hunting offtakes makes it difficult to estimate the extent to which population declines are due to direct illegal hunting (primarily due to human wildlife conflict and for trade in hides and bones) or due to prey population declines and habitat destruction (Nowell et al., 2016).
Elephants are one of the few species where hunting data has been collected systematically across their range; this has been done since 2002 through the MIKE programme in both Africa and Asia (see Box 1; Box 2). Poaching rates (overwhelmingly for ivory, not meat) have climbed and remained high for African elephants in the 21st Century, and elephant populations have declined drastically, and continue to fall. Forest elephant populations fell by 62% between 2002 and 2011 (Maisels et al., 2013; Wittemyer et al., 2014) and on a longer time frame, by 86% between 1983 and 2015 (Gobush et al., 2021b). Savanna elephant populations declined by 60% between 1964 and 2015 (Gobush et al., 2021b). In both Asia and Africa, ivory poachers deliberately choose to kill adult male elephants: in Asia, only the males have tusks, and in Africa, the males’ tusks are thicker and often longer than those of the females, meaning there is a higher volume of ivory on an adult male than on an adult female. The selection of males in all three species has led to skewed sex ratios where adult females outnumber adult males in African Forest Elephant and African Savanna Elephant populations (Mondol et al., 2014; Turkalo et al., 2018) and in Asian Elephants; here, the sex ratio skew can be very high (Pauriraj & Subramanian, 2000; Vidya et al., 2004). Interestingly in Sri Lanka, past ivory poaching had led to an overwhelmingly tuskless male population (Kurt et al., 1995).
Bats are rarely reported as hunted to species level, and therefore nearly all the bats in this review were reported as having low direct impacts from hunting. The exception is the Straw-coloured Fruit Bat (*Eidolon helvum*), which is hunted for food and medicine, and where population declines have been recorded, especially in Central and West Africa (Box 3). However, the degree of hunting threat varies significantly across its range, due to varying perceptions of the bat and its use as food (Niamien et al., 2015).
Impacts of hunting on gorilla species vary significantly between subspecies, though all are threatened by hunting. Mountain Gorillas (*Gorilla beringei beringei*) exist in two populations in the Virunga Transboundary Park and Bwindi Impenetrable National Park. In both these areas, gorilla consumption is taboo among local communities. Gorilla killing generally occurs due to retaliatory human-wildlife conflict (crop-raiding or fear), or by militarised groups engaged in the civil conflict
(sometimes to eat their meat), or as bycatch in snares set for ungulates (see section 220.127.116.11). There is strong law enforcement activity within both protected areas (e.g. Robbins et al., 2011), and gorilla-based ecotourism is highly profitable, with 10% of revenues going to a local community development fund. As a result, Mountain Gorilla populations are slowly increasing (the only gorilla taxon to be doing so), albeit still listed as Endangered by the IUCN Red List due to the increasingly small area, and fragmented nature, of its extent of occurrence (Hickey et al., 2020).
In comparison, the primary threat to the other three gorilla subspecies, Western Lowland Gorillas (*Gorilla gorilla gorilla*), Grauer’s Gorilla (*Gorilla beringei graueri*) and the Cross River Gorilla (*Gorilla gorilla diehli*), is illegal hunting for meat. All are now listed as Critically Endangered by IUCN.
Grauer’s Gorillas are estimated to have declined by 60% since the mid 1990’s (or equivalent to 82% decline in two gorilla generations) (Plumptre et al., 2021) due to hunting, driven by human demographic growth in the region and illegal hunting by armed militias and rebel groups in the artisanal mining camps, meaning that access to arms is easy and demand for meat is high (Humle et al., 2016; Plumptre et al., 2016, 2021). The last remaining strongholds of this taxon are the contiguous Kahuzi-Biega National Park and the Oku Community Reserve (Plumptre et al., 2021).
Only about 200-250 Cross River Gorillas exist in the wild. The threat of illegal hunting for meat – albeit opportunistic – is exacerbated by the fact that their remaining habitat is under threat for farming and firewood by the very high human population density within its range, the Cameroon-Nigeria transborder area (Bergl et al., 2016). It is estimated that opportunistic hunting removes 1–3 individuals from the population annually, and gorillas are also injured and killed as “bycatch” in snares targeting ungulate species (Bergl et al., 2016). Although hunting events are rare, with such a small population the current level of offtake is unsustainable (Bergl, 2006; Bergl et al., 2016).
Unlike Mountain, Grauer’s and Cross River Gorillas, which all have relatively small ranges, Western Lowland Gorilla (*Gorilla gorilla gorilla*) range extends from the Atlantic coast of Central West Africa to the Congo and Oubangui Rivers and covers about 700,000 km² (Maisels et al., 2018). The primary threats to this taxon are - in descending order - hunting (by far the most important threat), disease, and habitat loss (Maisels et al., 2018). The specific drivers of hunting, again in descending order of importance, the presence of anti-poaching teams, distance to the nearest road, human population density, whether gorillas were eaten in the immediate area, and elevation (it is easier to hunt in flatter areas) (also see Table 7) (Strindberg et al., 2018). The population in 2013 was estimated at around 361,000 individuals, decreasing at a rate of around 2.7% a year (Strindberg et al., 2018).
Chimpanzees (*Pan troglodytes*; four subspecies) are found across Africa from the Atlantic Coast of West Africa across to the Albertine Rift and western Tanzania and western Uganda (Humle et al., 2016). Estimates of population numbers vary in their precision and accuracy depending on subspecies; estimates of decline are available, but the proportion of decline due to hunting is not well understood. Nevertheless, hunting is known to be a key threat, and chimpanzees are primarily targeted by hunters for their meat.
Western Chimpanzees *Pan troglodytes verus*: in a recent study that examined all 59 Western Chimpanzee sites for which data exists (in the IUCN A.P.E.S. Wiki database), the top-ranked threat (mentioned for 50 sites) was hunting (Heinicke et al., 2019), followed by agriculture (47 sites) and logging/wood harvesting (42 sites). Thus, although hunting is the most important threat for this taxon, habitat loss and modification is close behind.
Cameroon-Nigeria Chimpanzees (*Pan troglodytes elliotti*) are found from the Nigeria-Cameroon highlands across to the Sanaga River in Cameroon, and population size is only about 6000-9000 individuals (Humle et al., 2016). The rate of decline is not known but is caused by a combination of hunting and habitat loss, which is worsening as the already high human population density within the range of this taxon increases, along with the increasing demand for meat and for agricultural land.
For Central Chimpanzees (*Pan troglodytes troglodytes*) the principal threat is hunting. Declines over the period 2003-2013 were not nearly as steep as for Western Lowland Gorillas, with which it is broadly sympatric. The principal drivers related specifically to hunting for Central Chimpanzee density across its range were – again in decreasing order of importance – whether chimpanzees were eaten in the immediate area, Human Influence Index, the presence of anti poaching teams, and then slope and elevation (as hunters dislike expending effort on steep mountainous terrain when flatter land is available) (Strindberg et al., 2018).
Finally, the estimated decline of Eastern Chimpanzees *Pan troglodytes schweinfurthii* across their range from 1980 to 2055 is estimated at over 50% (putting them into the Endangered category); the greatest threat to this taxon is hunting for meat, either intentionally or as a bycatch in snares set for other species, such as ungulates (Plumptre et al., 2016). This taxon has a very large geographical distribution. Drivers of hunting include artisanal mining, which attracts large numbers of people into chimpanzee habitat (it is essentially the same story as for Grauer’s Gorillas, with which it is sympatric where these gorillas occur); these people hunt for meat, or engage others to hunt for them, or have money from
their mining activities with which to buy bushmeat.
18.104.22.168 Indirect Impacts of hunting on CMS species
Indirect impacts of hunting refer to the cascade effects of changing ecological function across the trophic web, as species declining under extreme hunting pressure change their ecological interactions with others (Abernethy et al., 2013; Young et al., 2016). A review of over 160 papers in 2013 examined the direct and indirect impacts of hunting in Central Africa (Abernethy et al., 2013); here we reprise key points from that paper and add others published since then for Central Africa and other regions supporting CMS species, gleaned from our Google and Google Scholar search.
Indirect impacts of hunting can profoundly affect the wider ecological system when the hunted species is an ‘ecosystem engineer’ or ‘keystone species’. Several CMS species can be described as such, including elephants, gorillas and bats, and top predators such as lions, leopards, and bears. These species are often large-bodied and slow-reproducing, and so therefore also vulnerable to hunting (Abernethy et al., 2013).
- African forest elephants (*Loxodonta cyclotis*) can make up between 33 and 89% of the animal biomass of intact Central African forests (Abernethy et al., 2013). The loss of these species from an ecosystem can thus be profound. They have been described as ‘forest gardeners’, consuming more seeds from more species than any other taxon of large vertebrate dispersers (Campos-Arceiz & Blake, 2011), which they disperse over a wide area and often very far from their parent plant. Certain plant species which require elephants for their dispersal may suffer increased density dependent seed or seedling mortality (Bollache et al., 2013; Jansen & Zuidema, 2001; Wright, 2003). The largest trees that dominate African forests tend to have higher wood density than other tree species (Reich et al., 1997) and these are the trees that tend to be elephant-dispersed (Berzaghi et al., 2019). A large tree can sequester proportionally more carbon than a smaller tree in a year (Stephenson et al., 2014), so loss of Forest Elephants in Central Africa will reduce the recruitment of large trees, increase stem density of smaller trees, and decrease overall carbon stocks and the rate of carbon sequestration. As much as 96% of Central African forests could have modified species composition and structure as elephants are compressed into remaining protected areas (Poulsen et al., 2017).
- Recent work has suggested that the removal of megaherbivores - by humans - in the Americas 13,000 years ago, in Egypt 5000 years ago, Mesopotamia and China over 3000 years ago, and the Indus valley 1000 years ago has had the indirect effect of greatly reducing lateral nutrient transportation – especially phosphorus, a key plant nutrient – across huge areas of land, leaving vast areas with low soil nutrient levels, and the hypothesised collapse of river valley civilisations (Doughty et al., 2013, 2016; Wolf et al., 2013). This could also happen in sub-Saharan Africa if elephants are lost (Doughty et al., 2016) and may have already happened across much of the rest of Asia, but this remains to be seen.
- Gorillas (*Gorilla beringei* and *G. gorilla*) are among the largest frugivores in African forests and play similar seed dispersal roles, being particularly important dispersers of large-seeded plants. In some cases, gorillas may be the sole disperser of some tree species, such as the Cola lizae tree (Tutin et al., 1991), which is endemic to Gabon (Halé, 1987) – it is only dispersed by Western Lowland Gorillas (*G. gorilla*). This means that, as with forest elephants, reduction of gorilla populations through over-hunting can have profound impacts on forest structure and function.
- The straw-coloured fruit bat (*Eidolon helvum*) is one of Africa’s most hunted bat species, thought to be an important long distance seed disperser in tropical Africa, maintaining genetic connectivity and colonizing new sites for plant species, as it travels long distances (over 2000km) across fragmented landscapes in Ghana, and from savannas in Zambia to the heart of the Central African forest block in DRC (Abedi-Lartey et al., 2016; Richter & Cumming, 2006, 2008).
- Reductions of key prey species, such as many of the listed ungulate species, can result in reductions in predators such as leopards, lions and jaguars. Indirect hunting impacts are well-documented for leopards (*Panthera pardus*). Leopards are intentionally hunted for trophies and skins. However, even in areas where illegal leopard hunting is not practiced due to cultural taboos, hunting of ungulate species can cause local extinctions of leopard populations due to large reductions in their main food resources. In Gabon, Henschel et al. (2011) documented decreasing leopard populations and an increasing use of smaller prey species by leopards with proximity to human settlements, and high dietary niche overlap between leopards and human hunters at sites situated at similar distances from settlements. These authors suggested that wild meat hunting may precipitate the decline in leopard numbers through exploitative competition and that intensively hunted areas are unlikely to support resident leopard populations. Exploitative competition also exists between human hunters and other carnivore species. Modelling of lion distributions in the Greater Limpopo Lion Conservation Unit (GLLCU) of South Africa found that lion densities were positively correlated with
the availability of key prey species and negatively affected by the occurrence of bushmeat illegal hunting activities (Everatt et al., 2019); the authors suggest that exploitative competition with human hunters for prey was a significant factor determining the presence of lions. Moyer et al. (2014) found that the preferred prey species of human hunters and jaguars in the province of Colón, Panama, was the same – lowland paca (*Cuniculus paca*). Similarly, Foster et al. (2016) found high dietary overlap between human hunting offtakes and jaguar and puma diets in Belize.
- The use of snares, often used for capturing ungulates, can also result in the unintentional trapping of species that might otherwise not be targeted by local subsistence hunters, including animals (such as carnivores) which are seldom targeted for their meat (Coad et al., 2010). Our review highlighted that mortality through bycatch was a particular issue for gorilla species, leopard species and lions (e.g. Everatt et al., 2019). It should be noted that there can be a very high proportion of snare wastage (where snared animals die and rot before the snare owner can collect them), which greatly increases the removal of potential prey species for carnivores, even if the meat is not consumed by humans in the end (e.g., (Noss, 1998; Yamazaki et al., 2020). Even if animals do not die, their fitness can be gravely compromised by losing a limb or foot (e.g. Haggblade et al., 2019; Quiatt et al., 2002).
- Reductions of apex predators, such as lions, leopards and bears, can result in increases in populations of smaller predators, known as ‘competitive release’. One example of competitive release includes three CMS species. Lions (*Panthera leo*) keep wild dogs (*Lycaon pictus*) and cheetahs (*Acinonyx jubatus*) at low densities (Durant, 1998, 2000; Ritchie & Johnson, 2009), both by direct killing and by wild dogs and cheetahs avoiding areas with high lion densities. Reduction in lion densities can therefore result in increased numbers of both these predator species. There has also been evidence of competitive release for puma (*Puma concolor*) and ocelot (*Leopardus pardalis*), following the decline of jaguars (Moreno et al., 2006).
- Reductions in apex and meso-predators through hunting can also result in hyperabundance of smaller prey species (e.g., some species of birds, bats, small primates, and rodents) released from predation pressure and yet not targeted by human hunters, with knock-on consequences for the ecology of the area (Olsson et al., 2019; Terborgh et al., 2001, 2008). In particular, seed predation can rise, following predator elimination (e.g., Effiom et al., 2013; Nuñez-Iturri & Howe, 2007)
### 4.3.6 Large-scale drivers of hunting of CMS species
While the immediate driver of wildlife hunting is generally to provide food and income (or control a pest species) the scale of use is often affected by larger-scale political, demographic or environmental drivers. We found information from our literature review on large-scale drivers of hunting for 28 species (Table 5).
War, armed conflict, or civil unrest as one of the important large-scale drivers of hunting for 12 species. Conflict can reduce access to food, jobs and medical care and increase poverty, due lack of access to local markets, breakdown in governance systems, and when armed forces or militia groups steal livestock and goods from local people (Jambiya et al., 2007; Loucks et al., 2009; van Vliet et al., 2018). Faced with a lack of alternatives, people are therefore driven to increase their hunting of animals for food and income. Armed groups also hunt wildlife to feed combatants and make money (Plumptre et al., 2016). Examples include: an increase in hunting of the barbary sheep (*Ammotragus lervia*) and barbary deer (*Cervus elaphus barbarus*) following civil conflict in Tunisia (DGF and IUCN, 2017); the dorcas gazelle (*Gazella dorcas*), following armed conflict in Libya and Mali, and Grauer’s gorillas (*Gorilla beringei graueri*), to provision armed militia groups in mining camps in the Democratic Republic of the Congo (DRC) (Plumptre et al., 2021, 2016). In northern DRC, during the civil conflict of the 1990s and 2000s, there was an estimated 500% increase in urban sales of protected wildlife (de Merode and Cowlishaw, 2006), helped by the increased availability of firearms, and a catastrophic drop in forest elephant *Loxodonta cyclotis* numbers in a well-studied population in the Ituri landscape (Beyers et al., 2011). In Mozambique, the period of civil conflict from 1980–1992 saw substantial declines in the wildlife of the Gorongosa National Park: elephant (*Loxodonta africana*) populations fell from 3000 individuals in 1979 to 108 in 1994 (Hatton, 2001). Armed conflict also continues to affect hunting pressure after its end, due to an increase in the availability of weapons. This has been the case for the African wild ass (*Equus africanus*) and giraffe (*Giraffa camelopardalis*) following the Ethiopian war (Abate & Abate, 2017; Moehiman et al., 1998), and the white-eared kob (*Kobus kob*) in Sudan (Marjan, 2014). In the Tibetan Plateau, the confiscation of weapons resulted in a decline in wild yak (*Bos mutus* or *Bos grunniens*) hunting (Shi et al., 2016).
Poverty and famine (which can also arise because of conflict) were mentioned as drivers of hunting. During the famine years of 1959–1960 in China, wildlife was killed systematically for food. This reliance on wildlife then persisted into the 1990s and affected the wild yak and kiang populations (Shi et al., 2016). Similarly, changing climate can affect food supplies, creating a new reliance on wildlife. This has occurred for Sahelian species such as the red-fronted gazelle (*Eudorcas rufifrons*), where
desertification and declining crop yields have resulted in human migration into the gazelle’s range, bringing with it increased hunting pressure (Abiodun et al., 2020). In the Patagonian Pacific, toxic algal blooms resulted in lower fishing returns and resulted in fishermen using dogs to hunt huemul (*Hippocamelus bisulcus*) (Berger et al., 2020).
Broad socio-economic and political changes in a region or country can also have impacts on hunting pressure. An example from this review is the impact of the breakup of the Soviet Union, which is cited as a driver of hunting for argali sheep (*Ovis ammon*) (Rosen, 2012), black-tailed gazelle (*Gazella subgutturosa*) (Blank, 2018) and saiga antelope (*Saiga tatarica*; Box 5), due to a breakdown in the governance systems controlling hunting, and increased poverty and food shortages.
Agricultural expansion, mining and land use change are mentioned as drivers for 11 of the 28 CMS species, and in the broader hunting literature is widely cited as a factor influencing hunting activity. Agricultural and mining concessions open-up previously inaccessible habitats and often results in the development of road networks (Abernethy et al., 2013; Laurance & Arrea, 2017). Concessions also provide local employment opportunities, attracting more people into an area. This results in an increase in both the availability and demand for wildlife, incentivising commercial hunting and increasing pressure on wildlife (Poulsen et al., 2009). In addition, the fragmentation of habitats and increasing human populations surrounding these habitats bring humans and wildlife into increased contact with each other, which can result in human-wildlife conflict and killing of wildlife as a pest species, and this increased contact also increases the potential for zoonotic disease transmission (Wilkinson et al., 2018). Direct drivers of gorilla and forest elephant abundance are the ease of road access in Central Africa (Maisels et al., 2018; Strindberg et al., 2018).
Finally, economic immigration and changes in demand for wildlife products from countries where demand for wildlife products is high can also stimulate wildlife trade. Chinese investment in jaguar range countries may have stimulated the demand for jaguar paste to supply Chinese nationals in jaguar range states, such as Suriname, and potentially to supply mainland China (Box 3) (Lemieux and Bruschi, 2019). This trade is believed to be rare but increasing; more research into this international market and its impact on jaguar numbers is needed. Increases in ivory poaching have been shown to be linked to the boom in the Chinese economy, and to Chinese household income (Wittemyer et al., 2014).
Table 5: Reported large-scale drivers of hunting for CMS terrestrial mammal species, from literature review.
| Scientific Name | Common Name | Summary of Large-Scale Drivers of Hunting |
|--------------------------|------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Acinonyx jubatus | Cheetah | Poverty (Tricorache et al., 2018). Growing human populations and habitat loss (also leading to cheetah prey loss), which both increase human-cheetah conflicts such as livestock depredation (Wykstra et al., 2018). Civil conflict across the Sahelo-Saharan region (Durant et al., 2015). |
| Addax nasomaculatus | Addax | Increase in access to weapons and motor vehicles since the 1970’s. Drought and the extension of pastoralism into desert lands in the 1980s and 1990s (Beudels R. C. et al., 2005, Newby, 2014). Oil exploration in Niger since 2008, with armed military groups, brought in to protect oil workers, engaging in hunting, and disturbance from oil infrastructure. Refugees from Libya into Niger in 2011, and increased illegal trading between Niger and Libya, following civil conflict (Hall, 2016, IUCN SSC Antelope Specialist Group, 2016). |
| Ammotragus lervia | Barbary sheep | Poverty and civil unrest 1960-‘present’ (1997), following Chad’s independence from France and civil war (Keith & Plowes, 1997). Civil unrest in Tunisia (DGF and IUCN, 2017). Conflict and war in the Sahara-Sahel Region (Brito et al., 2018). |
| Bos grunniens | Wild yak, yak | Access to weapons: with the confiscation of weapons in most areas of the Tibetan Plateau in the 21st Century, the extent of the threat of hunting to wild yaks has declined (Shi et al., 2016). Famine: During the famine years of 1959-1960 wildlife was killed systematically for food. Access: Since the mid-1950s, the construction of highways has facilitated the access of commercial poachers to wild yak’s populations, increasing the hunting pressure and the threats to wild yaks (Shi et al., 2016). |
| Eidolon helvum | Straw-coloured fruit bat | Hunting linked to socio-economic situation (income resource and food source) (Niamien et al., 2015). |
| Equus africanus | African wild ass | Poverty. Access to and high ownership of automatic rifles (AK47) and cheap bullets (Moehlman et al., 1998). Drought, bringing pastoralists (who also hunt wild ass for food and income) and wild ass into conflict for resources (Kebede et al., 2014). |
| Equus grevyi | Grevy’s zebra | Hunting for meat by combatants during the ‘shifita’ War of 1963–1968, Kenya (Lelenguyah et al., 2010). |
| Eudorcas rufifrons | Red-fronted Gazelle | Adverse climatic conditions and conflict in the Sahel region, leading to food insecurity (Abiodun et al., 2020). Conflict in Sudan has led to a lack of funding for wildlife law enforcement in protected areas and an increase in illegal hunting (Mcneely et al., 2004) |
| Gazella dorcas | Dorcas gazelle | Armed conflict in Libya and Mali. Increase in illegal killing of dorcas gazelle occurred two years after the start of armed conflict in the region (Brito et al., 2018). |
| Gazella subgutturosa | Goitered gazelle, black-tailed gazelle | Food supply shortage due to the collapse of Soviet Union (Blank, 2018). |
| Giraffa camelopardalis | Giraffe | Intense human population growth in giraffe range states (Muller, 2018). The hunting of giraffes for wild meat within communities that are affected by conflict (e.g., in Central and East Africa) (Dunn et al., 2021). Proliferation of firearms during civil conflict in Ethiopia (Abate & Abate, 2017). Drought in Northern Kenya, in communities that consume giraffe meat, has led to fluctuations in food security, which may have increased wild meat consumption in the area (Ruppert et al., 2020). |
| Gorilla beringei graueri | Grauer’s gorilla | Civil unrest, mining, climate change, human population growth. During the war in DRC, armed groups in mining camps relied on hunting wild meat, including gorillas (Plumptre et al., 2021, Plumptre et al., 2016). |
| Scientific Name | Common Name | Summary of Large-Scale Drivers of Hunting |
|-------------------------|------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Gorilla gorilla diehli | Cross river gorilla | Growing human interactions due to high forest conversion to farms and illegal hunting (African Conservation Foundation, 2013). Dense human populations surrounding remaining habitat (Bergl et al., 2016). |
| Gorilla gorilla gorilla | Western lowland gorilla | The principal threat to this taxon is illegal hunting for meat, followed by disease (especially Ebola), and then habitat degradation and destruction (Maisels et al., 2018). The principal drivers of gorilla density that are related to hunting - in descending order - were the absence of guards, distance to the nearest road, human population density, whether people ate gorillas locally, and elevation (hunting is more difficult in mountainous terrain) (Strindberg et al., 2018). |
| Hippocamelus bisulcus | Huemul | Toxic algal blooms in the Patagonian Pacific diminished the harvest of fish and resulted in fishermen using dogs to hunt huemul (Berger et al., 2020). Colonization and expansion of the agriculture frontier increased human populations and access for hunters (C. Silva et al., 2011). |
| Kobus kob leucotis | White-eared kob | Hunting in Sudan has risen in the recent decades due to the widespread use of illegally acquired firearms and supply of ammunition, the result of decades-long civil war and insecurity (Marjan, 2014). |
| Loxodonta africana | African savanna elephant | The illegal hunting rates of African savanna elephants to 2014 was driven by corruption and by economic living standards in China (as more people could afford to buy ivory (Wittemeyer et al., 2014). A more recent analysis showed that illegal hunting was (again) driven by corruption, ivory price (in the far East), poverty density and adequacy of law enforcement (CITES, 2019b; Hauenstein et al., 2019). |
| Loxodonta cyclotis | African forest elephant | Forest elephant density is most strongly predicted by high human population density, hunting intensity, absence of law enforcement, poor governance, and proximity to expanding infrastructure, all of which facilitate ivory poaching (Maisels et al. 2013). |
| Lycaon pictus | African wild dog | 30 years of intense civil unrest in Angola, 1975–2002 (Monterroso et al., 2020). Human development and encroachment on wild spaces (Mohamed bin Zayed Species Conservation Fund, 2011). Habitat fragmentation due to human development bringing humans and wild dogs closer together (Woodroffe & Sillero-Zubiri, 2020). |
| Oryx dammah | Scimitar-horned oryx | Human development and access to advanced weapons (Jackson, 1978). Introduction of firearms and vehicles has intensified hunting pressure (Wakefield et al., 2002). |
| Ovis ammon | Argali sheep | Soviet Union breakdown and economic hardship (Rosen, 2012). |
| Pan troglodytes | Chimpanzee | The principal threats to this species (and the order differs depending on subspecies) are illegal hunting for meat, disease and habitat degradation and destruction (Humle et al., 2016). The principal drivers of Western Chimpanzee (Pan t. verus) density that are related to poaching are accessibility (i.e. reflected by protection afforded by guards) and hunting taboos (Heinicke et al., 2019). The principal drivers of the Cameroon-Nigerian Chimpanzee (Pan t. ellioti) poaching are human population growth within its range, easy access to arms, improved transport systems, and high financial incentives for supplying urban markets with bushmeat (Humle et al., 2016). The principal drivers of Central Chimpanzee (Pan t. troglodytes) density that are related to poaching -in descending order- are whether people actually eat chimpanzees locally, human impact index, the absence of guards, slope, and elevation (hunting is more difficult in mountainous terrain) (Strindberg et al., 2018). Finally, principal drivers of Eastern Chimpanzee (Pan t. schweinfurthii) poaching is the demand from people living in the logging and mining camps, where all wildlife is intensively hunted for meat. The camps are often guarded by militias which facilitates access to firearms (Plumptre et al., 2016), (Plumptre et al., 2021)). |
| Scientific Name | Common Name | Summary of Large-Scale Drivers of Hunting |
|----------------------|------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Panthera onca | Jaguar | The proliferation of extractive industries, such as logging and mining, which create opportunities to illegally hunt jaguars by bringing humans in contact with wildlife and/or making it easier to access wild areas. The ayahuasca tourism boom, which includes the use of Jaguar parts (Braczkowski et al., 2019). Chinese investment in Suriname may be increasing demand for jaguar products (Lemieux & Bruschi, 2019). |
| Procapra gutturosa | Mongolian gazelle, white-tailed gazelle | During World War II large numbers were killed by the state, who used the meat to provision soldiers. Between 1941 and 1945 100,000 gazelles were killed each year (Bannikov, 1954). |
| Equus kiang | Kiang | In recent years, the kiang in the Arjin Mountain Nature Reserve have become increasingly vulnerable to illegal hunting and habitat alteration as human populations in nearby areas have increased and as new roads have improved access. The Arjin Mountain Nature Reserve has witnessed a continuing influx of iron and asbestos miners from Qinghai Province to move into the reserve (Turghun et al., 2013). |
| Saiga tatarica | Saiga antelope | With the collapse of the Soviet Union, the strict hunting control system for saiga became dysfunctional and illegal hunting began to gain momentum (Milner-Gulland et al., 2001). |
| Pantholops hodgsonii | Chiru, Tibetan antelope | Gold prospecting and increases in modern weapons and motor transport. chirus are often killed by gold prospectors in China; 1000’s of prospectors may rapidly immigrate into an area if a strike is made (Wright & Kumar, 1997). |
| Ursus maritimus | Polar bear | The 1983 collapse of the sealskin market reduced Inuit hunter incomes at the same time as the price of imported goods was rapidly increasing and wage employment opportunities were limited. This resulted in inuit hunters deciding to use a portion of their polar bear quota for guided tourist hunts. This did not increase hunting, but altered its purpose (Freeman & Foote, 2009). |
### 4.4 Governance of wild meat hunting and use
#### 4.4.1 International conventions addressing wild meat hunting and use
International conventions are the most frequent platform for intergovernmental policy outcomes relating to curbing the illegal wildlife trade. In addition to the CMS, the UN Convention on Biological Diversity (CBD), the Convention on Trade in Endangered Species (CITES) and the UN Declaration on the Rights of Indigenous Peoples (UNDRIP) all have Decisions related to wild meat hunting and use. The following section describes these four main conventions and the relevant Decisions, building on Coad et al. (2019)\(^{12}\).
##### 22.214.171.124 The Convention on Migratory Species: Decisions relevant to wild meat taking, trade and consumption
At the 12th meeting of the Conference of the Parties of the Convention on Migratory Species (August 2017), a Meeting Document titled ‘Addressing Unsustainable Use of Terrestrial and Avian Wild Meat’ was published by the CMS, highlighting the increasing concern that decision makers, conservationists and human development agencies have regarding the increase in consumption and the unregulated trade of wild meat. This document outlines the main issues regarding wild meat use, and contains draft decisions, which were formalised as CMS Decision 13.109 on Addressing Unsustainable Use of Terrestrial and Avian Wild Meat of Migratory Species of Wild Animals. Decision 13.109 asks the Secretariat to prepare an analysis on the direct and indirect impacts of wild meat taking, trade and consumption of terrestrial and avian species listed on CMS Appendices I and II. The document also outlines the CMS provisions relevant to wild meat, namely:
- CMS lists species that are endangered on Appendix I (Article III), while Appendix II lists species that have an unfavourable conservation status and require an international agreement for their conservation and management or whose conservation status would significantly benefit
\(^{12}\) Further information on regional governance of wildmeat and voluntary intergovernmental and multi-stakeholder initiatives relevant to wild meat use in the tropics and sub-tropics is provided by Coad et al (2019).
from international cooperation (Article IV). With respect to Appendix I-listed species Parties are required to prohibit their taking (i.e. *taking, hunting, fishing capturing, harassing, deliberate killing, or attempting to engage in any such conduct*), except if one of four exceptions applies, including if the taking is to accommodate the needs of traditional subsistence users of such species (Article III, 5. c)). Furthermore, if a Party makes use of this exception, it shall, as soon as possible, inform the Secretariat accordingly (Article III, 7.).
- Appendix II-listed species should be protected through international agreements, which should, amongst others, *provide for measures based on sound ecological principles to control and manage the taking of the migratory species* (Article V, 5. j)). Since it is within the prerogative of the Parties to agreements or Signatories to Memoranda of Understanding (MOU) concluded for Appendix II-listed species to provide for measures to control and manage the taking of species, each agreement and MOU might differ on that point.
- In addition, Goal 1 of the Strategic Plan for Migratory Species (2015-2023) (Resolution 11.2), requests Parties to *Address the underlying causes of decline of migratory species by mainstreaming relevant conservation and sustainable use priorities across government and society*, while Target 6 provides that *Fisheries and hunting have no significant direct or indirect adverse impacts on migratory species, their habitats or their migration routes, and impacts of fisheries and hunting are within safe ecological limits*.
### 126.96.36.199 The Convention on Biological Diversity
The Convention on Biological Diversity has adopted several Decisions regarding the sustainable use of wild meat. In 2008 the CBD established a Liaison Group on Bushmeat. The Liaison Group provided recommendations for the sustainable use of wild meat which were adopted by the CBD COP 11 in 2012 (Decision XI/25), with further recommendations adopted by the CBD COP 12 in 2014 (Decision XII/18). In addition, the CBD Action Plan on Customary Sustainable Use (UNEP/CBD/COP/DEC/XII/12, B, Annex) was adopted in 2014.
During the World Forestry Congress in Durban (2015), the Center for International Forestry Research (CIFOR) presented a roadmap for securing wildlife and food security (Fa & Nasi, 2015). Subsequently, the Conference of the Parties (COP) to the Convention on Biological Diversity held their thirteenth meeting (CoP 13), in Cancun in 2016, and adopted a decision to elaborate technical guidance building on the roadmap presented in Durban (UNEP/CBD/COP/DEC/XIII/8) (CBD, 2016). This Decision encouraged “*Parties and other Governments, as well as relevant organizations, to consider and implement, as appropriate, the road map for better governance towards a more sustainable bushmeat sector, presented to the XIV World Forestry Congress in Durban, South Africa, in September 2015*”. It also requested that the Executive Secretary “further elaborate technical guidance for better governance towards a more sustainable bushmeat sector, with a view to supporting Parties’ implementation of the Strategic Plan for Biodiversity 2011-2020, building on the road map”.
This resulted in the publication of two guidance documents. Firstly, a “*Voluntary guidance for a sustainable wild meat sector: wild meat, food security, and livelihoods*”, which was published Annex to Decision XIV/7 on Sustainable wildlife management adopted at the 14th Meeting of Conference of the Parties to the Convention on Biological Diversity (Sharm El Sheikh, November 2018). A more comprehensive version of the guidance was then published as a joint CBD/CIFOR report: “*Towards a sustainable, participatory and inclusive wild meat sector*” (Coad et al., 2019). The report offers technical information on governance and management approaches to improve sustainability of wild meat use and food security in the long term.
#### 188.8.131.52 Convention on Trade in Endangered Species (CITES or Washington Convention)
CITES monitors and authorizes the international trade among its parties of all species listed in its appendices. The current CITES position on wild meat is explained in Resolution Conf. 13. 11 (Rev. CoP 18) and encourages Parties to implement CBD Decisions XI/25 and XII/18 where appropriate and take advantage of the *Voluntary guidance for a sustainable wild meat sector* found in the Annex to Decision XIV/7.
In 2016, the COP adopted Resolution Conf. 16.6 (Rev. CoP17) on ‘CITES and livelihoods’, recognizing that the implementation of CITES is better achieved when the national governments of the parties seek the engagement of rural communities, especially those traditionally dependent on CITES-listed species for their livelihoods.
The wild meat trade impacts many CITES-listed species (for example, elephants and gorilla species), but international trade for these species is generally for wildlife products (such as ivory, scales etc) rather than meat, which is mainly traded at a domestic level.
#### 184.108.40.206 The UN Declaration on the Rights of Indigenous Peoples (UNDRIP)
The UNDRIP, passed in 2007, elaborates on existing human rights standards and fundamental freedoms as they apply to the specific situation of indigenous peoples. Articles particularly relevant to wild meat management are Article 8 on preventing dispossession from territories,
Article 18 on the right to participate in decision making, Article 19 relating to free, prior and informed consent (FPIC) and Article 26 on the right to own, use, develop and control traditional territories.
4.4.2 National governance of wild meat hunting and use
With guidance on the sustainable governance and management of the wild meat sector recently created by the CBD, we do not seek to provide separate guidance on wildmeat governance and management in this report and refer readers to Coad et al. (2019).
In the following section we therefore provide a brief synopsis of the key issues surrounding national wild meat legislation and enforcement, drawing from Coad et al. (2019) with updates from the recent literature, a focus on issues concerning migratory species and case-study examples from CMS species. We then introduce the newly create Legal Hub Toolbox, a set of legal diagnostic tools and methodologies created by the EU Sustainable Management Programme to map and analyse relevant statutory legal frameworks and demonstrate the use of the toolbox using the Democratic Republic of Congo as a case-study.
220.127.116.11 Key issues surrounding the national regulation of wild meat hunting and use
While the international and regional resolve to sustainably manage wildlife resources is clear, ultimately it is national action that will lead to sustainable management of national resources. National laws and regulations governing wildlife meat hunting and wild meat use vary widely between nations, and this can be a particular challenge for the sustainable management and conservation of migratory species (Box 7). In many tropical countries, urgent reform of current hunting legislation is needed for sustainable management to occur (van Vliet et al., 2019). In these countries, hunting legislation can be very old (e.g., created in the 1960’s and 1970’s) and based on English or French law from the colonial era. These laws were originally drawn up for mainly sport hunting of temperate species and are therefore poorly suited for the regulation of subsistence hunting of tropical species.
For example, temperate species reproduce each year at a given time, and which is roughly synchronised for most birds and mammals. Therefore, European hunting laws usually defined a six-month closed hunting season to allow the various taxa to conceive, gestate, give birth, and bring up their young to independence. However, in the forested humid tropics, the typical game species - primates and ungulates, and some game birds - reproduction is much less predictable and a set six-month closed season is not biologically relevant. In the forested humid tropics, especially in Central Africa, many of these laws need revision. In particular, the closed hunting season is impossible for subsistence hunters to adhere to, and indeed has just been rescinded for three smallbodied, fat-reproducing species in Gabon (blue duiker, cane rat, and brush-tailed porcupine) (Government of Gabon, 2020).
In most countries the commercial sale of wild meat trade is illegal, or highly restricted subject to permits, and in some countries this illegality has pushed the sector to hidden channels, making the scale of the illegal trade in wild meat difficult to quantify. While many countries acknowledge and allow for legal subsistence hunting, subsistence hunting practices can still end up contravening hunting regulations (Sartoretto et al., 2017). For example, in Central Africa, Gabon and Congo recognize customary use rights for local communities, which cover the use of timber and non-timber forest products to meet subsistence needs. However, it is often unclear which general hunting restrictions (for example, restrictions concerning hunting methods, quotas, seasons, and sales of meat) also apply to subsistence hunters with these customary use rights. Applying for required hunting permits and licenses (which may require travel in major cities with associated costs) is also outside the capacities of many rural subsistence hunters (van Vliet et al., 2019). Additionally, contradictions in legislation can occur where newer legislation overlaps older legislation, creating confusion and legal loopholes and making enforcement challenging (Coad et al., 2019). As a result, regulations are largely unrespected. For example, van Vliet & Nasi (2008) showed in villages from north-east Gabon, that 30% of the animals were hunted using illegal methods, 34% were hunted in banned periods, and not a single hunter had a legal hunting permit.
Another key issue undermining the governance and management of hunting in many countries is the lack of land rights for local and indigenous peoples (Coad et al., 2019). For example, there has been almost no devolution of forest tenure rights in Africa where in 2013 national governments were found to still own 98% of forest land (Anderson & Mehta, 2013). Where local people have few rights over their wildlife, and have no power to exclude external hunters, there is little incentive for sustainable management (Kabiri & Child, 2014). Additionally, conflicts between national hunting laws and customary laws, even where national laws are unenforced, can erode the authority of local, traditional power structures, further weakening the local governance of wildlife resources (Walters et al., 2015).
Without legislation that allows local hunting of resilient species and community co-management of wildlife resources, many community and NGO projects aiming for sustainable hunting management find themselves acting outside of national hunting laws (Coad et al., 2019). This is likely to impede projects from achieving positive long-term impacts (Asare et al., 2013; Roe et al., 2009). Calls for revisions to national legislation to better regulate the wild meat trade to prevent the emergence and spread of novel zoonotic pathogens and future epidemics have also followed the outbreak of the Covid-19 pandemic (Borzée et al., 2020).
As part of their guidance to CBD Parties, Coad et al. (2019) recommend review and revision of existing hunting and wildlife trade legislation, looking in particular at:
- A rationalization of wildlife laws to focus on sustainability (for a 10+ year horizon) and to ensure that they are fit for purpose and can be properly applied enforced, with due consideration of both food security and conservation concerns.
- Development of guidelines distinguishing species that are resilient to hunting and those that are not, to orient offtakes to those species that can be hunted sustainably.
- Devolution of wildlife rights to local populations, with clear membership criteria, where appropriate, and in line with the Plan of Action on Customary Sustainable Use under the CBD and UNDRIP.
**Box 7: Governance challenges specific to migratory species**
Migratory animals present specific governance challenges because the pressures subjected to the species and their habitats, and the protections afforded to them through national hunting legislation, vary across their geographic range (Moreno-Zarate et al., 2021). The range of migratory species will often extend across different land use types and national and regional jurisdictions. This means that while they may be protected at one time of year or life stage, they may be vulnerable to hunting at others, and cannot be effectively conserved by protected landscapes or hunting laws that do not cover their entire migratory range. Setting sustainable harvest quotas in one jurisdiction for a species, which may also be harvested in other jurisdictions, is complex, and the monitoring of offtake levels and population abundance needed for sustainable management requires cooperation across countries, which is often lacking, but key to sustainable use (Dolman et al. 2021).
4.4.3 EU-SWM Legal Hub tools and methodologies for analysing legal and institutional frameworks
The Sustainable Wildlife Management (SWM) Programme is a 7-year initiative (2017-2024) of the Organisation of African, Caribbean and Pacific States (OACPS)\textsuperscript{13} implemented in 15 countries\textsuperscript{14} which aims at conserving biodiversity, whilst at the same time improving food security and livelihoods of the people who depend on these resources. To this purpose, the SWM Programme supports participatory and evidence-based processes to strengthen normative frameworks, statutory and customary, for enabling and supporting effective management and sustainable use of wildlife as well as sustainable food and agriculture production as a viable alternative to wildlife use.
As part of this work, a cross-sectoral review of legal frameworks that regulate different aspects of both wild and farmed meat and fish value chains in the SWM Programme partner countries has been carried out, with the support of national experts. These results are compiled into legal country profiles and further displayed on a Legal Hub section of the \textit{SWM Programme website}. To guide this process, a comprehensive set of legal diagnostic tools and methodologies were produced, namely for:
- Mapping the relevant statutory legal framework (\textit{Tool}). (\textit{Methodology}). This tool facilitates the identification of potential obstacles to legal certainty (ambiguities deriving from legislative drafting techniques, existence of obsolete normative texts, etc.).
- Reviewing domestication of relevant international instruments (\textit{T}), (\textit{M}). This tool helps to understand how State obligations arising from international agreements and conventions are reflected in the national legal framework. The tool currently focuses on six international instruments\textsuperscript{15}, including the Convention on the Conservation of Migratory Species of Wild Animals (CMS), but its conceptual framework can be adapted to other instruments, including regional and non-binding ones.
- Analyzing consistency across sectoral legislations and identifying potential gaps (\textit{T}), (\textit{M}). This tool provides a cross-sectoral analysis of the strengths and weaknesses of national legal framework applicable to wildlife management, ranging from land tenure to food safety, but also including hunting and fishing as well as animal production and animal health.
- Clarifying the relationships between statutory and customary law (\textit{T}), (\textit{M}). This tool aims at identifying, understanding and documenting the rights of indigenous peoples and local communities to land and associated natural resources, such as wildlife, as well as the multiple challenges associated with promoting the recognition of customary rights to support creation of synergies between statutory law and customary law.
- Identifying the barriers to implementation and/or enforcement of laws (\textit{T}), (\textit{M}). The tool helps identify the structural and conjunctural factors that explain the insufficient or lack of implementation and enforcement of certain legal instruments in a jurisdiction.
These tools can be adapted for use in any country to support national efforts to promote conservation and sustainable use of wildlife. For example, the tool for reviewing domestication of international instruments is currently used in Egypt, Mali, Senegal, Sudan and Chad in the framework of the RESSOURCE project\textsuperscript{16} to review the domestication of both the Ramsar Convention on Wetlands and the Agreement on the Conservation of African-Eurasian Migratory Waterbirds (AEWA). The results of these tools can help co-identify priorities for actions in terms of legal development/reform or capacity building for law application and enforcement adapted to each country. An example of the results offered by the joint use of these tools follows, using the Democratic Republic of Congo (DRC) as a case study. As part of this review, the level of domestication of CMS has been particularly highlighted.
\textsuperscript{13} Funded by the European Union with co-funding from the French Facility for Global Environment (FFEM) and the Agence Française de Développement (AFD). The SWM Programme is implemented by a consortium of partners led by the Food and Agriculture Organization (FAO) and including the French Agricultural Research Centre for International Development (CIRAD), the Center for International Forestry Research (CIFOR) and the Wildlife Conservation Society (WCS).
\textsuperscript{14} The SWM Programme is working in Botswana, Chad, Democratic Republic of the Congo, Egypt, Gabon, Guyana, Madagascar, Mali, Namibia, Papua New Guinea, Republic of the Congo, Senegal, Sudan, Zambia and Zimbabwe.
\textsuperscript{15} Convention on the Conservation of Migratory Species of Wild Animals (CMS); Convention on International Trade in Endangered Species of Wild Flora and Fauna (CITES); Convention on Wetlands of International Importance especially as Waterfowl Habitat (RAMSAR); Convention on Biological Diversity (CBD) and its two Protocols (Nagoya and Cartagena); Convention Concerning the Protection of the World Cultural and Natural Heritage (WHC); United Nations Convention Against Corruption (UNCAC).
\textsuperscript{16} The RESSOURCE project, namely «Renforcement d’expertise au sud du Sahara sur les oiseaux et leur utilisation rationnelle en faveur des communautés et de leur environnement», is a French Facility for Global Environment (FFEM) funded initiative supporting efforts to improve the sustainable use of natural resources, particularly waterbirds, in the wetlands of Egypt, Mali, Senegal, Sudan and Chad.
18.104.22.168 Assessment of normative framework in Democratic Republic of Congo (DRC), using the SWM Legal Hub Toolkit
**Legal and Institutional framework.** More than 200 normative texts\(^{17}\) have been gathered by SWM to inform a comprehensive legal analysis on sustainable wildlife management in the country, including regarding the production of alternative sources of proteins. The mapping of these texts highlighted structural as well as conjunctural concerns affecting both the wild meat and animal production value chains and related governance. These include the lack of clear distribution of responsibilities across the relevant administrative bodies, some of which date from the colonial period, as well as the obsolescence of several normative texts, some of which still include sanctions in currencies that are no longer in use.
**Consistency across sectoral legislations and potential gaps.** In the DRC, the main laws governing wildlife are Law No. 082-002 of May 28, 1982, regulating hunting and Law No. 14/003 of February 11, 2014, on nature conservation, together with the Land Law from 1973 and the Forestry Code from 2002. Important aspects for sustainable wildlife management are however not systematically covered. For example, while a comprehensive system of hunting permits with multiple categories is in place, the exact scope of each permit is not always clear, including regarding the right to hold, transport, and dispose of hunted game. Wildlife trade regulations also remain unclear at least to the extent to which it relates to wild meat. The opening and closing dates for hunting seasons are to be set by the provincial governors on an annual basis, yet the law provides no criteria to inform these decisions in a sustainable way. Finally, despite Constitutional recognition of collective ownership and customary land rights, sector specific legislation is not yet aligned with these principles. This negatively affects indigenous people and local communities (IPLO) access to natural resources and wildlife. However, the ongoing reform of these laws offers the opportunity to improve this situation.
**Customary law.** Customary law is recognized as an auxiliary source of law in the DRC Constitution insofar as it is not contrary to public order or morality. The Constitution provides for these same limits on the recognition of customary authority. A specific instrument – the Law No. 15/015 of 25 August 2015 « fixant le statut des chefs coutumiers » was promulgated in 2015 in accordance with Article 207 of the Constitution. Hence, customary law continues to govern the actions and behavior of most members of rural communities dependent on wildlife for food, land and other natural resources which sustain their livelihoods. At the same time, customary law is not harnessed to support implementation of statutory laws when it comes to access and use of wildlife resources.
**Barriers to implementation and/or enforcement of laws.** The main underlying factors identified during the field surveys conducted in the Okapi Wildlife Reserve in the Ituri Province where the SWM Program operates are the lack of human, technical and financial resources to enforce the laws. The poor knowledge both duty bearers and rights holders have of the relevant legal texts and the deriving rights and duties was also identified as a major challenge along with the gap between statutory law and local cultural and socio-economic context.
**Domestication of international instruments (with a focus on CMS).** There are no texts that deal specifically with the protection of migratory species and their habitats in DRC, but species listed in Appendix I and Appendix II of the CMS can be protected under the general biodiversity conservation regime organized by Law No. 14/003 of February 11, 2014, on nature conservation. Indeed, the protected species status under national law ensures protection for both species and habitats by prohibiting any taking (hunting, capture, fishing) and intentional disturbance (especially during reproduction and migration) of protected species, as well as any destruction of breeding sites, resting places or natural habitat where protected species live\(^{18}\).
This law also provides for the establishment of a list of species fully or partially protected, by a decree deliberated in the Council of Ministers (Article 13). However, the text has not been adopted yet and is currently under discussion. This process is led by the «Institut Congolais pour la Conservation de la Nature» (ICCN). Until its completion, the protection status of CMS species is defined by Ministerial Order No. 020/CAB/MIN/ECN-EF/2006 of May 20, 2006, which approves the list of protected animal species in the Democratic Republic of Congo (hereafter, the Order No. 020). However, this latter coexists with other lists previously established by hunting legislation\(^{19}\) which do not necessarily contain the same species. This situation is likely to create uncertainty as to the status of certain species and therefore their harvesting.
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\(^{17}\) For the purposes of the SWM Programme, this collection is mainly focused on the normative texts relating to the following areas: land tenure, land-use planning, forestry, wildlife, protected areas, hunting, fishing, as well as animal health and production (including aquaculture) and other relevant sectors, particularly food security and public health, among others.
\(^{18}\) Article 14, Law No. 14/003 of February 11, 2014, on nature conservation.
\(^{19}\) Appendixes of Law No. 082-002 of May 28, 1982, regulating hunting and Order n° 014/CAB/MIN/ENV/2004 of April 29, 2004, concerning the measures for the execution of the Law n° 82-002 of May 28, 1982 regulating hunting.
While the Order No. 020 list has not been updated since 2006, there is a general consistency between the level of protection granted by the CMS and the status granted by Order No. 020 in as far as terrestrial mammal species listed in Appendix I (endangered migratory species) are concerned. Yet some discrepancies have been reported for marine species and birds from the same Appendix. For example, some species present in the DRC do not have a protected status\(^{20}\) or have only a partially protected status\(^{21}\).
The protection and conservation of certain migratory species is also organized at the inter-regional level through more specific initiatives and agreements. Among those we can mention the Gorilla Agreement of 2007 concluded under the auspices of the CMS, for which the DRC had a leading role, and the Great Virunga Transboundary Collaboration Treaty on Wildlife Conservation and Tourism Development (GVTCT) of 2015 between the DRC, Rwanda, and Uganda, which aims at promoting the conservation of gorillas in transboundary protected areas.
### 4.4.4 Enforcement of national hunting laws
The most recent report by the International Consortium on Combating Wildlife Crime (ICCWC) (ICCWC, 2021) reports that “Exacerbated by poverty and facilitated by corruption, wildlife crime flourishes when detection rates and arrests are low, when penalties are weak and when prosecutions are rare”. Wildlife crime includes international and national trafficking of body parts and live animals; it may also be used for money-laundering (FATF, 2020).
Legislation can be irrelevant unless enforced, and the enforcement of hunting laws in many countries is often extremely weak (Gore et al., 2013). Lindsey et al. (2015) found that poor law enforcement was the most frequently cited driver of illegal wild meat hunting in savannah ecosystems. A review of 82 wildlife cases from the Northern Zone Anti-Poaching Unit, Arusha, Tanzania found that only 16% of these resulted in prosecution. Lindsey et al. (2015) also found that of the 64 suspects arrested for illegal hunting in the NG26 concession in northern Botswana over 30 months, none were convicted. Similarly, in a review of the illegal trade in orangutans as pets, Freund et al. (2017) found 145 cases of orangutans being illegally held between 2004-2014, but only one prosecution of orangutan trading in West Kalimantan; the authors suggest that weak law enforcement in the region remains the most significant challenge in addressing wildlife trade in general. There are many factors that can lead to weak law enforcement, including:
- **Perceived illegitimacy of hunting regulations.** When wildlife laws are seen as not reflecting the interests and concerns of hunters dependent on the resource for their livelihood security, and when they conflict with customary rules and norms, they can be perceived as illegitimate and ignored (Coad et al., 2019). As discussed in section 4.4.2, in many countries hunting legislation need revision and currently include rules that are impossible for subsistence hunters to adhere to (for instance long seasonal hunting closures). Wildlife, hunted for wild meat, is often perceived as a free resource to which access should not be regulated by the state. In many countries wildlife laws are not enforced, because enforcement officials (police, lawyers, judges) may be unwilling to punish people for hunting wildlife. Judiciary uncertainty over the legitimacy of wildlife protection has often led to the use of very low fines and penalties, leaving the potential revenues to be made from illegal hunting higher than the potential risks of breaking the law.
- **High levels of corruption/’rent seeking’.** The trade in wildlife products – even wild meat - can be a high-profit enterprise. This leaves (often low-paid) officials responsible for regulating trade in these species vulnerable to corruption (Zain, 2020). The United Nations Office on Drugs and Crime (UNODC) and the United Nations Environment Programme (UNEP) report corruption as a critical enabler of the illegal wildlife trade (UNODC, 2020). The Last Great Ape Organization (LAGA) recorded that “Bribing attempts are documented in 85% of our field arrest operations, and 80% of all court cases within the legal system” (LAGA, 2013). In some cases, government employees/officials are actively involved in illegal hunting or the wild meat trade (Lindsey et al., 2015; Stiles, 2011b; Stiles, 2011).
- **Low knowledge of wildlife laws by both law enforcement officials and the public.** For example, in a survey of 180 park officials in Okomu and Old Oyo National Parks, Nigeria, 34% could name one of Nigeria’s wildlife laws, and only 1.7% knew the correct fine for killing an elephant in the parks (Coker et al., 2020).
- **Low resources allocated to law enforcement.** In many countries, hunting law enforcement capacity (in terms of money, equipment, vehicles, and numbers of well-trained staff) is low (Harrison et al., 2016; Lindsey et al., 2015; Parry et al.,
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\(^{20}\) *Sousa teuszii*, *Hirundo atrocaerulea*, *Lepidochelys olivacea*, *Coracias garrulus*, *Ardeola idea*, *Pristis pectinata*, *Pristis pristis*
\(^{21}\) *Aquila nipalensis*, *Gyps africanus*, *Gyps coprotheres*, *Gyps rueppelli*, *Necrosyrtes monachus*, *Neophron percnopterus*, *Torgos tracheliotus*, *Carcharodon carcharias*, *Rhincodon typus*, *Falco naumanni*, *Falco vespertinus*
This may be due to wildlife crime being seen as a low priority by national governments, or due to a lack of funding.
Aside from the seizure data held in global trade databases, there is scant open-access information on the levels of enforcement and enforcement capacity and activity globally. National data does exist, such as those collected through the Spatial Monitoring and Enforcement Tool (SMART; https://smartconservationtools.org/), which records patrol data in real time using handheld tablet computers or smartphones. However, because these data are Government property (they are typically collected by law enforcement agents - wildlife rangers or “Ecoguards”) these data are not generally available to either civil society or to neighbouring countries’ wildlife authorities. To ensure that enforcement activity is not visible by wildlife traffickers or wildlife crime facilitators, this type of data is only analysed at the national level, and the resulting reports are available only within the relevant Ministries.
22.214.171.124 Enforcement of national legislation: examples for CMS species
We identified case-study examples of the impact of the enforcement of hunting legislation on CMS species populations from our literature review. Two themes emerge: One is that while CMS species may be protected under national and international laws and conventions, in many countries enforcement capacity and effort is low, and hunting therefore continues unabated. The second is that species populations that experienced sharp declines due to over-hunting have recovered after legal protection and enforcement of laws.
The following species provide examples of where enforcement efforts have succeeded:
- While hunting has caused significant population declines for Cuvier’s gazelle (*Gazella cuvieri*), better protection in reserves and stricter laws have led to a decrease in consumption of meat on a local scale in Algeria (IUCN, 2018a). Additionally, the species has been offered some protection in some areas of Morocco and Algeria as it has a ‘special status’ with the local communities and is therefore not hunted (Bounaceur et al., 2016; IUCN, 2018a). Unfortunately, since 2013, its stronghold in Tunisia (Chambi NP) has now been severely affected by military operations (IUCN, 2016).
- The Kapchagaj National Park population of black-tailed gazelle (*Gazella subgutturosa*) is protected from illegal hunting and has the highest population densities in Kazakhstan. Other populations in Kazakhstan have virtually no protection from illegal hunting and have suffered substantial losses, and as a result, they occur at very low densities (Blank et al., 2012).
- In Afghanistan, illegal hunting of urial (*Ovis vignei*) varies significantly between management regimes. The state managed Eastern Salt Range (ESR) covers 518km$^2$ and contains about 160 urial. Law enforcement is lacking, lamb captures are common and adult urials are illegally hunted. In comparison, the community managed Kalabagh Game Reserve (KGR) extends over 137km$^2$ and supports about 500 urials. Protection against illegal hunters is strictly enforced in the KGR, where urials have been protected for the last 70 years. Livestock grazing within the KGR is strictly prohibited in the core area of about 20km$^2$ with the greatest urial density, and only a few head of cattle and sheep are allowed in other parts within the reserve where urial occurs. Human access is limited to a few unpaved roads. Outside the KGR, in most of the Salt Range, most mature males were shot. When interviewed, local people noted that urial poaching occurs with the tacit accord of wildlife officials (Awan, 2006).
- In China, illegal hunting of argali (*Ovis ammon*) has been a substantial threat. In the mid-1990s however, a nationwide effort to confiscate illegal weapons substantially reduced the weaponry available for illegal hunting. This, together with continued efforts to publicize the national law prohibiting killing protected species, appears to have reduced illegal hunting during the last decade (Rosen, 2012).
- In 1993, the Chang Tang Wildlife Reserve in Tibet, China, was established to counteract high levels of illegal hunting of chiru (*Pantholops hodgsonii*). The 334,000 km$^2$ protects most of the surviving chiru populations. Many middlemen who transport chiru wool have been arrested by the Tibet Forest Department, thousands of chiru hides have been confiscated, and individuals who have illegally hunted chiru have been jailed. In mid-1996, China’s State Council issued an order that chiru protection be given high priority for protection. These actions are credited with a recovery of chiru populations (CITES, 2019a). However, although protected under the law, the vast area across which chiru are illegally hunted makes law enforcement challenging (Zhen, 1999).
- Creation of the Chang Tang and Seling Lake Nature Reserves in Tibet, China, and improved enforcement of illegal hunting of kiang (*Equus kiang*) in these reserves, is reported to have reduced illegal hunting and improved population numbers of kiang since the 1990s, so much so that in December of 2000, the Nyima County government filed a request to cull 4000 kiang annually, citing grazing competition with livestock and grassland degradation as the justification.
The request was denied (Tsering et al., 2013).
- For saiga antelope, the creation of the USSR brought with it a rapid recovery of populations thanks to border controls, the limitation of firearm possession by local people, the emptying of the steppe due to collectivization, and strong law enforcement. The breakdown of the USSR and resulting breakdown in enforcement of hunting regulations resulted in an explosion in hunting of saiga and population declines (Box 5.).
- Despite these examples, for most of the species reviewed in this report our review suggests that enforcement effort/capacity is not high enough to effectively enforce hunting laws and sustainably manage hunting activity. In some cases, the areas to patrol are so large that the number of available enforcement officers is inadequate to the task. For species such as elephants, the potential revenues to be made from wildlife products are higher than the potential risks of breaking the law (generally the chance of being fined or given prison time).
4.5 Zoonotic diseases and wild meat hunting and use
A zoonosis is any disease or infection that is naturally transmissible from vertebrate animals to humans (WHO, 2020). A total of 1,415 species of infectious organisms affecting humans have been described, of which 61% are zoonoses (Taylor et al., 2001). Examples of zoonotic diseases include Severe Acute Respiratory Syndrome (SARS), Ebola Virus Disease, Nipah, Human Immunodeficiency Virus infection and Acquired Immunodeficiency Syndrome (HIV/AIDS), human ‘mad cow disease’ (variant Creutzfeldt–Jakob disease, CJD) and West Nile fever.
Of the described species of infectious organisms, 175 are emerging, of which 75% are zoonotic (Taylor et al., 2001). An emergent disease is an “infectious disease whose incidence is increasing following its first introduction into a new host population” (Woolhouse & Dye, 2001). Rapidly increasing human population densities, social-economic and behavioural changes, a globalized economy, increased mobility, increasing encroachment into and modification of the natural environment, and ecological changes all increase the potential for emergent diseases (McMichael, 2005). The total number and diversity of zoonotic outbreaks, and richness of causal diseases increased significantly since 1980 even after controlling for disease surveillance, communications, geography and host availability (Smith et al., 2014).
Impacts can be global, as the rapid pandemic spread of COVID-19 or the 2009 H1N1 swine-flu clearly demonstrate. After the original zoonotic transmission, their viral pathogens caused diseases that then spread human to human and became pandemics. A pandemic is “an epidemic occurring over a very wide geographic area, crossing international boundaries, and usually affecting many people. The agent must be able to infect humans,
Box 8: Transmission of coronaviruses from bats to humans
SARS was first recognized at the end of February 2003 in Hanoi, Viet Nam, in a patient that had extensively travelled in Southeast Asia (WHO, 2003). In the same year, SARS spread to more than 30 countries across five continents (Guan et al., 2003). The coronavirus SARS-CoV-1 was identified as the causative agent (Drosten et al., 2003). The virus was traced back to a live-animal market in Guangdong, southwest China, where it appears to have jumped from traded Himalayan palm civets that tested positive for a virus highly similar (99.8%) to SARS-CoV-1. Evidence of virus infection was also detected in other animals including a raccoon dog and Chinese ferret badger and in humans working at the same market (Guan et al., 2003). Furthermore, 40% of animal traders and 20% of animal slaughterers had detectable serum antibodies, compared to only 5% of vegetable traders. Subsequently, genetically diversified CoVs related to SARS-CoV-1 were then found in diverse Chinese bat families, with a population of horseshoe bats at a site near Kunming city having the highest (96%) genetic similarity to SARS-CoV-1 as well as the genetic precursors for SARS-CoV-1 to emerge through recombination (Drexler et al., 2014; Hu et al., 2021; Lau et al., 2005; W. Li, 2005). The likely infection scenario is that horseshoe bats infected civets as intermediate and amplifying hosts, which then triggered the zoonotic spillover (Guan et al., 2003; Song et al., 2005). The 2003/4 pandemic infected 8096 people worldwide and killed 774 (9.5%) (Drexler et al., 2014).
SARS-CoV-2 is the causative agent for COVID-19 and the seventh known coronavirus affecting humans. Although COVID-19 was first detected officially at a Chinese market where live and dead animals were traded, epidemiological data indicate that some early cases were not related to wildlife markets and thus that it may not necessarily be the site of emergence (Frutos et al., 2020). The Wuhan Seafood market might have acted as an amplification chamber for the human-to-human spread. SARS-CoV-1 and SARS-CoV-2 genetically match closest to CoVs found in horseshoe bats making it likely that SARS-CoV-2 or its progenitor evolved in horseshoe bats with other mammals as plausible conduit for the transmission to humans (Boni et al., 2020; Hu et al., 2021; Zhou et al., 2020).
to cause disease in humans, and to spread easily from human to human” (Porta, 2014). Almost all recent pandemics have viral origin (Geoghegan et al., 2016; Jones et al., 2008).
4.5.1 Species most likely to harbour known zoonotic viruses
Overall, known zoonotic viruses are most abundant in domesticated species, primates, and bats (Johnson et al., 2020). Bats host a higher proportion of zoonoses than any other mammalian order (Olival et al., 2017); more than 200 viruses have been detected in bats, many of them causing zoonotic disease (Allocati et al., 2016). However, primates are disproportionate carriers of human disease: they constitute only 0.5% of vertebrate species but have contributed about 20% of major human diseases (Wolfe et al., 2007). Olival et al. (2017) noted that “the proportion of zoonotic viruses per species is predicted by phylogenetic relatedness to humans, host taxonomy and human population within a species range - which may reflect human-wildlife contact”.
The relative risk of disease emergence is highest for bats, followed by primates and then ungulates and rodents (Cleaveland et al., 2007). For example, coronaviruses including SARS-CoV-1 and SARS-CoV-2 likely originated in bats (Box 8). Because bats host many coronaviruses, which represent 31% of all viruses found in bats (Chen et al., 2014), and because they are remarkably resistant to viruses (Storm et al., 2018), the risk of emergence of a novel bat-CoV disease is high (Afelt et al., 2018). In a recent study in DRC and the Republic of Congo, *Eidolon helvum* (which is frequently hunted and sold in markets; see Box 3) was found to have the highest rate of coronavirus RNA positives (suggesting it poses a high zoonotic risk) amongst sampled bat species (24 genera, 49 species) (Kumakamba et al., 2021).
A typical example of a bat-transmitted zoonotic disease is Marburg virus disease. The reservoir host is *Rousettus aegyptiacus* (the Egyptian Rousette Fruit bat, a widely hunted CMS species; Box 3), which are hunted in West Africa for wild meat (Mickleburgh et al. 2009), with antibodies and viral DNA also found in other insectivorous and fruit bats (Amman et al., 2012; Swanepoel et al., 2007). Marburg virus (MARV) is transmitted to humans through contact with body fluids and dead bodies of infected animals. It causes severe, often fatal, haemorrhagic fever in humans and primates and is a prime example demonstrating that measures to control a disease by persecuting the host species can fail (Amman et al., 2014). After MARV infected gold miners in Southwest Uganda at the Kitaka mine, the miners exterminated the bat colony. However, the bat colony re-established itself albeit at a lower total size, and the re-established colony had a subsequently higher level of active infection than before the eradication.
Box 9: Zoonotic diseases present in Latin American CMS species
In America, Insectivorous bats such as *Lasiurus ega*, *Lasiurus blossevillii* and *Lasiurus borealis* are hosts for rabies (Albas et al., 2011; Whitaker & Douglas, 2006). *Lasiurus cinereus* is a natural host for *Leishmania* (Castro et al., 2020). *Bartonella* spp., *Neorickettsia risticii*, and *Rickettsia* sp. have been evidenced in *Tadarida brasiliensis* (Cicuttin et al., 2017).
Ungulates from the Southern hemisphere, moving across borders between Peru, Bolivia, Argentina and Chile also carry a certain number of diseases that are shared with humans. For example, *Echinococcus granulosus*, responsible for Cystic echinococcosis, has been evidenced in huemul from Chile (Hernández et al., 2019). *Mycobacterium Avium paratuberculosis*, an important pathogen of cattle and small ruminants, responsible for causing economic losses worldwide was also found in huemul (Llanos-Soto & González-Acuña, 2019). Vicuñas are hosts for *Leptospira icterohaemorrhagiae* and *Leptospira pomona* (Rosadio et al., 2012), as well as *Toxoplasma gondii* (Dávalos & Heckla, 2006). Vicuñas are also known hosts for gastrointestinal parasites, such as *Eimera* spp., and nematodes such as *Trichuris* spp, *Marshallagia* spp., *Lamanema chavezii* and *Fasciola hepatica* (Samamé et al., 2016). Geographic overlap between sheep, cattle and wild ungulate populations likely facilitates parasite spillover into wild animals, with shepherd or stray dogs and wild foxes potentially acting as bridging hosts between livestock and the endangered huemul and the vicuña.
Carnivores such as *Panthera onca* are known reservoirs for Leishmaniasis (Zarza et al., 2015), *Toxoplasma gondii* (Silva et al., 2016), *Leptospira* spp. and *Brucella abortus* (Onuma et al., 2015).
Efforts to understand the risks and prevalence of infectious diseases in CMS species have increased over the past decade but remain limited to a low number of individuals sampled or are based on animals kept in captivity. This is particularly true for the Polar Bear (*Ursus maritimus*), for which the prevalence of zoonoses has only been studied in captive animals not representative of the infectious risks facing wild populations (Fagre & Duncan, 2015).
Whilst several species (including gorillas and chimpanzees) can harbour ebolaviruses the natural reservoirs of this genus are likely to be bats (Malvy et al., 2019; Spengler et al., 2016). Antibodies to Ebola virus have been detected in eight species of frugivorous bats, including CMS species the Straw-Coloured Fruit bat (*Eidolon helvum*) and the Egyptian rousette fruit bat (*Rousettus aegyptiacus*). Recent analysis of Ebola virus antibodies in fruit bats from DRC collected during the Ebola outbreaks in the Equateur and North Kivu provinces showed that over 10% of bats sampled contained antibodies (Lacroix et al., 2021). The highest number of antibodies were found in Eidolon helvum (which is heavily hunted and often sold in market; Box 3), for which researchers estimate that up to 34% of individual bats could have been infected with Ebola, and which is the most hunted bat species for wild meat in Africa.
In addition to the direct bat-to-human pathway of some viruses such as in the case of MARV, there are indirect pathways involving intermediate hosts, which makes the detection of the virus origin more difficult. An example is the Nipah virus, which spilled over in 1998 from fruit bats to pigs, and then from pigs to farm workers in Malaysia, causing 265 cases of encephalitis and 105 deaths (Chua, 2000). Since then, it has spread in Southeast Asia, especially to Bangladesh where spillover events now occur regularly (Gurley et al., 2017). In Bangladesh, the Nipah virus is indirectly transmitted from infected *Pteropus* fruit bats to humans when humans drink palm sap that has been contaminated by the fruit bats via pots used to collect the sap (Epstein et al. 2020).
Among the 105 CMS species reviewed here, data from Johnson et al. (2020) suggests that 54 species were known to host at least one of 60 pathogens that have been, or have the potential to be, transmitted to humans and cause disease. The average number of zoonotic viruses per species is smaller in the bat species covered by this review than in Proboscidea, Primates, Perissodactyla and Carnivora (Table 6; Appendix 4). However, bat species constitute half of the top 10 species with the highest number of reported zoonotic viruses for the 105 surveyed species (Table 7).
### 4.5.2 Linkages between wild meat hunting and zoonotic disease risks
Transmission of zoonotic pathogens from animals to humans occurs through direct human–animal contact (such as Brucellosis, rabies, influenza, and Hantaviruses), arthropod vectors (vector-born diseases such as Lyme disease, West Nile virus (WNV), plague), environmentally mediated zoonoses (such as Anthrax, Echinococcosis, Leptospirosis, that can persist on the ground), or through ingestion of contaminated food or water (enteric
zoonoses such as Salmonellosis, Campylobacter, and Giardia infections). Wild animals used for food are major reservoirs for many foodborne pathogens or direct contact zoonotic diseases (Hilderink & de Winter, 2021).
There is strong evidence that zoonotic disease emergence is linked to human activities which bring wildlife, domestic animals and humans into increasingly intense contact. This includes destruction and degradation of natural areas (Allen et al., 2017), intensive livestock rearing (Han et al., 2016), and hunting, trade and consumption of wildlife (Swift et al., 2007). A meta-analysis of publications on the effect of anthropogenic land use change on infectious disease dynamics revealed that 57% of studies documented increased pathogen transmission, 10% decreased pathogen transmission, 30% demonstrated complex pathogen responses and 2% showed no detectable changes (Gottdenker et al., 2014).
The opportunities for zoonotic spill-over have increased in parallel with the increase of the intensity and extent of wild meat hunting, consumption and trade over the last decades (Karesh & Noble, 2009). Encroachment into remaining intact forests from road building, and forestry and mining concessions have increased zoonotic risks by bringing humans in contact with hitherto undisturbed host and pathogen populations, and by increasing the levels of wild meat hunting and trade due to the immigration of concession workers and their families who have cash incomes and few other dietary options (Auzel & Wilkie, 2000; Poulsen et al., 2009).
On one hand, there are individual hazards of zoonotic diseases that are mostly restricted to hunters and users of wild meat but without a direct health risk for the broader society. For example, the spill-over risk from helminths or bacteria is generally local, possibly affecting hunters and consumers (Kurpiers et al., 2016). One of the oldest known zoonotic diseases is anthrax, caused by the spore-forming bacterium *Bacillus anthracis*, which infects ruminants worldwide (de Vos & Bryden, 1996; Dragon et al., 1996; Lindeque & Turnbull, 1994). Muoria et al. (2007) recorded an outbreak of anthrax in Grey’s Zebra (*Equus grevyi*) in the Wamba area of southern Samburu, Kenya, during which more than 50 animals succumbed to the disease. Other species, including humans and primates, can be infected through direct contact, inhaling spores or by consuming meat from infected animals (Leendertz et al., 2004; Sirisanthana & Brown, 2002). Use of contaminated carcasses and animal skins is the principal zoonotic risk (Beatty et al., 2003; Hang’ombe et al., 2012), but the disease is not transmitted from human to human.
On the other hand, there are public health hazards of zoonotic diseases that carry extremely low chances of occurring yet exceptionally high global consequences when they do occur. Wild meat hunting and consumption are known to be the direct and causative behaviours for the spill-over of Monkeypox virus, SARS-CoV-1, Sudan virus and Ebola virus, into humans with subsequent human-to-human transmission (Loh et al., 2015). Based on a ranking of the number of zoonotic disease events since 1940, these four viruses placed wild meat in ninth place out of eleven primary drivers of zoonotic disease events, alongside breakdown of public health services (Loh et al., 2015). Three of the four events involved non-human primates (including chimpanzees), highlighting their importance as reservoirs for zoonotic diseases. All five human Ebola disease outbreaks during 2001–2003 in the forest zone between Gabon and Republic of Congo began after humans handled the carcasses of gorillas, chimpanzees, and duikers (Rouquet et al., 2005). Risks of zoonotic transfer between humans and wildlife can go both ways, and great ape species are highly susceptible to Ebola virus. The 2003 outbreak of Ebola virus disease in the Republic of Congo killed 114 people and up to 800 western lowland gorillas (*Gorilla gorilla gorilla*). (Rizkalla et al., 2007) used an epidemiological model to investigate the combined effects of Ebola and hunting on persistence of gorillas and predicted that under current harvest practices and the estimated annual outbreak rate, western lowland gorilla populations could undergo a 97% decline within 100 years.
Another important zoonotic disease derived from nonhuman primates is HIV which causes AIDS. AIDS was first recognized as a disease in 1981 (Barré-Sinoussi et al., 1983), although HIV originated sometime near the beginning of the twentieth century as indicated by molecular genetic data (Worobey et al., 2008). To account for HIV’s genetic diversity at least 12 zoonotic transmission events must have occurred, four to account for the diversity of the HIV-1 lineage derived from chimpanzees (Plantier et al., 2009) and eight to account for the diversity of the HIV-2 lineage derived from Sooty mangabey (*Cercocebus atys*) (van Heuverswyn & Peeters, 2007), indicating that spill-over events constitute an ongoing, dynamic process and that new zoonotic transfers are real possibilities. Although the exact circumstances of each spill-over event remain unknown, hunting and butchering of primate wild meat is the most parsimonious explanation (Hahn, 2000; van Heuverswyn & Peeters, 2007). By the year 2020, it is estimated that between 55.9 and 100 million people have become infected with HIV and that between 24.8 and 42.2 million people have died from AIDS-related illnesses since the start of the pandemic (UNAIDS, 2020).
### 4.5.3 The trade in wild meat and risks of zoonotic spillovers
The practices and conditions of urban wildlife trade present a continuing high risk of novel virus spillover. In commercial markets selling both live and freshly butchered animals for human consumption, the combination of high wildlife volumes, taxonomic diversity, crammed and
stressful conditions for the captive wildlife, taxa with high risk for zoonoses, poor biosafety and close contact between wildlife, domestic animals and humans contribute to a high potential for pathogen transmission (Magouras et al., 2020). Often, live wild animals and domestic animals are housed alongside each other, with domestic animals also implicated in the transmission of zoonotic disease such as in the case of the H7N9 Influenza outbreak (Li et al., 2014; Yu et al., 2014). Turn-over of live and dead animals is enormous. For example, after the outbreak of SARS in November 2002 more than 800,000 animals were confiscated from the markets in China’s southern province of Guangdong, where SARS originated, up to April 2003 (BBC, 2003).
The potential effect of trading activities along the market chain is demonstrated by a study on the prevalence of SARS-CoV in civets, the likely intermediate host responsible for the initial zoonotic SARS-CoV spill-over. Whilst civets on farms were largely free from SARS-CoV infection, the prevalence in one animal market in Guangzhou, China, was ~80% (Tu et al., 2004). Another study demonstrated that the transmission risk increases along wildlife supply chains for human consumption in Viet Nam (Huong et al., 2020); for field rats, the odds of coronavirus RNA detection significantly increased along the supply chain from animals sold by traders by a factor of 2.2 for animals sold in large markets and by a factor of 10.0 for animals sold and served in restaurants. Exposure and spillover are more likely when animals are transported and packed tightly in crowded conditions, are housed in crowded conditions (as in wildlife farms) and are transported and marketed close to other species of wildlife and domesticated animals (Huong et al., 2020).
Taxa sold as wild meat in restaurants, roadside stalls and markets in Malaysia potentially contain 51 zoonotic pathogens (16 viruses, 19 bacteria and 16 parasites), highlighting the extent of the problem (Cantlay et al., 2017). All samples from illegally imported African wild meat confiscated over an 18-day period in 2008 (18 separate consignments) at Paris Charles de Gaulle airport had viable counts of bacteria above levels considered safe for human consumption, (despite 80% of the bushmeat being smoked) including the pathogens Staphylococcus aureus and Listeria monocytogenes, which are associated with food-borne illnesses (Chaber & Cunningham, 2015). Trade of West African rodents to the United States triggered a local outbreak of monkeypox in prairie dogs and eventually the zoonotic transmission to humans (Reed et al., 2004). In a survey of blood samples taken from 573 monkeys sold as wild meat in a Cameroonian market 18.4% contained Simian immunodeficiency virus (SIV) antibodies in 13 primate species (Peeters et al., 2002).
The ongoing COVID-19 pandemic has led to calls for bans on wildlife trade from conservation NGOs on public health grounds, including bans on commercial trade in wildlife for human consumption and the closure of freshly butchered meat/live animal markets. China has committed to a crackdown on the illegal wildlife trade and has banned the consumption of terrestrial wild animals for food (McNamara et al., 2020). However, these responses must consider the impact of market closures on the livelihoods of many citizens in the global south, as well as the efficacy of such bans on reducing wild meat trade and consumption. As described in the introduction to this report, for some rural communities the wild meat trade provides a key source of income, and trade bans could have livelihood impacts on these communities. Previous market bans in response to the Ebola outbreak in West Africa seemed to have little impact on the trade in wild meat, which was simply pushed underground (Bonwitt et al., 2018; Duonamou et al., 2020; Friant et al., 2015). Doubts of the efficacy of market bans exist for other species and countries. For example, Booth et al. (2020) report the continuation of illegal trade in manta rays in Indonesia, following prohibition of their hunting and trade in 2014. Challenger et al. (2015) review the continuing (and often highly profitable) illegal trade in many CITES Appendix I listed species around the world, and highlight that increased profitability from inflated black market prices can incentivise or even exacerbate illegal hunting and attract the engagement of organised criminality.
Several authors suggest that more nuanced solutions, rather than broad bans, could be necessary. MacNamara et al. suggest that rather than banning wild meat trade, solutions should be found in the formation of proactive management policies for wild meat hunting and trade which seek to reduce reliance on wildlife hunting and trade, while also supporting sustainable economic development at the national level, providing alternative economic opportunities. Wikramanayake et al. (2021) suggest that prohibitions of high disease-risk wildlife sales could be preferable to broad bans, combined with monitoring of wildlife trade chains to identify high-risk points on the chain and manage these appropriately. Nadimpalli & Pickering (2020) note that improved wet market infrastructure is urgently needed, particularly in low-resource settings. They advocate for the installation of handwashing facilities and toilets, adequate drainage, separating live animals from meat and produce, and implementing protocols for cleaning food and slaughtering animals, to reduce pathogen transmission and exposure, and note the success of these approaches in Hong Kong markets following the 2004 influenza A H5N1 epidemic. Petrikova et al. (2020) suggest that a focus on ‘wet markets’ disregards the impact of intensive domestic livestock rearing on land use change and zoonotic disease emergence, and advocate for a global reduction in all meat products, with a switch to small-scale animal husbandry, to reduce the risk of further pandemics.
Table 6: Average number of potential zoonotic viruses per CMS terrestrial mammalian species, by order. Calculated from data provided in Johnson et al. (2020).
| Order | Average Number of Reported Zoonotic Viruses per Species | Number of Species |
|----------------|--------------------------------------------------------|-------------------|
| Proboscidea | 3.7 | 3 |
| Primates | 2.6 | 5 |
| Perissodactyla | 2 | 5 |
| Carnivora | 1.6 | 8 |
| Chiroptera | 1.1 | 57 |
| Artiodactyla | 0.8 | 27 |
Table 7: Top 10 species with the highest number of reported potential zoonotic viruses. Calculated from data provided in Johnson et al. (2020).
| Order | Scientific Name | Common Name | Number of Reported Zoonotic Viruses |
|----------------|----------------------------------|---------------------------|-------------------------------------|
| Chiroptera | *Miniopterus schreibersii* | Schreibers' bent-winged bat | 8 |
| Chiroptera | *Rhinolophus ferrumequinum* | Greater horseshoe bat | 8 |
| Primates | *Pan troglodytes* | Chimpanzee | 7 |
| Perissodactyla | *Equus africanus* | African wild ass | 7 |
| Chiroptera | *Nyctalus noctule* | Noctule bat | 6 |
| Carnivora | *Panthera leo* | Lion | 5 |
| Chiroptera | *Rousettus aegyptiacus* | Egyptian fruit bat | 5 |
| Proboscidea | *Loxodonta Africana* | African elephant | 4 |
| Artiodactyla | *Cervus elaphus barbarus* | Barbary deer | 4 |
| Chiroptera | *Eptesicus serotinus* | Serotine bat | 4 |
Table 8: Top 10 reported zoonotic viruses for the 105 CMS terrestrial mammal species. For the 105 species studied here, Appendix 4 provides information on the number and type of zoonotic viruses associated with each species. Calculated from data provided in Johnson et al. (2020).
| Zoonotic Virus | Number of Species |
|--------------------------------------|-------------------|
| European bat lyssavirus type 1 | 15 |
| Foot and Mouth Disease | 15 |
| Rabies | 9 |
| European bat lyssavirus type 2 | 8 |
| Rift Valley fever\(^{22}\) | 7 |
| Cowpox\(^{23}\) | 6 |
| Issyk-Kul | 5 |
| Bhanja | 4 |
| Encephalomyocarditis | 4 |
| Japanese encephalitis | 4 |
---
\(^{22}\) Rift Valley Fever poses little hazard to most humans. Less than 8% of people infected with this virus from livestock manifest acute morbidity.
\(^{23}\) Cowpox typically causes cutaneous pustules that resolve relatively quickly.
5 Discussion
This report has analysed the use and impacts of wild meat hunting on CMS species, and the laws and regulations governing this use. Here we review our methodology, summarise our general findings and provide recommendations for further research.
5.1 Limitations of our study
This report presents results that are limited in scope and results should only be interpreted considering the limitations of our methodology.
- Our species review was a rapid review, conducted within a limited timeframe (February – May 2021). We therefore used Google Scholar with pre-defined search terms to identify up to 15 publications per species from the first 20 pages of results. For most species, fewer than 15 publications were found, suggesting that our upper publication limit was not limiting the amount of information that could be found using this method. However, for the other species, we only provide a snapshot of the available literature. More time to contact key researchers for each species would unearth more publications, especially unpublished reports, that may contain further information on hunting, and greatly improve the detail and breadth of the information presented in this rapid review.
- The rapid nature of our review also limited us to a simple analysis of the presence/absence of the species reviewed in available trade databases. We provide suggestions for more in-depth analysis of the international trade in migratory species in the following discussion.
- Our analysis of zoonotic diseases associated with CMS species is restricted to viruses. Bacteria and other pathogens such as internal and external parasites are not considered here, apart from in the broader literature review. However, effects of diseases caused by these pathogens are, in contrast to many viruses, normally limited to people that directly hunt or handle wild meat, as opposed to subsequent onward transmission through human communities.
5.2 Impacts of hunting on CMS species: significant impacts are documented, but current, systematic assessment is lacking
Our analysis of the IUCN Red List Assessment data, combined with our systematic literature review, found ample evidence that - excluding bat species - nearly all the species that we reviewed are hunted, and nearly all these species are threatened by hunting. Impacts of hunting for wild meat are especially evident for ungulate and primate species. While there was enough available evidence for us to draw these conclusions, this was because many population declines were extreme where hunting was known by experts to be a key driver of declines.
The review found a significant lack of systematically collected or collated data on hunting offtakes and species populations, especially outside of protected area landscapes. Generally, hunting data has been collected at small scales both geographically and temporally: individual market surveys, surveys of hunting offtakes for several villages, perception surveys over several communities etc. While these surveys provide useful snapshots of species offtakes and use, they provide very context-specific insights, and taken individually cannot provide an overview of hunting pressure for a species, especially for species with large ranges. Exceptions to this rule are the elephant species, where the MIKE programme has set up a systematic monitoring programme over a wide range of sites across Africa and Asia, to monitor the illegal killing of elephants (Box 1), and the Snow Leopard Crime Database. For marine species, the International Whaling Commission has set up a systematic monitoring programme across the worlds’ oceans. However, this system does not exist for any other species that we know of.
The WILDMEAT database (www.wildmeat.org) has been set up in response to the general problem of a lack of information on wild meat use. The database holds data that has been collected on hunting offtakes, market sales, and consumption in a standardised format, and allows data from across different sites and studies to be combined and compared, to provide a holistic understanding of the volumes, characteristics, and correlates of wild meat use across space and time. However, while scheduled to become open access in late 2021, the database is currently limited to Central Africa and South America and can only hold data from studies that have used a systematic survey approach and where survey effort is quantified. Nevertheless, modelling numerous single-site datasets on wild meat offtakes could help to understand more fully the levels of hunting pressure that some species are under.
To assess hunting impacts on a species, species population numbers and trends must also be known. The IUCN Red List of Threatened Species provides expert assessment, using the best available information, for most CMS species. We note that the IUCN Red List of Threatened Species can be several years out of date for some species, as they tend to be assessed every ten years. For example, most of the ungulates were assessed in 2015-2016, and some of the great apes (such as Grauer’s and Cross River Gorillas) in 2016. The Red List assessment can only be as solid as the population and threat data underpinning it. Assessing population abundance and trends can be very difficult for migratory species, those with large home ranges or cryptic species, as effective monitoring systems in one area can be offset by a lack of information in others. This situation should
begin to improve as monitoring techniques become more sophisticated and automated. The Living Planet index (https://livingplanetindex.org/) collates and provides access to species population data from across the globe. Camera-trapping has become more cost-effective and accessible and can now be used to estimate actual abundance and distribution of species. Projects such as Wildlife Insights (https://www.wildlifeinsights.org/) are working to collate and standardise camera-trapping data across the globe, to enable it to be analysed effectively. Such advances should help IUCN, CMS and other institutions to build a better picture of species population numbers and trends for migratory species.
Linking hunting offtakes for wild meat use to trends in population abundance requires that other drivers of population decline aside from wild meat use (for example, other hunting uses such as trophies and skins, and other drivers of population declines such as land-use change) are accounted for. Realistically most species have multiple uses and are exposed to several different threats, and it will not always be possible to untangle the impacts of each use and threat. These authors would caution in this case to not ‘let the best become the enemy of the good’.
Our interrogation of the IUCN Red List and our literature review suggests that, apart from a few fruit bat species, bats are not often used as wild meat. However, wild meat hunting surveys can fail to record bat species to species level, often recording offtakes as ‘bats’ or to the genus level (i.e., ‘fruit bat’ (Pteropodidae)) (pers. obs. Coad, van Vliet and Ingram). In addition, these authors (Coad, van Vliet and Ingram) have observed bats being killed by young people in villages as a pastime/practice for future hunting, and our review found evidence of bats being killed as perceived pests (Barquez et al., 2015; Frantz & Laniewicz, 2000; Gazaryan et al., 2020; Korine, 2016; Rabou, 2019). These types of killings are not often recorded in hunting offtake studies. The lack of information on bat hunting could either be because they are infrequently hunted, or that their hunting is being greatly under-reported. Half of CMS terrestrial mammal species are bats, and bats are key reservoirs of zoonotic diseases, therefore this issue warrants further investigation.
Where CMS species are consumed or traded as wild meat, our interrogation of the IUCN Red List data suggests that wild meat consumption is generally local or national with very little international trade. This agrees with the general consensus that wild meat is mainly traded nationally, although there has been little recent research into international trade volumes (Ingram et al. 2021). While tracking national use and trade is the most urgent priority, international wildlife trade databases should be interrogated further to try and quantify the amounts of wild meat that are being traded legal and illegally internationally, as well as identifying the type of wildlife products that wild meat accompanies (i.e. is elephant meat being trafficked alongside ivory?). While the CITES trade database provides a crucial tool for the regulation of international wildlife trade, many countries are very behind on submission of trade information to the database, and only a few include shipments that were seized or confiscated; most CITES Parties only report legal trade. As such, trade is significantly under-reported, even for those countries that are up to date on their submissions. We would therefore suggest a wider analysis of available illegal trade databases, while heeding the advice of Challenger et al. (2021) on how to avoid their misuse. This was out of the scope of this rapid assessment but would be a useful and feasible follow-up analysis.
In summary, an overall lack of comparable and collatable data on wildlife populations and hunting offtakes makes the tracking of hunting offtakes over time, and the scientific analysis of impacts of offtakes on species populations almost impossible. This, in turn, significantly impedes efforts for sustainable and adaptive management of hunted populations, and is especially an issue for migratory species, whose ranges may span areas with varying levels of monitoring effort. We would advocate for the systematic and collaborative collection, collation and analysis of hunting and species population data at a national level, preferably collected and collated using internationally agreed standards, as a priority for international and national efforts to sustainably manage migratory species and wildlife in general.
5.3 Large-scale drivers of hunting: poverty, conflict, and land use change
Our investigation of large-scale drivers of hunting highlighted the impact of political upheaval. Many publications emphasized the impact of civil conflict and wars, due to increased reliance on wild meat for food and income for local communities, use of wildlife by armed groups, proliferation of firearms and breakdown of law enforcement. Migratory species are more at risk from civil conflicts, due to their movement across political boundaries, increasing the chance that they will move through conflict zones. Our review also highlighted the combined impact of hunting with other threats, such as land use change or disease. Examples included land use change from agriculture and mining, where the road networks and immigration created by land use concessions increased access to species, and demand for, and the ability to pay for, wildlife products, and the case of saiga antelopes, where populations already weakened by hunting were driven to local extinction by disease outbreaks. These results highlight that managing for local-scale drivers of wild meat hunting (for example, a communities need for food and income) may fail if the wider context (for example civil conflict, which increases access to high-calibre weapons and facilitates illegal hunting by organised militia) is not considered.
5.4 Hunting governance: the need for review, revision and effective enforcement of hunting legislation
In many tropical countries, urgent reform of national hunting legislation is needed for sustainable management to occur. While reviews such as Sartoretto et al. (2017), van Vliet et al. (2019) and (Coad et al., 2019) provide case-studies of hunting legislation for a few (mainly tropical) countries, a large-scale, systematic analysis of national hunting legislation has not yet been conducted, and we would highlight this as a research priority. This would allow for an understanding of the range of legislative and management approaches taken globally and highlight key issues and gaps in hunting legislation that need to be resolved to support sustainable management of wildlife. This analysis would also support efforts to manage hunting at a regional level, identifying legislative differences and similarities within a wider landscape. This is especially pertinent for the management of migratory species (Box 7). Projects such as Legal Atlas (https://www.legal-atlas.com/), the FAO FAOLex database (http://www.fao.org/faolex) and the EU SWM Legal Hub have created repositories for national policies and legislation related to natural resource management, making legislative documents more accessible to researchers and policy makers. In addition, tools and methodologies provided by the EU SWM Legal Hub now provide a standardised way of analysing these documents.
Although not the focus of this report, we described two examples of sustainable use initiatives for two migratory species in Box 6 (vicuña and polar bear). Sustainable use initiatives may, in some instances, provide avenues for the conservation of migratory species listed in CMS Appendix 2, while acknowledging the cultural identity and livelihood needs of wildlife users. However, there are pre-requisite conditions that must be in place for community-based management to succeed. In this report we identify a few of key pre-requisites, including the devolution of land and management rights to local communities, and support for these communities in excluding external commercial hunters from their lands. Voluntary guidance for the governance of a sustainable wild meat sector has been provided by the CBD as an Annex to Decision XIV/7, and as a more in-depth published report (Coad et al. 2019), and we direct readers to these two guidance documents for further discussion of the community-based management of wild meat resources.
At an international level, Coad et al. (2019) suggest that there is a clear demand enshrined in the intergovernmental conventions for sustainable use of wildlife. However, they also highlight that Convention secretariats have not yet adopted technical standards for measuring sustainability in wildlife harvests, methods for moving toward improved sustainability, or standard indicators for measuring wild meat hunting and use over time. While export quotas are set for international trade in CITES species (either by Parties to CITES or by the CITES CoP), offtakes for domestic use (including for consumption) may be overlooked when sustainable offtakes for international trade are calculated. A lack of data on hunting offtakes for domestic use, as highlighted by this report, could well lead to quotas for international use being set too high. The lack of international standards or guidance leaves these decisions to be made at a national level, which can lead to inaction or to varying methods and indicators between nations, and we would again highlight this as a priority for the Conventions.
5.5 Wild meat hunting and zoonotic disease transmission
The COVID-19 pandemic reminds us poignantly about the possible consequences of spill-over events of diseases from wildlife, including CMS species. Our review shows that the relative risk of disease emergence is highest for bats and primates, and several severe zoonotic disease outbreaks have been linked to these species. Wild meat hunting, consumption and trade brings humans into contact with high-risk species and are known to be the direct and causative behaviours for the spill-over of Monkeypox virus, SARS-CoV-1, Sudan virus and Ebola virus. Conditions in wild meat markets and along the wild meat trade chain can heighten the risk of disease spillover unless properly regulated.
Although there is now a considerable body of research - spearheaded by PREDICT (a project of USAID’s Emerging Pandemic Threats (EPT) program) - that has identified potential human pathogens in wild animal hosts, there is still little understanding of how frequently spillover happens from wildlife hosts to humans. Understanding more about the spillover risks associated with wild meat use and trade, and the factors that might increase or decrease these risks, must be an immediate priority for wild meat research. This should include investment in serological studies that assess the prevalence of antibodies in different actors involved in the wildmeat and domestic meat trade to disease agents in host species traded as food, to identify key point in the commodity chain where risks occur. This knowledge should then be applied to design national and international standards for the legal wildlife trade to reduce the risks of zoonotic disease spillover. Support to market traders to ensure that they adopt good hygiene practices, targeted regulation of taxa with a high disease risk, plus strict enforcement of protected species regulations, is required both from a public health and a conservation standpoint.
5.6 Conclusions
Migratory species are being heavily impacted by hunting for wild meat and for a range of other consumptive
uses including for skins, trophies, medicine and due to human-wildlife conflict. Our capacity to monitor and sustainably manage these species is woefully lacking. This review highlights the need for systematic national and international efforts for monitoring hunting offtakes and populations of species (including a better understanding of national and international trade chains and volumes), the review and revision of national hunting legislation and its effective enforcement, the creation of international standards for measuring and monitoring sustainability, and the design of informed policies to reduce the risks of zoonotic disease transmission from wild meat hunting, consumption and trade. The CMS can play a key role, in collaboration with other key Conventions such as the CBD and CITES, in creating international standards and tools and providing technical support to national governments.
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7. Appendices
Appendix 1: List of searches conducted for each species and associated search terms
This is provided in the attached Access database (CMS_Literature_review), in the table called ‘Appendix_1_Searches’.
Appendix 2: List of references for each species, with associated data on hunting uses, offtakes, impacts and drivers
This is provided in the attached Access database (CMS_Literature_review), in the table called ‘Appendix_2_References’.
Appendix 3: Summary of finding from literature review, for each species
This is provided in the attached Access database (CMS_Literature_review), in the table called ‘Appendix_3_Summary’, and below as a Word document table.
Appendix 4: Zoonotic diseases associated with each CMS species
This is provided in the attached Access database (CMS_Literature_review), in the table called ‘Appendix_4_Zoonoses’.
The appendices are available from the CMS Secretariat and the authors upon request.
CMS Secretariat
UN Campus
Platz der Vereinten Nationen 1
D-53113 Bonn
Germany
Tel: (+49) 228 815 24 01/02
Fax: (+49) 228 815 24 49
E-mail: [email protected]
www.cms.int
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PLUMSTED TOWNSHIP BOARD OF EDUCATION REGULAR MEETING
April 24, 2013
6:30 p.m. Executive Session
7:30 p.m. Anticipated Public Session
NEW EGYPT HIGH SCHOOL
MISSION STATEMENT
The educational programs of the New Egypt Schools shall foster high expectations, in academics and behavior, giving attention to all students' individual needs. We are resolved to ensure all students achieve the New Jersey Core Curriculum Content Standards at all grade levels, children will be provided a variety of activities and experiences that allow them to mature into lifelong learners, who are critical thinkers, and who cooperate with others as they grow and learn in our democratic society.
District Goals
Student Achievement
To provide ongoing support to the instructional program, with a focus on student learning outcomes, by working closely with the administration, faculty staff and community to increase and improve student achievement
Curriculum and Instruction
To continue to conduct a comprehensive review of curriculum and instruction throughout the district k-12 and begin to implement curriculum changes based on schedule from New Jersey Department of Education and the Common Core Standards
Technology
To increase the use of technology as a classroom instructional tool and expand opportunities for students to engage in 21st century learning activities
District Communications, Operations and Public Relations
To improve communications with stakeholders (staff, students, Board, parents and community members)
Board Goals
New Jersey Sustainable Schools Project Grant
Mission Statement: To foster a connected green community in which students develop into-life-long environmental stewards
Demographics
To continue to monitor demographic and enrollment information to determine the impact on class size and facility usage
Alumni Association
Develop a student Alumni Association that connects graduates with the New Egypt School community and allows the district to track their success
Board of Education approval 08.22.2012
I. CALL TO ORDER
Mr. Miller, President, called the meeting to order at 6:33 p.m.
II. OPEN PUBLIC MEETING ACT
In compliance with the Open Public Meeting Act, this is to announce that adequate notice of this meeting has been given in the form of an Annual Notice contained in Resolution No. 2012-12, which Resolution was immediately thereafter posted upon the bulletin board in the main office of all four schools and the Board Secretary's office and disseminated within seven (7) days of passage to the Asbury Park Press and The Trenton Times, and a copy of such resolution was filed with the Plumsted Township Clerk. No advance written notice of this meeting was requested and paid for by any person according to the record of the Secretary of the Board. I direct the Secretary of the Board to enter into the minutes of this meeting this public announcement.
III. ROLL CALL
Mr. Miller, President
Present
Mr. Hauge, Vice President
Absent
Mr. Midgett
Present
Mr. Probasco
Present
Mrs. Septor
Present
Mrs. Soles
Absent (arrived to the meeting at 7:11 p.m.)
Mrs. Wig
Present
ALSO PRESENT
Dr. Jones, Superintendent
Mr. Gately, Business Administrator/
Board Secretary
Mr. Stein, Board Attorney
Mr. Probasco moved that the Board go into executive session at 6:35 p.m. for the purpose of discussing personnel, negotiations and vendor contracts. Seconded by Mrs. Septor, Passed unanimously.
IV. EXECUTIVE SESSION
WHEREAS, the Open Public Meeting Act (N.J.S.A. 10:4-6, et seq.) permits bodies to discuss certain matters in closed sessions, and
WHEREAS, PURSUANT TO THE Open Public Meeting Act (N.J.S.A. 10:4-6, et seq.), such a meeting may be held in private;
NOW, THEREFORE, BE IT RESOLVED, that:
1. The Board shall meet in closed session on these matters; and
2. The matters to be discussed in private may be shared with the public at such other time as the Board may determine that there is no longer any requirement for confidentiality.
Mr. Midgett made a motion to go out of executive session at 7:44 p.m.
Seconded by Mrs. Wig, Passed unanimously.
V. ROLL CALL
ALSO PRESENT
Dr. Jones, Superintendent
Mr. Gately, Business Administrator/
Board Secretary
Mr. Stein, Board Attorney
VI. FLAG SALUTE – Mr. Miller led all in the salute to the flag.
VII. APPROVAL OF AGENDA
Mr. Probasco moved with a second by Mrs. Wig that VII.A be approved:
A. Recommend that the Board approve the regular meeting agenda for April 24, 2013.
Roll Call
Yes
Mr. Probasco, Mrs. Wig,
Mr. Midgett, Mrs. Septor,
Mrs. Soles, Mr. Miller
No
None
Absent
Mr. Hauge
VIII. APPROVAL OF MINUTES
Mrs. Wig moved with a second by Mr. Midgett that VIII.A be approved:
A. The minutes are presented for necessary correction and approval for the regular meeting on April 10, 2013.
Roll Call
Yes
Mrs. Wig, Mr. Midgett,
Mr. Probasco, Mrs. Septor,
Mrs. Soles, Mr. Miller
No
None
Absent
Mr. Hauge
IX. DISTRICT HIGHLIGHTS
A. Board Meeting dates:
The remaining Board of Education meetings will be held:
B. Student Enrollment
| Primary | PreK3 | | | PreK4 | | | K - AM | | | Grade 1 | | | | | | Total | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | | | | 4/3 | 4/17 |
| | 20 | 20 | 0 | 28 | 28 | 0 | 96 | 95 | -1 | 90 | 91 | +1 | | | | 234 | 234 |
| Out of District | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | | | | 0 | 0 |
| Elementary | Grade 2 | | | Grade 3 | | | Grade 4 | | | Grade 5 | | | | | | Total | |
| | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | | | | 4/3 | 4/17 |
| | 91 | 90 | -1 | 104 | 104 | 0 | 126 | 126 | 0 | 129 | 129 | 0 | | | | 450 | 449 |
| Out of District | 1 | 1 | 0 | 0 | 0 | 0 | 1 | 1 | 0 | 1 | 1 | 0 | | | | 3 | 3 |
| Middle | Grade 6 | | | Grade 7 | | | Grade 8 | | | | | | | | | Total | |
| | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | | | | | | | 4/3 | 4/17 |
| | 144 | 144 | 0 | 144 | 144 | 0 | 155 | 155 | 0 | | | | | | | 443 | 443 |
| Out of District | 1 | 1 | 0 | 1 | 1 | 0 | 1 | 1 | 0 | | | | | | | 3 | 3 |
| High | Grade 9 | | | Grade 10 | | | Grade 11 | | | Grade 12 | | | Grade 12+ | | | Total | |
| | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | 4/3 | 4/17 | +/- | 4/3 | 4/7 |
| | 136 | 136 | 0 | 117 | 117 | 0 | 143 | 143 | +1 | 139 | 140 | +1 | 3 | 3 | 0 | 538 | 539 |
| Out of District | 2 | 2 | 0 | 0 | 0 | 0 | 2 | 2 | 0 | 2 | 2 | 0 | 0 | 3 | 0 | 6 | 6 |
| | | | | | | | | | | | | | | | | Total | |
| | | | | | | | | | | | | | | | | 4/3 | 4/17 |
| Total Enrollment | | | | | | | | | | | | | | | | 1665 | 1665 |
| | | | | | | | | | | | | | | | | 4/3 | 4/17 |
| Out of District Students | | | | | | | | | | | | | | | | 12 | 12 |
X. SUPERINTENDENT'S COMMENTS
Dr. Jones commented on the following:
HIB Report
Night of the Arts
Rita Williams received a grant in the amount of $7,500.00 and will create a museum for NEPS in our lobby with movable partitions to display artwork as well as science and cultural themed displays throughout the year.
PRIMARY SCHOOL
Earth Day, Arbor Day, and green activities are all planned for the week. Staff and students will be wearing green, collecting materials for recycling, and working to make the Primary School a wonderful environment for children and other living things.
Family Dinner evening is planned for Thursday April 25. Dinner will be served and break out discussion groups will be held dealing with raising healthy families, making good choices, etc. Childcare will be available. This is funded by the Plumsted Municipal Alliance.
ELEMENTARY SCHOOL
Grade 2 participated in environmental presentations to learn more about Earth Day and how to keep our Earth green and clean.
On April 30th, the elementary school will host a Family Curriculum Night from 6:00 - 7:00 p.m. to help parents sustain students' education for the remainder of the school year and over the summer. We will also be giving parents useful information regarding NJASK testing.
Also on April 30th, the Blue Skies Academy will be taking a trip to the Apple Store to learn more about the use of technology and how they can better apply that to their Blue Skies artwork. They will spend the second half of the trip traveling to a nursing home to spread cheer with music, art, and original movies that the students created.
NJASK testing begins on May 6 for grade 5 and on May 13 for grades 3 and 4.
On May 9th, second grade will be hosting their poetry cafes. They will be sharing the original poetry that they have been writing throughout their Poetry unit this April.
MIDDLE SCHOOL
ROOTS Day
On April 17, students participated in "Roots Day", a school-wide exercise in empathy and awareness. Twenty student representatives actively engaged with their peers by collecting over 300 signatures from their peers in order to "make a plan" to modify their own behavior. These plans included the choice of showing others respect through various strategies. In addition, the Roots student representatives sympathetically talked one-on-one with students during lunch to engage them in conversations about how they were feeling at school, and how they'd like to improve the way students treat each other. Nearly every student in the school spoke with the representatives and over fifty submitted anonymous suggestions for improving students' interactions.
As the Roots program concludes, Princeton University will be providing a detailed report later this summer on the results of Roots Day and other activities that were conducted during this school year, which will include feedback on the student attitudes and suggestions on improving how students treat one another.
8 th Grade Semi-Formal
The NEMS 8th Grade Semi-Formal Dance will be held on Friday May 3rd, 2013 from 7:00 p.m. - 10:30 p.m. This event will be held at the New Egypt Elks Lodge and will be sponsored by the 8th grade parents. A very special thank you to our 8 th Grade Parents who every year make this evening a night that our students will cherish and remember forever!
HIGH SCHOOL
We would like to congratulate Katie Solinski, Sarah Graser, Emiley Garey, Brianne Lammerding and Taylor Leonardo from Mrs. Sohl's class, in winning "Best Editing" at the New Jersey High School Film Challenge. Teams were given a prompt, prop, a character name and 96 hours to make a 4 minute movie.
We would also like to congratulate Bobby Newman and Kiyomi Locker on their "Most Improved Delegate" awards in their respective committees at Rutgers Model Congress. It was the first conference for both of them.
We would like to congratulate Bobby Fine for winning 2nd place in the State for small engines at the Vo-tech Skills USA competition.
Our Guidance department will be having a Junior college planning night in the IMC at 6:30 p.m. on Tuesday, May 2.
SPECIAL PROJECTS
District members of the Green Team have been planning events to celebrate Earth Week this week. The elementary school has been providing daily green trivia and every third grader will receive their own evergreen seedling from the NJ State Forestry Service to take home and plant. The primary school students will be learning about sun safety and incorporating "sun-sensitive" beads into crafts to remind them to use sunscreen. Both the middle school and high school teachers have been provided with lesson ideas to incorporate during the week.
NJASK testing begins next week, starting with 7th and 8th grade.
Moving 2 nd grade to the Primary School not feasible
XI. STUDENT REPRESENTATIVE COMMENTS
Kimberly Wilson, student representative, commented on the following:
Primary School
Mr. Wells conducts Hip Hop Health for the students where he plays videos and songs about hygiene, nutrition and exercise for the Primary and Elementary school. On the 19th they had an American Cancer Society event pertaining to Relay for Life where they take laps around back with intervals of exercising and dancing. They researched about cancer prevention lifestyles with sun block and testing by watching videos and reading tidbits on the iPads.
Elementary School
Mrs. Beams suffered a loss in her family so she was very busy this month. Luckily I do a program with the elementary school nurse so she filled me in with some information about what's going on there. As I previously said, they had Hip Hop Health the 12, and also they performed the play on the 12, 13, and 14, which were wonderful. This month is Autism Awareness Month, so luckily this Monday I was present at the Elementary School when they all gathered outside to blow bubbles in honor of this cause.
Middle School
Green Team - Earth Day
Fundraiser for Save the Turtles
Feather Project
Technology - Lesson Planning Program
High School
First, I want to welcome Mrs. Baubles to the principal position for the rest of the year. I like how the security in the schools has increased and I've heard a lot of positive feedback with that. When I visited each school to converse with the principals these past weeks, I was glad to see that we are now taking measurements to make our schools even safer and responding to the many concerns. Also, after talking with a few of my classmates we all agreed that the amount of scholarships offered through the school for the senior class has been amazing. Overall, many people that I've talked to in the school and myself are very happy with the way the school is being run this year.
XII PUBLIC COMMENT ON AGENDA ITEMS
XIII. PRESENTATIONS/AWARDS
A. New Jersey's Clean Energy Audit Program presented by Joseph Occhiuzzo and Edward Novatkowski
XIV. CORRESPONDENCE
XV. SUPERINTENDENT'S AGENDA
The following items are presented for approval as recommendations by the Superintendent of Schools:
A. Finance Motions
Mr. Midgett moved with a second by Mrs. Septor that A.1 be approved:
1. Recommend approval of all bills and claims for April 24, 2013, which have been examined by members of the Finance Committee and are presented for approval, with the exception of P.O. #13-2014 for Harry Miller in the amount of $313.73.
Roll Call
Yes
Mr. Midgett, Mrs. Septor,
Mr. Probasco, Mrs. Soles,
Mrs. Wig, Mr. Miller
No
None
Absent
Mr. Hauge
Mr. Probasco moved with a second by Mrs. Wig that A.2 be approved:
2. Recommend approval of P.O. #13-2014 for Harry Miller in the amount of $313.73.
Roll Call
Yes
Mr. Probasco, Mrs. Wig,
Mr. Midgett, Mrs. Septor,
Mrs. Soles
No
None
Absent
Mr. Hauge
Abstain
Mr. Miller
Mr. Midgett moved with a second by Mrs. Septor that A.3 – A.9 be approved:
3. Recommend approval of all bills and claims for April 24, 2013, which required hand written checks after the April 10, 2013 bills and claims list was approved, which have been examined by the Finance Committee and are presented for approval.
4. Recommend ratification of the transferring of funds.
5. Recommend approval of the Board Secretary's Report for the period ending March 31, 2013 and the Treasurer of School Monies Report for the period ending March 31, 2013.
6. Recommend approval that Pursuant to N.J.A.C. 6A:23 – 2.12(c)3, the Business Administrator/Board Secretary, certifies that as of January 31, 2013, no budgetary line item account has obligations and payments (contracted orders) which in total exceed the amount appropriated by the District Board of Education pursuant to N.J.S.A. 18A:22-8, that the District financial accounts have been reconciled and are in balance.
7. Recommend approval that the Plumsted Township Board of Education, pursuant to N.J.A.C. 6A:232.12(c)4 certifies that as of January 31, 2013, after review of the Secretary's monthly financial report (appropriations section) and upon consultation with the Business Administrator/Board Secretary and other appropriate district officials, that to the best of their knowledge no major account or fund has been over expended in violation of N.J.A.C. 6A:23-2.12(c)4 I-VI and that sufficient funds are available to meet the district's financial obligations for the remainder of the fiscal year.
8. Recommend approval of a contract with Stronge & Associates Educational Consulting, LLC, to provide professional development services at a rate of $3,000.00 as per EE4NJ requirements for principal and director evaluation systems.
9. Recommend approval of a contract with Stronge & Associates Educational Consulting, LLC, and My Learning Plan, Inc., to provide technology services at a rate of $3,500.00 as per EE4NJ requirements for principal and director evaluation systems.
Roll Call
Yes
Mr. Midgett, Mrs. Septor,
Mr. Probasco, Mrs. Soles,
Mrs. Wig, Mr. Miller
No Absent
None
Mr. Hauge
B. Personnel Motions
Mrs. Soles moved with a second by Mrs. Wig that B.1 – B.7 be approved:
1. Recommend revision of approval of the following leave of absence for Karen O'Brien, occupational therapist:
2. Recommend approval of the following leave of absence for Natalie Belfiore, middle school guidance counselor:
3. Recommend approval of the following substitutes for the 2012-2013 school year pending the successful completion of the application process established by the Superintendent of Schools and the criminal history clearance that is obtained through the State of NJ in accordance with the law.
4. Recommend approval of the following staff to organize and present at the Family Dinner night on April 25, 2013 in the amount of $80.00 each, funded through the Plumsted Township Municipal Alliance Grant:
Karen Brown Linda Leutwyler Jennifer Miller
5. Recommend ratification of approval of the following staff to attend up to four (4) one (1) hour after school faculty meetings at the non-instructional rate of $40/hr., per the PTEA agreement; not to exceed $4,480.00.
Kristin Abate
Marney Hatch
Christa McLaughlin
Lynn Capotosto
Andree Hille
Theresa Nicholl
Renee Capasso
Lisa Hoger
Laura Occhuzzio
Megan Castro
Jana Kekesi
Lisa Rajeski
Ramona Curry
Jamie Leto
Laura Rodriguez
Tura Dickert
Vanessa Liedtka
Jennifer Roth
Kathleen Donahue
Kathy LoPresti
Helen Sipos
Theresa Eagan
Jennifer Marsh
Wendi Weber-Sheridan
Patricia Garces
Sabrina McKemey
Jennifer Sonsiadek
Debra Tilghman
6. Recommend that the Board authorize the execution of a sidebar agreement with the Plumsted Township Education Association, to settle the issue of longevity compensation during the 2011-2012 school year.
7. Recommend that the Board authorize the execution of a sidebar agreement with the Plumsted Township Education Association, regarding Patricia Garces request that an exception to the sick day notification for payment of unused sick days at retirement.
Roll Call
Yes
Mrs. Soles, Mrs. Wig,
Mr. Midgett, Mr. Probasco,
Mrs. Septor, Mr. Miller
No
None
Absent
Mr. Hauge
C. Policy
Mrs. Wig moved with a second by Mr. Probasco that C.1 – C.2 be approved:
1. Recommend approval of first reading of Policy 3515.1, Use of Cellular Telephones.
2. Recommend approval of first reading of Policy 3515.3, Pupil Use of Privately-Owned Technology.
Roll Call
Yes
Mrs. Wig, Mr. Probasco,
Mr. Midgett, Mrs. Septor,
Mrs. Soles, Mr. Miller
No
None
Absent
Mr. Hauge
D. Professional Development/Travel Reimbursements
Mrs. Soles moved with a second by Mr. Midgett that D.1 be approved:
1. Recommend approval of the attached Professional Development.
Roll Call
Yes
Mrs. Soles, Mr. Midgett,
Mr. Probasco, Mrs. Septor,
Mrs. Wig, Mr. Miller
No
None
Absent
Mr. Hauge
Mr. Probasco moved with a second by Mrs. Wig that D.2 be approved:
2. Recommend approval for Harry Miller to attend the Impact Aid Section 8002 Summer 2013 conference in Branson, MO on June 21, 2013 – June 23, 2013 at a total cost not to exceed $1,600.00.
Discussion: Mrs. Soles asked if any administrator was attending. Mr. Miller stated he was the only one attending.
Roll Call
Yes
Mr. Probasco, Mrs. Wig,
Mr. Midgett, Mrs. Septor,
Mrs. Soles
No
None
Absent
Mr. Hauge
Abstain
Mr. Miller
E. Other Motions
Mrs. Wig moved with a second by Mr. Midgett that E.1 – E.3 be approved:
1. Recommend receipt of the HIB (Harassment, Intimation and Bullying) report on April 24, 2013 by the Board of Education.
2. Recommend approval of an Admissions Agreement as to Non-Resident Student from Andrea Merhi to permit her children Grade 9 and Grade 12 to attend the New Egypt High School, enrollment permitting, for the upcoming 2013-2014 school year according to stipulations contained in the 2012-2015 PTEA/PTBOE Collective Bargaining Agreement.
3. Recommend approval of an application for the Interdistrict Public School Choice Program.
Discussion: Dr. Jones explained agenda item E.3, Interdistrict Public School Choice Program.
Mrs. Soles asked Dr. Jones if she knew of any districts that were denied.
Dr. Jones stated that she did not know of any districts denied.
Dr. Jones commended Mr. Donnelly for all his help with this application.
Roll Call
Yes
Mrs. Wig, Mr. Midgett,
Mr. Probasco, Mrs. Septor,
Mrs. Soles, Mr. Miller
No
None
Absent
Mr. Hauge
F. Facilities
G. Field Trips
Mrs. Septor moved with a second by Mrs. Soles that G.1 be approved:
1. Recommend approval of the attached Field Trips.
Roll Call
Yes
Mrs. Septor, Mrs. Soles,
Mr. Midgett, Mr. Probasco,
Mrs. Wig, Mr. Miller
No
None
Absent
Mr. Hauge
XVI. PUBLIC COMMENT ON ANY SCHOOL RELATED TOPIC
Vickie Molokie, 32 Kuzyk Road, Cream Ridge, NJ, spoke in favor of Rich Carroll as principal.
XVII. NEW BUSINESS
Mrs. Soles asked for an update on the condition of the high school gym.
Mr. Gately gave an update on the high school gym floor.
The Board and Mr. Gately discussed the high school gym floor.
Mr. Gately gave an update on Impact Aid.
Mr. Gately gave an update on State Aid.
XVIII. OLD BUSINESS
XIX. BOARD OF EDUCATION COMMENTS
Mrs. Septor thanked everyone for the grants.
Mr. Probasco commented that the elementary school play was amazing.
Mr. Miller thanked Joe Occhiuzzo and Ed Novatkowski for their presentation.
Mr. Probasco made a motion to adjourn at 8:40 p.m.
Seconded by Mrs. Soles, Passed unanimously.
___________________________________
Sean Gately
Business Administrator/Board Secretary
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SMILE –
A Modern Process Simulation Framework – Numerical Solution Strategies and Physical Properties
SMILE - A Modern Process Simulation Framework – Numerical Solution Strategies and Physical Properties
SMILE - A Modern Process Simulation Framework – Numerical Solution Strategies and Physical Properties
SMILE - A Modern Process Simulation Framework – Numerical Solution Strategies and Physical Properties
Munich, July, 2020
Driving forces for Dev of Process Simulation @ Linde Engineering
- Integration of Workflows Process Design <-> Eq Design <-> Cost Estimation <-> Safety <-> Control
- Ever Increasing Depth of Equipment Models =>
- Increasing complexity of Software Engineering and numerics
- Modular Hierarchic Modeling, enhanced collaboration IT <-> Engng in Software Dev
- Reduce complexity of Software Dev (FORTRAN -> python, AD, modeling languages)
- (Increasingly) Heterogeneous environment w.r.t. Software and Operating System (UNISIM, OPTISIM, python, Docker, web APIs)
- Software standards and portable tools become more improtant
- New applications such as NMPC, online optimization, health monitoring
- Enhanced Scope of Applicability of Process / Eq Simulations – modeling extremal scenarips such as start up, shut down (for innovative control strategies)
- Pressure driven flow
- => SMILE (2014 - )
A recent survey regarding the process industry's usage and requirements regarding simulation tools and methods
"System integrators are in strong need for process models, simulation libraries, modeling standards and open interfaces." (S31)
"Equipment manufacturers will provide simulation models for their equipment in the future. " (S32)
* How is simulation used along the life cycle of a process plant today?
* What is the common vision about the future use of simulation?
* How can this vision be reached?
"Investigating statements about the future (Figure 25) indicated that an important functionality to enable a continuous use of simulation across the life-cycle of a process plant is a modular, flexible and open tool landscape."
"Integrated engineering, simulation and standards are the most relevant technological trends that will change the way we work." (S 26)
Modeling & Core Models
Solvers
Physical
Properties
python
Scripting
4
Practical Setup for SMILE Model development: A user model is compiled using "SMILE Redistributable" into DLL
What is a SMILE Model?
A SMILE Model…
* is a (Black, White or Grey Box) mathematical model of a technical or physical system, e.g. of a process or a process unit
* has Inputs and Outputs
* Math POV: Model is typically a a function, an ODE, an equation system, DAE, BVP or optimization problem (but may be something else)
* IT POV: DLL (or shared library) that may be used in a variety of systems, i.e. from OPTISIM® , UNISIM®, python, Excel, C/C++, Fortran, …
SMILE Models
Requirements regarding Physical Property from SMILE applications – 1 –
- Fast (-> native software interfaces, native DLL or comparable fast)
- Multi threading, 64 bit, portable code, python bindings
- Different choices for independent variables
- Derivatives for all independent quantities, i.e.
- Builk derivatves, i.e.
- Assume that Stream has a Vapour and Liquid Phase. Then, the partial derivative should return the derivatives of the bulk based on correct mixing rules
- Means for Debugging:
- Optional throwing of Exceptions for non-physical states (p<0)
- Extensive, configurable logging
Requirements regarding Physical Property from SMILE applications – 2 –
* Optional usage of quadruple precision
* Method for explicit multi-phase flash:
* Ideally: open source basis implementation providing basic equations of state, more sophisticated methods are proprietary
*
Software component representing of flash result to obtain different properties (vf, x, y) w/o repeating flash calculation
SMILE Models are often set up in hierarchical manner
Example: HEX is combination of Metals, alpha, flow passage models
Plate Fin Heat Exchangers – Advanced Topology
* Streams separated by parting sheets
* Boundary: Cap Sheets
Cap Sheet
Heat Transfer
Stream (Hot)
Heat Transfer
Parting Sheet
Heat Transfer
Stream (Cold)
Metal
Correlation
Stream Passage
Correlation
Metal
Correlation
Stream Passage
SWHE re-uses same models and replaces only alpha model Base Units
Spiral Wound + Shell & Tube Exchangers – Topology
* Streams inside tube shells
* Streams between tube shells and exchanger shell
Exchanger Shell
Heat Transfer
Stream (Hot)
Heat Transfer
Tube Shell
Heat Transfer
Stream (Cold)
Metal
Correlation
Stream Passage
Correlation
Metal
Correlation
Stream Passage
10
Collaborate. Innovate. Deliver.
Thank you for your attention.
Presenter:
Ingo Thomas [email protected]
Linde AG – Engineering Division Dr.-Carl-von-Linde-Str. 6-14 82049 Pullach, Germany
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ARMWRESTLING ASSOCIATION OF SOUTH AFRICA (AASA)
29 August 2020
To all our members
RE: ARMWRESTLING COMPETITIONS, EVENTS AND TRAINING DURING LOCKDOWN
As we reach day 155 of the Covid-19 Lockdown we all experience increasing strain as armwrestlers, craving more and more every day to get back to the table, to train properly, to experience the excitement and hype of competitions and matching power with athletes at the top.
However, the impact of Coronavirus (Covid-19) has been far reaching and an excessive ongoing interruption of our once 'normal' lives, work and training. Consequently, we have to accept (and adapt thereto) that we all face serious legal implications if we return to organised training and participation in official competitions or events at this stage.
The National Committee herewith shares the following decisions and instructions with our members regarding participation in armwrestling in any form, as per Government Gazette No. 43667 dated 28 August 2020.
There are a number of restrictions in place that currently forbids us to return to formal and active armwrestling. Therefore, should we desire to arrange any form of competition while still in Stage 2 of the national lock down, we need to do formal application to be allowed to continue, at least 14 days prior to the date that the event is to take place.
Please keep in mind that we are still in the process of registration with SASCOC to be officially registered as an official sport here in South Africa, and any breach could result in armwrestling not being recognised either now or in the future.
Further note that restrictions regarding numbers of participants, as well as spectators, for any gathering of any sort still stands at a limited amount of no more than 50 persons in total which will be allowed to attend.
As you very well know, Armwrestling is considered as a 'full contact sport' and thus puts all our members at risk of being exposed. This also includes spectators, which usually include our close family and friends.
Though this may seem harsh, we still have no other option than to follow the rules as laid down by the Government, and in the light thereof, the AASA Committee had to make decisions regarding organised armwrestling events in South Africa for now, until further notice.
The Committee realised we cannot allow our members to do anything that may place them either at risk or expose them to possible legal action by the Government, as this will obviously be devastating to you, your loved ones and also our beloved sport on a national, as well as on a global scale.
We can assure you that these decisions have not been taken lightly and we urge our members to please adhere to the decisions taken by the Committee as follows:
1. No armwrestling competitions or events are permitted until such time as the lockdown regulations are relaxed to allow it or until we obtain formal permission from the Minister of the Department of Sport, Arts and Culture.
2.
3.
2.
Any member in breach of the above instruction, who is found (after allegations were received or investigation has proven that any member has been involved in any organised training event or
tournament / competition / challenge matches), or who had legal action taken against them in direct violation of the above national regulations (as gazetted), will face serious disciplinary actions which
could result in a very severe fine or temporary suspension, or even permanent banning from any AASA
armwrestling events.
Members are permitted to train in smaller groups of no more than 10, but strict record should be kept of each training session of who is present. Direct contact should be limited as far as possible and follow
social distancing protocols and ensure to sanitise in accordance with official protocols.
We appeal to our members to do everything in their power to stay safe during the lock down period (due to Covid-19 infection risk) and to meticulously follow all prescribed protocols when training.
This is not only about the future of the sport of armwrestling in South Africa and Internationally, but armwrestlers have to bear in mind all the time, that there is a serious and real health risk at hand, and with
that comes serious responsibilities for all individuals involved (especially those in senior and managerial positions) to set an example and to keep our sport (and our members) safe at all times, and not to
compromise the future of our sport by challenging the authorities.
We trust you will receive and perceive this positively and that our members will understand that this is for the best for the growth of our sport in South Africa, but also for your own personal safety and health.
Armwrestling greetings
ROSEMARY BöTHA SECRETARY
REF: Lockdown protocol – 28/08/2020/rb
DAAN DU TOIT LEGAL REPRESENTATIVE
ARMAND DU TOIT PRESIDENT
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PRESS RELEASE
JP Morgan Chase Bank, N.A. becomes a Market Member of globalCOAL's electronic trading platform
LONDON, UK, 9th January 2007
Global Coal Limited is pleased to welcome JP Morgan Chase Bank, N.A. as a Market Member of its electronic trading platform. Eoghan Cunningham, Chief Executive Officer of globalCOAL said, "We are very pleased to have another established major international financial trader as a Market Member. This should bring added liquidity to the platform and underlines the increasing importance of globalCOAL as a tool to be used by coal buyers, producers and traders."
About Global Coal Ltd
globalCOAL is the world's premier marketplace facilitator for trading coal and coal related services, information, and instruments. The company was founded by leading members of the world coal industry to promote the electronic trading of thermal coal by creating standardised coal quality specifications, a Standard Coal Trading Agreement (SCoTAR) , and a fast, effective and transparent route to market.
For more information about globalCOAL, please visit our website at www.globalcoal.com.
Global Coal Limited
Energy House 9 King Street London EC2V 8EA United Kingdom
General Enquiries & Switchboard:
phone: +44.(0)20.7776.5900 fax: +44.(0)20.7776.5902 email: [email protected]
About globalCOAL®
globalCOAL was founded by leading members of the world coal industry to promote screen trading of standardised coal products. The company has developed the world's leading electronic marketplace for thermal coal, as well as a range of standardised coal quality specifications, a Standard Coal Trading Agreement (SCoTA®), and robust methodology for coal price index calculation. globalCOAL is also cooperating with leading energy exchange ICE Futures Europe to develop the coal Futures market. For more information, please visit www.globalcoal.com
London EC2R 5AL
United KingdomT: +44 (0)20 7776 5904
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TeaWayfarer
Each month, we introduce one of the Global Tea Hut members to you, in order to help you get to know more people in this growing international community. It's also to pay homage to the many manifestations that all this wonderful spirit and Tea are becoming as the Tea is drunk and becomes human. The energy of Tea fuels some great work in this world, and we are so honored to share glimpses of such beautiful people and their Tea. This month, we would like to introduce Petr Novak.
I grew up in a place where tea was drunk in some form almost everywhere: it was a casual, daily beverage to everyone I knew. But my first real touch, I remember— the first seduction of the Leaf with all the magic behind it—was during my late teens at some post-hippie/rainbow festival. It was a colorful and wild event, but I spent the whole week sitting in one tent, watching a shaman mixing/ boiling herbs (tea) and pouring them in cups and bowls for anyone who came. At least that was my romanticized idea of what happened. But no matter what really happened those many years ago, I have been hooked since.
I immediately started to look around for tea. It was during that time that tea houses were opening in Czech in every town and city, large or small, and tea was very popular. It was a great time for a teenager looking for his place in this world to discover tea. There was a tiny tea house nearby, and quite quickly, a group of people who hung around there become very close to me. We spent several evenings a week in that tearoom, each of us for different reasons: Enjoying new flavors and aromas, travelers' stories, exotic music, spiritual books and discussing our first meditation retreats. So many things have happened since those days…
Tea was never far away, and so, a couple of years later, when I fell as hard in love with clay, I was quite sure what I wanted to create: Teaware, of course! But even when you are sure what you want to do, it does not mean that you know how to go about it. To briefly summarize it: When I sat with clay for the first time, my aim was to give it a try and make a teapot. Twenty years later, I am still learning how to make that happen! In other words, I was naïve, but thanks to good teachers and a great deal of good karma, I stayed with Tea and clay for all these years. Now I think I know a little bit of what I am doing.
I like to think of myself as a rational, grounded person, but behind most of all the good things in my life, there are intuitive decisions that seem more spiritual. Is there a rational, intellectual reason why I have practiced tea for all this time? Yes, surely there is: She does me good and serves me right. But in all honesty, I feel that this rationale alone would not have sustained my interest in Her for so long. The attraction is subtler, playing with other parts of my heart and not just the intellectual side of life.
Back when I was little, there were fragrances of flowers and trees that were triggers for my imagination. Even now, when I put my nose deep in some wild flowers, it opens a particular internal landscape—emotions, images and so on. And from the start, I have had that same "thing" with Tea, more so than with any other plant. In the beginning, it was
57/ TeaWayfarer
very often romantic. I remember the first sencha I drank: I became a samurai sitting on freshly cut grass. With my first shou puerh brick, I was hearing a throat-singing Tibetan monk. And those giant mountains in a flash came from Nepal with my first sip!
Later, I started to explore tea as much as possible, slowly becoming geekier than is probably healthy. I was trying to understand the history and processing of all kinds of teas I was meeting along the way. Tea is so deep, you can spend a few lifetimes trying unsuccessfully to become an expert. But when this "need to know" motion fades away, it leaves a space for more subtle growth.
When my first issue of Global Tea Hut was given to me by a dear friend, it was just a few black and white pages. A bit funny, but, hey—it was about Tea! And about Tea from a different perspective than I'd seen before: Dao and community. Is that not why I actually fell in love with Her in the first place? But who is that funny bearded American behind this? Four years later, and fifty magazines down the road, I am thankful for my intuition and for keeping my mind open, which has offered me the chance and honor to be a part of this growing, living community! I've learned so many things since, and so much has been given to me via Global Tea Hut. Tea keeps enriching my life and making me a better person.
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Kick-off Meeting
UCR-AOI2: Engineering Metal Oxide Nanomaterials for Fiber Optical Sensor Platforms
Kevin P. Chen
Department of Electrical and Computer Engineering, University of Pittsburgh, Pittsburgh, PA
Email: [email protected], +1-724-6128935
Date: October 5, 2016
Outlines
• Background
• Objective/Vision
– Sensing materials
– Fiber platforms
• Team Description and Assignments
• Task Descriptions
– Objective
– Previous Works
– Current Status
• Gantt Chart
• Milestones
Background: Role of Sensor for Fossil Energy Generation
FUEL COSTS
$39 Million/Year @ 9,500 BTU/kw-hr, $1.25/million BTU's
Non Fuel O&M COSTS
$6 Million/Year (10 - 20% of total costs)
Total Fuel + O&M Budget
$45 Million - Avg. 500 MW Unit
Gaseous emissions
POWER
3,285,000,000 kw-hr/yr @75% Capacity Factor
Solid wastes
Analysis for Year 2000
• 1% improvement in EFFICIENCY
– $390,000 savings in fuel
– $4.1 million for entire installed fossil capacity
• Approximately 1% REDUCTION in greenhouse gases and solid wastes
• 1% increase in AVAILABILITY
– Yields 33 million kw-hr/yr added generation for a 500MW plant
– Approximately $2 million in sales (at $60/1000kw-hr)
– An additional 5,000 MW of power for entire installed fossil capacity
Gasification for Combined Power and Heat
Advanced Fossil-Based Power Generation Involves High Temperature Gas Streams (Coal or Natural Gas)
Envisioned Fossil-Based Power Plants of the Future are Highly Complex Making Sensors and Controls of Crucial Importance.
http://www.fossil.energy.gov/programs/powersystems/gasification/howgasificationworks.html
Range of “Harsh-Opportunities” in Fossil Energy
| | Coal Gasifiers | Combustion Turbines | Solid Oxide Fuel Cells | Advanced Boiler Systems |
|----------------------|----------------|---------------------|------------------------|-------------------------|
| Temperatures | Up to 1600°C | Up to 1300°C | Up to 900°C | Up to 1000°C |
| Pressures | Up to 1000psi | Pressure Ratios 30:1| Atmospheric | Atmospheric |
| Atmosphere(s) | Highly Reducing, Erosive, Corrosive | Oxidizing | Oxidizing and Reducing | Oxidizing |
| Examples of Important Gas Species | H₂, O₂, CO, CO₂, H₂O, H₂S, CH₄ | O₂, Gaseous Fuels (Natural Gas to High Hydrogen), CO, CO₂, NOₓ, SOₓ | Hydrogen from Gaseous Fuels and Oxygen from Air | Steam, CO, CO₂, NOₓ, SOₓ |
- Highly stable physical sensors are needed in highly reactive gas streams
- Probing fossil fuel chemistry at extremely high temperatures
- High spatial resolution measurements
Solid Oxide Fuel Cell Basics: Fuel-in Electricity Out
- High-temperature (600-850C) operation
- Varying atmospheres
- 0-100% H2 at the Anode
- 0-20% O2 at the Cathode
- High current / stack voltage
- 60% efficient (fuel to electric)
Objective/Vision: Probing High-T Chemistry in SOFC Operation
• Develop an integrated sensor solution to perform direct and simultaneous measurements of chemical reaction and temperature in SOFC with 5-mm spatial resolution.
Example: Solid Oxide Fuel Cells
Internal Gas and Temperature Distribution
Pakalapati, S. R., ‘A New Reduced Order Model for Solid Oxide Fuel Cells,’ Ph.D Thesis, Department of Mechanical and Aerospace Engineering, West Virginia University, Morgantown, WV
• Fuel consumption not uniform
• T profile not uniform (>150C)
Objective - Sensing Materials: Tailoring the Refractive Indices and Chemical Responsivity
Requirement:
- 3D Geometry (Reduces unwanted anisotropy)
- $\Lambda \ll \lambda$ (reduce optical scattering loss)
- Processing on Arbitrary Shapes (fiber…)
- Wide tenability of refractive indices ($\Delta n > 1.5$)
- Reactive to a wide array of gas species
- Low cost
- High Temperature stable
Options
Semiconductor Processing?
- Doping, sputtering
- Cost, not flexible
Colloidal Templating?
- $< 50$-nm
- Structure limited
- Limit tuning of porosity
Block Copolymer Templating?
- Alcohol soluble
- 5nm to 100nm
- Flexible structures
- Wide tuning of porosity
Xi (2007, Prof. Schubert’s group at RPI)
W. Min, Nanotechnol. 19, 475604 (2007)
Objective/Vision – Sensing Platforms and Integration
High-Temperature Stable FBG
Distributed Rayleigh Scattering
Sapphire Fibers
Specialty D-shaped Fiber
Team Description and Assignments
• University of Pittsburgh: PI: Kevin P. Chen
– Aidong Yan (Ph.D. student): Sensing Materials
– Mohan Wang (Ph.D. student): Sensor Platform
– Guangquang Liang (Research fellow): Integration
• NETL Collaborators
– Dr. Paul Ohodnicki’s group: Sensor Material Collaboration
– Dr. Michael Buric’s group: Sensor Platform (Silica and Sapphire) and Integration
– NETL Fuel Cell Testing Team
• Industry Collaborators
– Corning: Specialty fiber fabrication
– University of Sydney: Specialty fiber fabrication
– NEC America: Industry outreach
Task Descriptions
• Background
• Objective/Vision
– Sensing materials
– Fiber platforms
• Team Description and Assignments
• Task Descriptions
– Objective
– Previous Works
– Current Status
• Gantt Chart
• Milestones
Sensing Materials: Co-Polymer Templating by F-127
F127 Pluronic
- A triblock copolymer
- Highly Compatible with the Preferred Solvents (Alcohol)
- Has better higher temperature stability
(Orilall, 2011)
(Meznarich, 2012, p. 107)
(Shao, 2010)
Metal Oxides and Their Dopant Variants
- Metal Source: SnCl$_4$, TiCl$_4$, and Zn(O$_2$CCH$_3$)$_2$(H$_2$O)$_2$
- Si Source: Tetraethyl Orthosilicate
- Solvent: Ethanol
- Block Copolymer: Pluronic F-127
- Stabilizer: HCl for most, NH$_4$OH for Zn
Controlling Refractive Index
- TiO$_2$: $\Delta n \sim 1.4$ to 2.5
- SnO$_2$: $\Delta n \sim 1.4$ to 2.1
- ZnO: $\Delta n \sim 1.25$ to 2.0
- SiO$_2$: $\Delta n \sim 1.2$ to 1.45
Graphs showing refractive index vs wavelength for different materials.
Metal Oxides and Their Dopant Variants
TEM of TiO₂
SEM of ZnO
SEM of SnO₂
Optical Sensing: Metal Oxide on Optical Fiber Platform
In the evanescent wave configuration, Refractive Index Matching is Critical.
Finite Element Simulation of the Power Distribution of the Fundamental Mode.
Metal Oxides Enabled Chemical Sensors
- Nano-Engineered metal oxide sensory film
- Porosity control for refractive index matching
- Rare-earth or noble metal dopants for specificity
- Pd-TiO2
- Sensor can operate >700°C
- No electrical components in target environment
High-Temperature Chemical Sensor on D-shaped Optical Fiber
- **Fiber Circulator**
- Input Signal
- Reflected Signal
- Transmitted Signal
- **NH₃ In**
- **Quartz Tube**
- **Coated Fiber**
- **Heating Element**
- **NH₃ Out**
**Images:**
- **A:** Cross-section view of fiber core with edge highlighted.
- **B:** Close-up view of fiber surface.
- **C:** SEM image showing particle distribution.
- **D:** TEM image with crystallographic planes labeled.
**Dimensions:**
- 2 μm to 10 μm
- 20 nm to 5 nm
Fiber Optic Hydrogen Sensor at 700C
Optical Transmission vs. Hydrogen Concentrations
Exposed to various concentrations of hydrogen in nitrogen, recovered with nitrogen
Ideal for hydrogen driven energy conversion systems
Distributed H2 Measurements (Distributed Loss)
Polariz. Beam Splitter
Polariz. Controller
50/50 Coupler
TLS
heat applied
Backscatter Amplitude (dB)
Length(m)
Why....?
Our fiber is too “good” for sensing applications...
Rayleigh scattering profile is too weak (like weak type I FBG)
Technical Solutions... Enhanced Background Rayleigh Scattering ...
Ultrafast laser irradiation
• Ti:Sapphire 250-kHz, 180-fs, 780-nm
• 0.2-0.5 µJ
• 0.5-10 mm/s
Amplitude (dB) vs Length (m)
Increasing Rayleigh scattering stability
- Hydrogen exposure still increases loss and scattering
- However, this change is permanent.
- Based on 72-hr heating in 7% hydrogen at 800C
- Cross-correlation is more effective with increased scattering features that do not change with temperature
![Graph showing amplitude (dB) vs. length (m)]
Temperature coefficients determined to 800C
- Temperature can now be measured at 800C with H2 atmosphere
- Stability verified for ~72 hours at 800C
- 4C accuracy with heat/reheat cycles (10 cycles tested).
Increasing Rayleigh scattering stability
- SEM image of the fiber cross section at different scanning speed
- Minimize the transmission loss and smooth the profile
0.1 mm/s
0.5 mm/s
1 mm/s
2 mm/s
Nanograting Change after H2 exposure
1 μm EHT = 1.50 kV Signal A = SE2 System Vacuum = 2.32e-006
WD = 4.3 mm Mag = 16.71 K X Date: 8 Aug 2016
Now... Distributed H2 Measurement Again...
Before... (700C)
After... (750C)
Current Status
- It is possible that distributed T and Chemical sensing can be achieved with 4-mm and 1-mm spatial resolution using a single fiber.
- This sensing scheme can be used to probe other fuel cell chemistry and other energy chemistry at high temperature (<700C).
It is possible that distributed T and Chemical sensing can be achieved with 4-mm and 1-mm spatial resolution using a single fiber.
This sensing scheme can be used to probe other fuel cell chemistry and other energy chemistry at high temperature (<700C).
| Task 1: Metal Oxide Syntheses & Analyses | Year 1 | Year 2 | Year 3 |
|----------------------------------------|--------|--------|--------|
| Subtask 1.1: Syntheses of transition metal oxides | 4, 8, 12, 16 | | |
| Subtask 1.2: Control and characterize optical and microstructural properties of metal oxides. | 4, 8, 12, 16 | | |
| Subtask 1.3: Syntheses of dopant variants of transition metal oxides. | 4, 8, 12, 16 | | |
| Subtask 1.4: Study metal oxides properties changes vs temperatures from 400 to 900°C | 4, 8, 12, 16 | | |
| Task 2: Metal Oxide On-Fiber Integration and Tests | Year 1 | Year 2 | Year 3 |
|--------------------------------------------------|--------|--------|--------|
| Subtask 2.1: Establish experimental setup for sensor configuration I, II, and III | 4, 8, 12 | | |
| Subtask 2.2: Perform gas sensing tests using on sapphire fiber platforms | | 20, 24, 28 | |
| Subtask 2.3: Perform gas sensing tests using on silica fiber platforms | | 20, 24, 28 | |
| Subtask 2.4: Perform TEM/SEM and other nanostructure analyses on metal oxide coating on both silica & sapphire fibers | | 20, 24, 28 | |
| Task 3: Distributed and Multi-Species Gas Sensing | Year 1 | Year 2 | Year 3 |
|-------------------------------------------------|--------|--------|--------|
| Subtask 3.1: Using Rayleigh OFDR to perform distributed H₂ gas sensing test in realistic fuel gas streams. | | | 32, 36 |
| Subtask 3.2: Integrate 4 optimized metal oxides on one D-shaped fibers for multi-species gas sensing using the OFDR | | | 32, 36 |
| Subtask 3.3a: Fabricate FBG array in D-shaped fibers | | | 32, 36 |
| Subtask 3.3b: Integrate 4 optimized metal oxides on one D-shaped fibers for multi-species gas sensing using FBGs as in-fiber reflectors | | | 32, 36 |
## Milestones
### Go beyond hydrogen
| Milestone | Description | Year 1 | Year 2 | Year 3 |
|-----------|------------------------------------------------------------------------------|--------|--------|--------|
| Milestone 1 | Successful fabrications of metal oxides and their dopant variants | | | |
| Milestone 2 | High-temperature gas sensing testing setup successfully established for H₂, SO₂, NOₓ, and nature gases | | | |
| Milestone 3 | Successful tests of gas sensing characteristics of all transition metal and their dopant variants on both silica and sapphire fiber platforms from 400 to 900°C | | | |
| Milestone 4 | Successful demonstrations of distributed hydrogen sensing in fuel gas streams and in solid oxide fuel cells to achieve 1-cm spatial resolution at temperature >700°C. | | | |
| Milestone 5 | Successful demonstrations of real-time multi-species fuel gas measurements and real-time gas composition analysis using one fiber at high temperatures from 400 to 900°C | | | |
Thank you!
Questions?
Collaboration Welcomed!
Kevin P. Chen
Email: [email protected]
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EVIL GAMES D I KIM STONE 2 BY ANGELA MARSONS
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UNHCR LIBYA: Support to COVID-19 Response
16 March – 9 October 2020
**Legend**
- National capital
- Mantika capital
- Mantika
- International boundary
**Completed:**
- Ambulances – 9
- Blankets – 12,265
- Generators – 11
- Hospital tent – 14
- Hygiene kits – 17,177
- Face masks – 2,500
- Mattresses – 3,088
- Medical beds – 5
- Prefabricated container – 8
- Protective gloves – 2,500
- Sanitary cloth – 95 rolls
- Wet-wipe packages – 4,818
- Soap bars – 25,831
- Tents – 3
- Hand sanitizers – 3,501
**Planned:**
- Blankets – 2,000
- Body bags – 1,000
- Face masks – 7,500
- Hand sanitizers – 6,500
- Hospital tents – 2
- Hygiene kits – 36,500
- Mattresses – 2,000
- Prefabricated container – 2
- Protective gloves – 7,500
- Sanitary cloth – 5 rolls
- Soap bars – 14,000
- Ventilators – 6
**UNHCR donated large quantities of medicines and medical supplies to various public health facilities towards the end of 2019 and at the beginning of 2020, which might be used by the authorities concerned in support of the ongoing COVID-19 response.**
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SHORT REPORT:
Evaluation of a Novel R744 Refrigeration System with Integrated Dew Point Cooling in South Australia
Prepared for:
Glaciem Cooling Technologies Building M University of SA, Mawson Lakes Campus Mawson Lake Boulevard Mawson Lakes, SA 5095
Attention:
Julian Hudson Managing Director Telephone: 0417 920 434 Email: [email protected]
Prepared by: Dr Alemu Alemu
Dr Martin Belusko*
Prof. Frank Bruno
School of Engineering
University of South Australia
Telephone: +618 8302 3767
Facsimile: +618 8302 3380
Email: [email protected]
Date of issue: 11 April 2018
Evaluation of Glaciem R744 dew point refrigeration system.pdf
Important Notice
Report Disclaimer
This report is confidential and was prepared exclusively for the client named above. It is not intended for, nor do we accept any responsibility for its use by any third party.
©University of South Australia 2018.
INTRODUCTION
With a global shift away from HFC refrigerants, reflected in Australia with the HFC phase down, the development of efficient natural refrigeration systems becomes significant. This phase down is particularly relevant to Australia with a growing need for refrigeration for food production. Carbon dioxide (R744) is the most attractive natural refrigerant being non-toxic, inflammable and potentially low cost. However its use has been limited to low temperature climates and applications where low efficiency transcritical operation is minimised. The current approach is to apply R744 in a cascade configuration with the HFC, R134A, replacing the traditional HFC system consisting of two parallel fridge and freezer systems with R404A. However, with R134A having a global warming potential (GWP) of 1430, this represents a far from ideal outcome, exposing customers to significant refrigerant costs into the future.
Glaciem Cooling Technologies (Glaciem) has developed a novel R744 system, where condenser inlet air is pre conditioned using dew point cooling. Dew point cooling applies unique indirect evaporative cooling technology to reduce air temperatures approaching the dew point. This is particularly valuable for advancing R744 for refrigeration applications in hot climates, as it minimises inefficient operation.
Testing conducted at the University of South Australia has confirmed the efficiency of this system subject to a range of conditions. This report provides an evaluation of the annual energy savings that this novel R744 system achieves for refrigeration customers. An investigation is conducted for a freezer/fridge configuration subject to Adelaide weather conditions.
SIMULATION PARAMETERS
A simulation was conducted of a direct expansion air cooled refrigerated fridge/freezer cold store combination with a peak load of 150 kW / 50 kW for the medium and low temperature load, respectively. Outdoor cold stores were modelled subject to transmission load and a solar load, with infiltration and product load ignored. The Typical Meteorological Year (TMY) was applied for Adelaide which has a maximum temperature of 44 o C, which defines the average year suitable for a thermal energy analysis.
The refrigeration systems considered were a conventional cascade R134A/R744, the novel R744 booster system with dew point cooling, a standard R744 booster system as well as a conventional parallel R404A fridge and freezer system. Dew point cooling is applied optimally as per the configuration specified by Glaciem. In order to model the Coefficient of Performance (COP) of all systems, compressor information was derived from Bitzer (www.bitzer.de), as specified in Table 1 and appropriate condenser fan power was determined. The COP of the Glaciem R744 system was derived from Bitzer for compressor data and measured test results conducted at the University of South Australia. A normalised part load COP function was developed for the allowable ranges of frequencies using the data obtained from Bitzer. A suitable number of compressors were selected with only the lead compressor fitted with a variable speed drive.
Table 1. Specifications of simulated air cooled refrigeration systems.
| | Conventional cascade R134A/R744 | R744 conventional and novel booster | Conventional R404A separate fridge/freezer |
|---|---|---|---|
| Low temperature: Bitzer compressor model and number | 3 x model 2ESL_4k | 3 x model 2ESL_4k | 4 x 4HE-18Y |
| Medium temperature: Bitzer compressor model and number | 5 x model 6GE-30Y- 40P | 4 x model 4FTC-30K | 3 x 4G-2Y |
| Low temperature evaporator temperature (room at -21 oC) | -28 oC | -28 oC | -28 oC |
| Low temperature condenser saturation temperature | -1 oC | -4 oC | 7 oC above ambient, minimum 40 oC. |
| Medium temperature evaporator temperature (room at 2 oC) | -6 oC | -4 oC | -4 oC |
| Medium temperature condenser temperature | 7 oC above ambient, minimum 40 oC | Subcritical: 7 oC above ambient, minimum 13 oC Transcritical: Gas outlet 1 oC above air inlet | 7 oC above ambient, minimum 40 oC. |
Fig. 1 presents the system COP for each configuration subject to different conditions at dew point temperatures of 10 o C, 15 o C and 18 o C. The figure highlights how the COP for the Glaciem system varies non linearly. During mild and humid conditions the COP is marginally higher than other HFC systems, while dramatically higher during cold and, in particular, hot and dry, conditions when the load is significant. At a temperature of 45 o C and a dew point of 15 o C or 18% RH, the system COP of the novel R744 system is 2.6, which is 42% higher than the cascade system, 138% higher than a conventional R744 booster system, and 65% higher than a traditional R404A parallel system.
RESULTS
Table 2 and 3 presents the simulated energy usage and costs of the novel R744 system and savings relative to the conventional cascade, conventional R744 booster and conventional HFC system. The typical commercial monthly demand tariff was applied with a peak and off peak energy price of 23.46 c/kWh and 16.74 c/kWh, respectively and a monthly demand charge of $16.1/kVA amd $ 8.02/kVA for peak and for shoulder peak demand periods, respectively.
Overall, the Glaciem R744 system is able to deliver significant energy savings reducing annual energy consumption by 31%, 17% and 35% relative to a conventional cascade system, a conventional R744 booster system and a traditional HFC system, respectively. The novel R744 system is able to reduce peak demand relative to these systems by 19%, 47% and 29%, respectively. The very high peak demand of the conventional R744 booster system, demonstrates its lack of suitability in hot climates.
Table 2: Annual techno-economic performance of the novel R744 booster refrigeration system. (Low temperature annual thermal load=244.3MWh, Medium temperature annual thermal load=461.5 MWh)
Table 3. Relative energy and cost savings of the novel R744 system compared to a cascade, conventional booster system and R404A parallel system.
| Parameter | Cascade R134a- R744 | Conventional R744 booster | Conventional R404A parallel configuration |
|---|---|---|---|
| Annual energy consumption reduction | 31% | 17% | 35% |
| Annual energy usage cost savings | 30% | 18% | 34% |
| Annual demand cost savings | 26% | 44% | 32% |
| Annual electricity cost savings | 30% | 18% | 34% |
| Peak demand reduction | 19% | 47% | 29% |
The variation in annual and peak energy savings relative to other systems is attributable to the unique COP characteristics of the Glaciem CO2 system. Figs. 2 and 3 presents the relative difference in the COP of the Glaciem system with respect to the cascade and parallel R404A system, respectively, for each hour over the TMY, weighted to the electrical load. R744 enables lower condensing temperatures than HFCs resulting in consistently higher COPs at low ambient temperatures. The difference in COP is sometimes small during mild conditions, consistent with periods of high humidity. However, during hot conditions, when refrigeration loads are maximum a significant improvement in efficiency is achieved relative to both conventional systems when dew point cooling is most effective.
CONCLUSIONS
The novel R744 Glaciem refrigeration system can achieve significant savings in energy relative to conventional air cooled refrigeration systems. With the transition away from HFC refrigeration systems, this technology represents an effective solution. The system achieves maximum savings during hot conditions. The significance of reducing energy demand during these conditions, corresponding to peak grid electrical demand, cannot be understated. With more cost reflective tariffs likely in the future, the price of energy during peak demand times will rise relative to typical periods. Furthermore, climate change has shown that South Australia will experience more periods of hot conditions. Finally, new improvements in dew point cooling technology will increase energy savings. Consequently, the energy and cost savings relative to conventional refrigeration systems determined in this study represent the lower end of estimates with actual savings likely to be higher into the future.
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Installation Manual
MB176 Mini-Split Condenser Mounting Bracket
Caution: Do not exceed the weight limit below, serious injury or property damage may occur. Weight Limit = 176 lbs
For more info visit www.mrcool.com
Contents
Safety Precautions
Read Before Using
Incorrect usage may cause serious damage or injury.
The seriousness of potential damage or injuries is classified as either a WARNING or CAUTION.
This symbol indicates that ignoring instructions may cause death or serious injury.
WARNING
CAUTION
This symbol indicates that you should NEVER perform the indicated action.
WARNING
* This bracket is rated for 176 lbs (80 kg). Do not exceed this limit. If the rated weight limit is exceeded, serious property damage or personal injury may occur.
* Read and comprehend all installation instructions before beginning product installation. If you have questions about the installation, please contact your dealer or MRCOOL Support at 270-366-0457.
* This ductless mini-split condenser mounting bracket is intended only for use as specified. Improper usage may result in property damage or physical injury.
* The installation of this product requires basic mechanical skills and a full understanding of the installation manual.
* To safely lift and position the bracket. an assistant or mechanical lifting equipment can be useful.
* Before connecting the condenser bracket to the supporting surface, ensure the surface will support the combined weight of the bracket, the mini-split condenser. and attached components.
* When tightening screws, do not over tighten. Over tightening may cause long term damage to support structures. and reduce their support capacity.
* Check the bracket every three months to ensure it remains secure and safe to use.
* The bracket Is not Intended for any use other than the support of a ductless mini-split condenser.
This symbol indicates that ignoring instructions may cause moderate injury to your person, damage to your unit, or other property.
Component Checklist
Before beginning installation, review all components to ensure the process can be completed successfully, If any parts are missing or faulty, please contact your dealer or MRCOOL Support at 270-366-0457.
Begin the installation process by assembling the support mounts.
1. Position one Component C support and one Component D support in such a way that the Component C support is standing upright on its rectangular base and the Component D support is lying perpendicular with the square base of Component D intersecting Component C's interior.
3. Take two Component M8x55 M-B bolts and two Component M8 M-D nuts. With the Component C support standing upright and the Component D support pointed toward you, insert one Component M8x55 M-B bolt in the top bottom hole, then tighten one Component M8 M-D nut over the exposed end of the bolt extending out of the opposite side of Component C. The bolt should also extend through the top hole of Component D.
2. The four bolt holes near the base of Component C should be properly aligned with the four bolt holes near the square base of Component D.
4. Take the second Component M8x55 M-B bolt and extend it through the lower hole on Component C. Attach the Component M8 M-D nut to the end.
6. Next, take one Component E and insert it into the singular hole at the base of the upright Component C support.
5. Do not overtighten the nuts.
7. Finally, assemble two Component M8-25 M-A bolts, two Component B washers, two Component D8 M-C washers, and two Component M8 M-D nuts. Push the M-A bolt through the B washer, then insert it through the innermost slide hole in Component D. Place the M-C washer on the base of the M-A bolt, then secure it in place with an M-D nut. Do not overtighten.
9. This completes the assembly for one of the support mount.
8. Repeat this process for the second set of components and insert them in the outermost slide hole in Component D.
10. Repeat the process to assemble the second support mount.
Fig. 2.2
To properly install the bracket on a brick and concrete structure, you will need an install site with a structure strong enough to support the bracket and the condenser, a pencil to mark, a hand-held drill, and a level.
1. Use Wall Plate A and a pencil to mark the location of the mounting holes. Use a level to ensure the mounting holes are properly aligned.
3. Insert one Component W-A into the center mounting hole. Align Wall Plate A with the insert Component W-A and the other two mounting holes. The thick side of Wall Plate A should be on the bottom and parallel to the ground.
2. After the holes are marked and aligned, use a hand held drill with a 0.5 inch (12mm) drill bit to drill a hole approximately 1.8 inches (45mm) deep.
4. Attach a washer and a nut to Component W-A. Do not overtighten the nut.
6. Slide the other previously assembled support mount onto the lip of Wall Plate A from the right.
5. Slide one previously assembled support mount onto the lip of Wall Plate A from the left.
7. Mark four new mounting holes. Two mounting holes should be marked for the left support mount and two should be marked for the right support mount.
9. Using the same drill bit and drill depth as before, drill four mounting holes at the previously marked locations.
8. Remove the support mounts.
10. Insert one Component W-A into each of the four mounting holes.
12. Slide the other previously assembled support mount onto the lip of Wall Plate A from the right.
11. Slide one previously assembled support mount onto the lip of Wall Plate A from the left.
13. Align the support mounts with the mounting holes and the inserted components. Attach a washer and a nut to each Component W-A. Do not overtighten the nuts.
Installation Of The Bracket
Mark the exact location of mounting holes.
Drill Pilot Holes.
Fig. 3.2
CAUTION
Installers must verify that the supporting surface will safely support the combined weight of the equipment and all attached hardware and components.
Mounting The Air Conditioner
4
Slowly put the air conditioner on the Installed mounting bracket and make sure the air conditioner Is firmly supported by the mounting bracket.
Disclaimer: Air Conditioner not included with bracket.
Maintenance
* Check that the bracket Is secure and safe to use at regular Intervals.
* Please contact your distributor if you have any questions.
MB176 Mini-Split Condenser Mounting Bracket
The design and specifications of this product and/or manual are subject to change without prior notice. Consult with the sales agency or manufacturer for details.
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OPEN VIBRATORY CONVEYOR – Type AVC
The illustration shows a conveyor type AVC 800 x 7000 mm
OPEN VIBRATORY CONVEYOR TYPE AVC
Powered by the unique VibraDrive™
The ALVIBRA vibratory conveyor type AVC (Alvibra Vibratory Conveyor) is primarily designed for transport applications in the process industries.
Via intelligent and simple counterbalancing of vibrations the ATC conveyor is virtually vibration neutral in relation to the surroundings. Subsequently there is no need for special requirements for carrying structures, vibration dampers or the positioning of the equipment carrying the vibratory conveyor.
In addition to being comparatively noiseless, the system is easy to clean. The elliptic "forward only" movements of the AVC vibratory conveyor offers, the important advantage that all energy is utilized for the purpose of the forward transport only.
The system may be controlled and regulated simply and effectively by means of a frequency converter, providing a safe, flexible and controlled operation of the system.
As an option the system may be supplied with Active Vibration Control, by means of which transport capacity (transported quantities) may be kept at a constant level.
The interior and exterior surfaces of the trough are available in several grades of sanitary finish (such as 3A, FDA, EHEDG, USDA).
Please note
Most of the products offered by Alvibra A/S are covered by patents or pending patent applications. Interested parties may contact the R & D Department for further details. Alvibra® is a registered trademark. VibraDrive™ is a trademark of Alvibra A/S.
.
This transport solution reduces energy costs by 30 – 50 % when compared to conventional vibratory conveyors.
FEATURES
[x] Available in lengths from 1 m to 32 m.
[x] Saves energy - low energy consumption, using only one small standard motor.
[x] Intelligent counterbalancing of vibrations.
[x] Light design, yet robust construction and low building height means easy.
[x] Stainless steel AISI 304 or AISI 316.
[x] Different grades of sanitary finishes available.
OPTIONS
[x] Complete supply incl. of controller and frequency converter.
[x] Integrated CIP system.
[x] Automatic Infeed control incl. of buffer.
APPLICATIONS
[x] Vegetables.
[x] Fruit.
[x] Ingredients/spices.
[x] Snacks, chips.
[x] Cereals.
[x] Granular materials and products.
[x] Your product?
CONVEYOR PROGRAM TYPE AVC
[x] AVC 150 (150 mm width up to 18 m length)
[x] AVC 300 (300 mm width up to 24 m length)
[x] AVC 400 (400 mm width up to 32 m length)
[x] AVC 600 (600 mm width up to 32 m length)
[x] AVC 800 (800 mm width up to 32 m length)
[x] AVC 1000 (1 m width up to 32 m length)
Due to a policy of continuous enhancement of products, the information published in this dada sheet may not be accurate at all times. Prospective customers are advised to seek confirmation.
Tel.: +45 6222 7217 - Fax: +45 6222 7417 - [email protected] - www.alvibra.com
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Mall of Georgia ♦ 3333 Buford Dr Buford, GA 30519-4913 ♦ 770.271.9458
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DERANDOMIZING ARTHUR-MERLIN GAMES AND APPROXIMATE COUNTING IMPLIES EXPONENTIAL-SIZE LOWER BOUNDS
BARIŞ AYDINLIOĞLU, DAN GUTFREUND,
JOHN M. HITCHCOCK, AND AKINORI KAWACHI
Abstract. We show that if Arthur-Merlin protocols can be derandomized, then there is a language computable in deterministic exponential-time with access to an NP oracle, that requires circuits of exponential size. More formally, if every promise problem in prAM, the class of promise problems that have Arthur-Merlin protocols, can be computed by a deterministic polynomial-time algorithm with access to an NP oracle then there is a language in $E^{NP}$ that requires circuits of size $\Omega(2^n/n)$. The lower bound in the conclusion of our theorem suffices to construct pseudorandom generators with exponential stretch.
We also show that the same conclusion holds if the following two related problems can be computed in polynomial time with access to an NP-oracle: (i) approximately counting the number of accepted inputs of a circuit, up to multiplicative factors; and (ii) recognizing an approximate lower bound on the number of accepted inputs of a circuit, up to multiplicative factors.
Keywords. Approximate counting, Arthur-Merlin protocols, circuit complexity, derandomization.
Subject classification. 68Q15, 68Q17.
1. Introduction
1.1. Background. The fascinating connection between the existence of explicit functions that cannot be computed by small Boolean circuits and efficiently computable pseudorandom generators (PRGs) that suffice for derandomization, is one of the greatest achievements of complexity theory. The following two are equivalent (Impagliazzo and Wigderson (1997)):
1. There exists a language in the class $E = \text{TIME}(2^{O(n)})$ that requires Boolean circuits of size $2^{\Omega(n)}$ to be computed.
2. There exists a PRG $G : \{0, 1\}^m \rightarrow \{0, 1\}^n$ that is computable in time $\text{poly}(n)$ and fools Boolean circuits of size $\text{poly}(n)$, where $n = 2^{\Omega(m)}$.
It follows that both these items imply derandomization of probabilistic polynomial-time algorithms with only polynomial-time overhead in the running time (in the sequel we call such derandomizations full). Namely, $BPP = P$. The connection between computational hardness and derandomization, which was first suggested by Blum and Micali (1984) and Yao (1982) and was later coined hardness vs. randomness, supported the common belief (or maybe even is the origin of the belief) that in algorithmic settings, randomness does not enhance computational power in a significant way. Furthermore, it pointed out a tight relation between two central concepts in computational complexity: circuit lower bounds and pseudorandomness.
In fact, this connection is so deep and profound that it extends to many other settings. Klivans and van Melkebeek observed that the proof of Impagliazzo and Wigderson (1997) relativizes and thus extends to other complexity classes (Klivans and van Melkebeek (2002)). For example, one can add an NP oracle to all the machines and circuits involved in the foregoing equivalence and obtain the derandomization of the class $BPP^{\text{NP}}$ (of languages that can be computed in probabilistic polynomial-time with access to an NP oracle), assuming hardness against circuits having access to an NP-oracle. They also showed, under a similar assumption, a full derandomization of the class AM (of languages for which membership can be proven via a constant-round interactive proof), i.e. $AM = NP$. This result was later improved by Miltersen and Vinodchandran (2005); Shaltiel and Umans (2005); Umans (2003) who obtained an equivalence between hardness and pseudorandomness as above in the nondeterministic setting. That is, hardness against non-deterministic circuits (instead of NP-oracle circuits) is equivalent to PRGs that fool non-deterministic circuits and hence implies the derandomization of the class AM.
The foregoing equivalence also extends to other settings of parameters. For example, one can weaken the lower bound in Item 1 to hold against circuits of size $\text{poly}(n)$, and then weaken the quality of the PRG in Item 2 so it only has a polynomial stretch, i.e., $n = \text{poly}(m)$. This in turn implies a weaker derandomization of BPP placing it in the class SUBEXP (Babai, Fortnow, Nisan, and Wigderson (1993)). Furthermore, there is a smooth transition of tradeoffs between the hardness in Item 1 and the quality of the PRG in Item 2, where the exponential setting of parameters that we stated above is at the one extreme (called the high-end) and the polynomial setting is at the other
Unfortunately, it is a challenging task to prove lower bounds for circuit size in general, and the hardness vs. randomness paradigm has been useful in obtaining unconditional derandomizations only in very limited computational models (Nisan (1991); Viola (2007)). A natural question then arises: Do we really need to prove circuit lower bounds (or equivalently construct PRGs) in order to derandomize more general randomized complexity classes such as BPP or AM? Several works investigated this question and showed that in some settings the answer is yes, i.e., derandomization itself implies circuit lower bounds!
The first result of this flavor was given by Buhrman, Fortnow, and Thierauf (1998) who showed that if the class MA is equal to NP then NEXP ⊈ P/poly.\(^2\) Impagliazzo, Kabanets, and Wigderson (2002) significantly strengthened this result by showing that if MA is contained in subexponential nondeterministic time then NEXP ⊈ P/poly. A similar conclusion follows from the derandomization of the class prBPP (of promise problems that can be solved in probabilistic polynomial-time) since it implies the derandomization of the class MA. Kabanets and Impagliazzo showed that if the problem of Polynomial Identity Testing, which is known to be in BPP, is in SUBEXP, then either NEXP ⊈ P/poly or computing the Permanent cannot be done by polynomial-size arithmetic circuit (Kabanets and Impagliazzo (2004)). Results of a similar flavor were given in Santhanam (2007) Arvind and Mukhopadhyay (2008); Dvir, Shpilka, and Yehudanoff (2009); Kinne, van Melkebeek, and Shaltiel (2009).
While the lower bounds obtained from the derandomization assumptions in the aforementioned results are not strong enough to obtain PRGs that im-
\(^1\)By ‘derandomization’ we mean showing that a randomized class is contained in a deterministic class in a non-trivial way. Note that PRGs are sufficient for derandomization but are not known to be necessary. Furthermore, while PRGs directly yield circuit lower bounds, it is not clear if derandomization does so in general. Very recently, Goldreich (2010) showed that in the context of uniform derandomization, PRGs and derandomization are equivalent. Informally, there exist PRGs that fool efficient (uniform) algorithms if and only if the class prBPP can be fully derandomized on the average (i.e., it is infeasible for efficient algorithms to generate instances on which the derandomization fails). Goldreich (2010) also shows an equivalence between the full derandomization of prBPP on the worst case and the existence of targeted PRGs. Roughly speaking, these are PRGs that are given as an auxiliary input the description of the statistical test that needs to be fooled. In the context of this work, it is important to point out that PRGs that fool uniform algorithms as well as targeted PRGs do not seem to directly imply circuit lower bounds.
\(^2\)This result is actually a corollary of their main result and is not mentioned in their paper. It is explicitly stated in Impagliazzo, Kabanets, and Wigderson (2002) (see Remark 26).
ply back the derandomization assumptions, they still suggest that the two-way connections between hardness and pseudorandomness also extend to derandomization. A natural question is how general this phenomenon is? Is it as general as the equivalence between circuit lower bounds and pseudorandomness which holds in so many different settings? Can we extend it to other settings of parameters or models of computation?
Note that all of the aforementioned results start with the assumption that a weak derandomization is possible (placing some probabilistic class in a subexponential class that does not require probability) and conclude in a lower bound for superpolynomial-size (either Boolean or arithmetic) circuits. Thus the connections hold in the low-end setting of parameters, and in particular, they only imply PRGs with polynomial stretch. (We mention that some of the results do not imply PRGs at all since they obtain lower bounds which are seemingly too weak for the construction of PRGs). An exception is Kinne, van Melkebeek, and Shaltiel (2009) who gave an alternative proof to Kabanets and Impagliazzo (2004) for which the parameters scale better. Thus they obtain results also for parameter settings in between the low-end and the high-end. However, their proof still falls short from proving a connection for the high-end (namely an exponential-size lower bound from full derandomization), and furthermore, their lower bounds, just like Kabanets and Impagliazzo (2004), are with respect to arithmetic circuits and thus do not imply PRGs that fool Boolean circuits. Furthermore, inspecting the proofs of all other results mentioned above, one can see that they do not imply stronger lower bounds and PRGs even if full derandomization is assumed.
1.2. Our Results. In this paper we extend the connections among derandomization, circuit lower bounds and PRGs to the high-end setting, by showing that a full derandomization of a probabilistic class (and in fact a certain task) implies exponential-size circuit lower bounds and PRGs with exponential stretch. This is done in the context of derandomizing AM.
Arthur-Merlin games. The probabilistic class we consider is the promise version of the class of languages that can be accepted by an Arthur-Merlin game, denoted prAM.
**Theorem 1.1.** If every promise problem in prAM can be computed in deterministic polynomial-time with access to an NP oracle, then there exists a language in $E^{NP}$ that requires deterministic circuits of size $\alpha 2^n/n$ for some positive constant $\alpha$ and all but finitely many input lengths $n$.
Recall that $P^{NP}$ denotes the class of languages that can be computed in deterministic polynomial-time with an NP oracle, and $E^{NP}$ its linear-exponential analogue. See Section 2 for definitions of promise problems and of prAM.
Note that a full derandomization of prAM would mean that every problem in it has a solution in the class NP. Our derandomization assumption is seemingly weaker since $NP \cup coNP \subseteq P^{NP}$. Note also that the circuit lower bound achieved, albeit only for deterministic circuits, is close to the maximal one, which is $\Theta(2^n/n)$ (Shannon (1949)). (On the other hand, we note that in order to achieve a full derandomization of prAM we currently need lower bounds for the class NE $\cap$ coNE with respect to nondeterministic circuits.)
Combining the results of Klivans and van Melkebeek (2002); Nisan and Wigderson (1994) and Theorem 1.1 we get that the derandomization of the class prAM implies the existence of PRGs with exponential stretch that can be computed efficiently with an NP oracle, and fool deterministic Boolean circuits.
Theorem 1.1 is a step towards the converse of the hardness vs. randomness tradeoffs of Miltersen and Vinodchandran (2005); Shaltiel and Umans (2005); Umans (2003), namely that the existence of a language in the class $E^{NP}$ that requires nondeterministic circuits of size $2^{\Omega(n)}$ implies the existence of a PRG with exponential stretch that can be computed efficiently with an NP oracle, and fools nondeterministic Boolean circuits. This in turn implies that prAM $\subseteq P^{NP}$. Finally, we note that the lower bound in the conclusion of our theorem does imply the inclusion prMA $\subseteq P^{NP}$.
**Approximate lower bound problem.** Consider the following promise problem, which we call the *approximate lower bound problem*:
Given a nondeterministic circuit, decide whether it accepts on a large fraction of its input settings or on a significantly smaller fraction, where “large” and “significantly smaller” are quantified by inputs to the problem, and where we are promised that one of the two cases hold. (A formal statement of this problem is implicit in Theorem 1.2 below.) This problem is complete for the class prAM (Goldwasser and Sipser (1989)); hence the circuit lower bound in Theorem 1.1 follows by derandomizing just this particular problem.
Now consider a special case of the approximate lower bound problem, where the given circuit is deterministic instead of nondeterministic. It turns out that derandomizing this seemingly easier problem suffices to yield the circuit lower
\footnote{We commit a common abuse of notation and mean by the inclusion $\text{prC}_1 \subseteq C_2$ that for any promise problem $\Pi \in \text{prC}_1$, there is some language in $C_2$ that agrees with $\Pi$ on the promise. See Section 2 for details.}
\footnote{also called “set lower bound protocol”, “Goldwasser-Sipser protocol” in some texts.}
bound in Theorem 1.1.
**Theorem 1.2.** Let $C$ denote a Boolean circuit, and $b$ an integer in binary. If for some positive constant $\delta$ there is a language in $\text{P}^{\text{NP}}$ that contains all instances $(C, b)$ where $|C^{-1}(1)| \geq b$ and does not contain any instances where $|C^{-1}(1)| < \delta \cdot b$, then there is a language in $\text{E}^{\text{NP}}$ that requires circuits of size $\alpha 2^n/n$ for some positive constant $\alpha$ and all but finitely many input lengths $n$.
**Approximate counting.** A close relative of the approximate lower bound problem is the problem of computing an estimate on the number of inputs accepted by a (deterministic) circuit. Specifically, given $(C, \eta)$, the problem is to output a number $c$ such that $(1 - \eta)|C^{-1}(1)| \leq c \leq (1 + \eta)|C^{-1}(1)|$.
The result of Shaltiel and Umans (2006) implies that if $\text{E}^{\text{NP}}$ requires exponential-size nondeterministic circuits, then approximate counting can be done in time polynomial in $1/\eta$ and in the size of $C$, when given access to an NP oracle. Theorem 1.2 implies a complement to this, namely that if approximate counting can be computed as stated, then $\text{E}^{\text{NP}}$ requires exponential-size (albeit deterministic) circuits. This follows by setting $\delta < (1 - \eta)/(1 + \eta)$; in this case the approximation with parameter $\eta$ is enough to distinguish the two cases of Theorem 1.2 with parameter $\delta$.
**Parameterization.** In fact we show a yet stronger result, of which Theorem 1.2 is a special case. Namely, we show a parameterized version of Theorem 1.2 that reveals a randomness vs. hardness tradeoff for the approximate lower bound problem.
**Theorem 1.3.** Let $t$, $1/\delta$, and $s$ be functions such that $t$ and $1/\delta$ are monotone, $1/\delta$ and $s$ are constructible, and $m/\delta(m) = O(2^n)$ whenever $m(n) = O(s(n)\log s(n))$. Let $C$ denote a Boolean circuit on $m$ inputs, and $b$ an integer in binary. If there is a language in $\text{DTIME}(t(n))^{\text{NP}}$ that contains all instances $(C, b)$ where $|C^{-1}(1)| \geq b$ and does not contain any instances where $|C^{-1}(1)| < \delta(m) \cdot b$, then there is a language in $\text{DTIME}(t'(n))^{\text{NP}}$ that requires circuits of size $s(n)$ for all but finitely many input lengths $n$, where
$$t'(n) = t\left((s(n) \cdot \frac{1}{\delta(O(s(n)\log s(n)))})^{O(1)}\right).$$
Theorem 1.3 gives the following interesting instantiations that yield a hard language in $\text{E}^{\text{NP}}$.
Corollary 1.4. For each combination of the parameters $t$, $\delta$, and $s$ in the table below, under the hypothesis of Theorem 1.3, there is a language in $\text{E}^{\text{NP}}$ that requires circuits of size $s(n)$ for all but finitely many input lengths $n$.
| $t(n)$ | $\delta(n)$ | $s(n)$ |
|--------------|---------------|------------|
| $n^{O(1)}$ | $\Omega(1)$ | $\Omega(2^n/n)$ |
| $2^{(\log n)^{O(1)}}$ | $1/2^{(\log n)^{O(1)}}$ | $2^{n^{\Omega(1)}}$ |
| $2^{n^{o(1)}}$ | $1/n^{O(1)}$ | $n^{\omega(1)}$ |
Note that Theorem 1.2 follows from the first line of the table.
1.3. Our Techniques. We present two approaches to establish results like ours. The first one is rather elementary, yet it yields the full strength of Theorem 1.1, Theorem 1.2, and Theorem 1.3. The second one is more involved, as it builds on a number of earlier works, and yields quantitatively weaker results. We nevertheless include the second approach as it may be useful in obtaining circuit lower bounds in other contexts. The second approach was discovered earlier and appears in the preliminary version of this paper, Gutfreund and Kawachi (2010). The first approach was reported in Aaronson, Aydinlioglu, Buhrman, Hitchcock, and van Melkebeek (2010).
Underlying both of our approaches are ideas that date back to Kannan (1982) who used it to prove unconditional circuit lower bounds. Consider the problem of computing, within the polynomial-time hierarchy, a language $L$ that is hard for circuits of size $s := n^k$ for some $k > 0$ (for all but finitely many lengths $n$). By a counting argument, the number of size-$s$ circuits is less than the number of strings of length $\ell := s^{1+\Omega(1)}$. Hence, if we view each length-$\ell$ string as the truth table of a function on $\log \ell$ bits (assuming wlog that $\ell$ is a power of 2), we see that the task of computing a hard language $L$ on $n$ bits can be accomplished by first finding the truth table of a hard language $L'$ on $\log \ell = O(\log n)$ bits, then trivially extending this truth table (say, by padding with zeroes) so that it corresponds to a function $L$ on $n$ bits, and finally returning the entry in the truth table that corresponds to the given input. Now, observe that it is a coNP task to decide whether a given truth table of length $\ell$ is hard (i.e., whether the truth table corresponds to a language $L'$ that is hard for size-$s$ circuits). Observe further that it is a $\Sigma_2^P$ task to decide whether a given string is the prefix of some length-$\ell$ truth table that is hard. It follows that by doing a binary search we can find the lexicographically least truth table of a hard $L'$, hence of a hard $L$, in $\text{P}^{\Sigma_2^P}$.
The argument in the preceding paragraph gives fixed-polynomial-size circuit lower bounds in the polynomial-time hierarchy. To prove exponential-size circuit lower bounds in the exponential-time hierarchy, one runs the above argument with $s := 2^{\Theta(n)}$ instead of $s := n^k$. Thus, one gets a function in $\text{E}^{\Sigma_2^P}$ that requires circuits of linear-exponential size. Though quite simple, this is currently (as it has been for almost 30 years) the best known exponential-size lower bound.
Both our proofs essentially show that in order to find exponentially hard truth-tables we can replace the $\Sigma_2^P$ oracle in the above argument with a prAM oracle. The derandomization hypothesis then implies a function in $\text{E}^{\text{NP}}$ that requires circuits of linear-exponential size. Note that prAM $\subseteq \Pi_2^P$ (Fürer, Goldreich, Mansour, Sipser, and Zachos (1989)) (and clearly oracle access to $\Sigma_2^P$ is equivalent to oracle access to $\Pi_2^P$), so our oracle is certainly not stronger than the oracle in Kannan’s proof, and is widely believed to be weaker. Indeed our result implies the lower bound for $\text{E}^{\Sigma_2^P}$. In Section 5 we explain why we nevertheless do not prove a new explicit lower bound.
Our two proofs differ in the way they substitute the $\Sigma_2^P$ oracle with a prAM oracle. In our first (i.e., elementary) proof, instead of using a $\Sigma_2^P$ oracle for finding the lexicographically least truth table that is hard via binary search, we use a prAM oracle for finding some hard truth table via approximate halving. Specifically, we construct a truth table by successively setting its next bit so as to eliminate a significant fraction of those circuits that agree with the truth table constructed thus far. We accomplish this by using the prAM oracle to get an approximate count on the number of circuits that would be eliminated in case the next bit in the truth table is set to zero or to one. Approximate counting ensures that at each iteration, although we may not eliminate half of the remaining circuits (as we could if we had an oracle that did exact counting), we do eliminate a significant fraction of them. Hence we build a hard truth table fairly quickly.
Our alternate proof builds on yet another strategy of Kannan (1982) who used it to improve his above-described lower bound on fixed-polynomial-size circuits. The idea is to use the well-known result of Karp and Lipton (1980) that if SAT is computable by polynomial size circuits (for almost all input lengths), then PH, the polynomial-time hierarchy, collapses to $\Sigma_2^P$. Specifically, consider two cases: SAT has circuits of size $s := n^k$ for some $k > 0$, or not. In the latter case we can just take $L = \text{SAT}$, since the language SAT itself has the desired hardness (albeit only for infinitely many input lengths $n$ rather than all but finitely many). In the former case, due to the collapse of PH, the binary search for finding a hard truth table is now computable in $\Sigma_2^P$ rather
than $P^{\Sigma_2^P}$. It follows that for every $k > 0$ there is a language in $\Sigma_2^P$ that is hard for size-$n^k$ circuits. Note that it does not seem possible with this approach to achieve lower bounds that hold on almost all input lengths.
This argument is fruitful in obtaining fixed-polynomial size circuit lower bounds further down in PH, because it can leverage any improvement to the Karp and Lipton (1980) result that gives a stronger collapse consequence of PH. For example, the current strongest consequence of SAT having polynomial size circuits, due to Cai (2007), is that PH collapses to $S_2^P$. Plugging this result into the preceding argument immediately yields a hard language in $S_2^P$ instead of in $\Sigma_2^P$.
Despite its usefulness in obtaining fixed-polynomial size circuit lower bounds, it is not clear how this argument can be scaled up to give exponential size circuit lower bounds. Specifically, the problem lies in the case distinction on the hardness of SAT. For example, if we replace $s := n^k$ with $s := 2^{\Theta(n)}$, then the case that SAT is hard for size-$s$ circuits scales up fine, but then we do not know how to handle the first case that SAT has size-$s$ circuits. In particular, we do not know of any Karp-Lipton style collapse\footnote{Results that show the containment of some uniform class in a non-uniform class imply a collapse of high uniform classes into lower classes are called Karp-Lipton style collapses (after Karp and Lipton (1980) who were the first to show such a result).} with that setting of $s$. We may attempt to replace SAT with a seemingly harder language, say some language in a class $C$, where $C$ is contained in the class for which we want to show a lower bound. Unfortunately this issue cannot be fixed this way; for otherwise we would not have the current gap between the known super-polynomial size lower bounds (which hold with respect to classes that are contained in the second level, namely MA-EXP (Buhrman, Fortnow, and Thierauf (1998))), and the known exponential-size lower bounds (which only hold with respect to classes that are in the third level of the hierarchy, namely $E^{NP}$ (Kannan (1982))). Indeed, it was argued by Miltersen, Vinodchandran, and Watanabe (1999) that Karp-Lipton style collapses that are needed for Kannan’s strategy hold with respect to size functions up to half-exponential (a function $s$ is half-exponential if $s(s(n)) \in 2^{\Theta(n)}$) but do not seem to carry over to larger size bounds, to $2^{\Theta(n)}$ in particular.
The main contribution of our alternate proof is a way to scale up this easy/hard case analysis and obtain the desired exponential circuit lower bounds. For this we exploit a connection with learning theory. We refer to Section 4 for more intuition and details. We believe that this approach may be useful in scaling fixed-polynomial-size circuit lower bounds to exponential level.
2. Basic Notions and Notation
For a Boolean function $f : \{0, 1\}^* \rightarrow \{0, 1\}$, we denote by $f^n$ the restriction of $f$ to instances of length $n$. We use “language” and “Boolean function” interchangeably. For a (possibly infinite) family of circuits $\mathcal{C}$ we denote by $\mathcal{C}^n$ the circuits in $\mathcal{C}$ with exactly $n$ input gates.
For an integer $n > 0$, we denote by $[n]$ the set $\{1, \ldots, n\}$. For a string $s \in \{0, 1\}^*$ we denote by $|s|$ the length of $s$. For two strings $s, t \in \{0, 1\}^*$ we denote by $s \circ t$ their concatenation.
2.1. Complexity Classes. We assume that the reader is familiar with standard complexity classes such as P, NP, E etc. For a class of (oracle-aided) algorithms $\mathcal{A}$ and a class of functions $\mathcal{F}$ we denote by $\mathcal{A}^\mathcal{F}$ the class of functions that are computable by some algorithm in $\mathcal{A}$ that is given oracle (i.e., unit cost) access to a function in $\mathcal{F}$.
Often when we describe algorithms that use as oracle some function in a class $\mathcal{F}$ it is convenient to actually assume that the algorithm has unit cost access to several (constant number of) functions $f_1, \ldots, f_c$ all in $\mathcal{F}$. We can then think of the algorithm having access to a single function in $\mathcal{F}$ by binding the functions to a single function $f(i, x) = f_i(x)$ for $1 \leq i \leq c$. This holds whenever the function class is closed under such composition, which is always the case in this paper.
For a size function $s : \mathbb{N} \rightarrow \mathbb{N}$, we denote by SIZE$(s(n))$ the class of languages computable by $s(n)$-size $n$-input Boolean circuits, where we assume the standard bounded fan-in model; the circuits consist of 2-input AND and OR gates, and 1-input NOT gates. We measure the size of a circuit by the number of its gates.
We recall a standard fact regarding circuit descriptions that we use in subsequent sections. Every $s(n)$-size $n$-input Boolean circuit can be described by a string of length $\Theta(s(n) \log s(n))$. Precisely, such a circuit can be described by a sequence of $s(n)$ triples, where each triple describes a gate with $O(1) + 2 \log s(n)$ bits: a constant number of bits for the gate type, $\log s(n)$ bits for identifying the first input of the gate, and another $\log s(n)$ bits for the second input, where a gate is identified by the position of the triple describing it. It follows that $3s(n) \log s(n)$ bits suffice to describe all $n$-input Boolean circuits of $s(n)$-size. We interpret each string of length $3s(n) \log s(n)$ as the description of some such circuit. We note that from its description such a circuit can be simulated in time poly$(s(n))$.
For more details on complexity classes, see textbooks of Goldreich (2008) and Arora and Barak (2009).
2.2. Promise Problems. The notion of promise problems were introduced by Even, Selman, and Yacobi (1984); see the survey by Goldreich (2005). Recall that a promise problem $\Pi$ is defined by two disjoint sets $\Pi^Y \subseteq \{0, 1\}^*$ which we call the ‘yes’ instances of $\Pi$, and $\Pi^N \subseteq \{0, 1\}^*$ which we call the ‘no’ instances of $\Pi$. A function $f : \{0, 1\}^* \rightarrow \{0, 1\}$ agrees with a promise problem $\Pi$, if $f(x) = 1$ for every $x \in \Pi^Y$, $f(x) = 0$ for every $x \in \Pi^N$ and $f(x)$ can take any value in $\{0, 1\}$ if $x \not\in \Pi^Y \cup \Pi^N$.
For a class of algorithms $\mathcal{A}$ and a class of promise problems $\mathcal{F}$, a function $g : \{0, 1\}^* \rightarrow \{0, 1\}$ is said to be in the class $\mathcal{A}^\mathcal{F}$, if there exists an algorithm $A \in \mathcal{A}$ and a promise problem $\Pi \in \mathcal{F}$, such that when $A$ is given oracle access to any function $f$ that agrees with $\Pi$, it computes the function $g$. In other words, while $A$ may ask queries which are not in $\Pi^Y \cup \Pi^N$ and hence receive arbitrary answers, it must compute the same function $g$ regardless of the values of these arbitrary answers.
We take a fairly standard, though formally inaccurate, point of view and say that a class of promise problems $\mathcal{F}$ is contained in a class of Boolean functions $\mathcal{C}$, if for every promise problem $\Pi \in \mathcal{F}$, there exists a function in $\mathcal{C}$ which agrees with $\Pi$.\footnote{Strictly speaking, a promise problem is a partial function that is undefined on the out-of-promise instances. We view such a problem as a member of the language class $\mathcal{C}$ if it can be extended to a (total) function in $\mathcal{C}$.}
The class prAM contains all the promise problems for which there is an Arthur-Merlin protocol whose completeness holds with respect to all the ‘yes’ instances and the soundness holds with respect to all the ‘no’ instances. The protocol may behave arbitrarily on instances which are not in $\Pi^Y \cup \Pi^N$. Formally, prAM is defined as follows.
**Definition 2.1.** We say that a promise problem $\Pi$ is in the class prAM if there is a polynomial-time computable relation $R(\cdot, \cdot, \cdot)$ such that the following holds:
- **Completeness:** For every $x \in \Pi^Y$, $\Pr_r[\exists y \text{ such that } R(x, y, r) = 1] \geq 2/3$
- **Soundness:** For every $x \in \Pi^N$, $\Pr_r[\exists y \text{ such that } R(x, y, r) = 1] \leq 1/3$,
where $|r| = |y| = \text{poly}(|x|)$.
It is well known (Babai and Moran (1988); Goldwasser and Sipser (1989)) that the definition above is equivalent to the class of all the promise problems
that have interactive protocols (in the model of Goldwasser, Micali, and Rackoff (1989)) with a constant number of rounds between an all-powerful prover (Merlin) and a probabilistic polynomial-time verifier (Arthur).
3. Elementary Approach
In this section we present an elementary proof of our results. We first describe the intuition for the proof of Theorem 1.2 and then provide the formal proof for the fully parameterized version, Theorem 1.3.
3.1. Proof Idea. As mentioned in Section 1.3, the idea behind the main proof is to construct a language that requires large circuits by setting the prefix of its characteristic sequence so as to quickly diagonalize against all small circuits. More specifically, we mimic the process of successively setting the next bit of the characteristic sequence to the minority vote of the circuits of size $\alpha 2^n/n$ that are consistent with the sequence constructed thus far. This ideal process would reduce the number of consistent circuits by at least half in each step, implying that we’d be done after $O(\alpha 2^n)$ steps.
Now, let $A$ be a language in $\text{P}^{\text{NP}}$ that solves the promise problem described in the statement of Theorem 1.2. Using $A$ as an oracle, we can mimic the above ideal process and guarantee that we reduce the number of consistent circuits by some constant factor $\beta < 1$, where $\beta$ depends on $\delta$. To do so, it suffices to approximate the number of circuits consistent with the sequence thus far extended with a zero, do the same for the extension with a one, and select the extension that gives the smaller estimate. This approximation can be obtained by a binary search on the approximate number $b$, by calling $A$ with an input $C$ that embodies the characteristic sequence so far. The process ends after $O(\alpha 2^n/\log(1/\beta))$ steps, which is less than $2^n$ for sufficiently small $\alpha$ and sufficiently large $n$. Since $A$ lies in $\text{P}^{\text{NP}}$, the resulting process yields a language in $\text{E}^{\text{NP}}$ that has no circuits of size $\alpha 2^n/n$ for all but finitely many input lengths $n$.
3.2. Formal Proof. We now fill in the details and give a formal proof of Theorem 1.3.
Let $s(n) \geq n$ denote the circuit lower bound we are shooting for, i.e., we want to construct a language $L$ that requires circuits of size $s(n)$ for all but finitely many input lengths $n$.
Let $A$ denote a language that solves the promise problem given in the statement of Theorem 1.3. For a given Boolean circuit $C$ on $m$ inputs and an integer $b$ in binary, $A$ contains $(C, b)$ if $|C^{-1}(1)| \geq b$ and does not contain $(C, b)$
if \(|C^{-1}(1)| < \delta(m) \cdot b\). In the middle case where \(|C^{-1}(1)| \in [\delta(m) \cdot b, b)\), the membership of \((C, b)\) to \(A\) can be arbitrary.
The circuits \(C\) we supply to \(A\) take as input the description of a circuit \(D\) of size \(s(n)\) on \(n\) inputs. Thus, \(C\) takes \(m = O(s(n) \log s(n))\) inputs.
We construct \(L\) iteratively, where in iteration \(i = 0, 1, \ldots\), we determine \(\chi_i\), the \(i\)th symbol of the characteristic string \(\chi\) of \(L\). To explain iteration \(i\) we denote by \(S_i\) the set of circuits of size \(s(n)\) on \(n\) inputs that agree with \(\chi\) up to its \(i\)th symbol, i.e., a circuit \(D\) is in \(S_i\) iff for \(j = 0, \ldots, i - 1\), \(D\) outputs \(\chi_j\) when given as input the \(n\)-bit binary encoding of integer \(j\). In iteration \(i\) we first tentatively set \(\chi_i\) to 0 and use \(A\) to obtain an estimate \(\sigma_0\) on the size of \(S_{i+1}\). Then we set \(\chi_i\) to 1 and obtain an estimate \(\sigma_1\). We finalize \(\chi_i\) to the value \(c \in \{0, 1\}\) such that \(\sigma_c = \min(\sigma_0, \sigma_1)\) (say we set \(c = 0\) in case of a tie).
To estimate \(|S_{i+1}|\), first we construct a circuit \(C\) that recognizes \(S_{i+1}\). The circuit \(C\) takes as input a binary string of length \(m\) that is the description of a size \(s(n)\) circuit \(D\) on \(n\) inputs, and returns 1 iff \(D \in S_{i+1}\). More precisely, \(C\) contains as hardcode the characteristic string \(\chi\) constructed thus far and simulates its input \(D\) on inputs \(j = 0, \ldots, i\), and accepts iff \(D\) agrees with \(\chi\) for all \(j\). Next, we run a binary search for the largest integer \(b^*\) such that \((C, b^*) \in A\). Note that \((C, 0) \in A\) so \(b^*\) exists. The binary search returns a value \(\tilde{b}\) such that (i) \((C, \tilde{b}) \in A\) and (ii) \((C, \tilde{b} + 1) \not\in A\). As \(A(C, \cdot)\) may not be perfectly monotone, \(\tilde{b}\) may differ from \(b^*\) but the specification of \(A\) guarantees that \(|C^{-1}(1)| \geq \delta(m) \cdot \tilde{b}\) (because of (i)) and \(|C^{-1}(1)| < \tilde{b} + 1\) (because of (ii)), so our estimate \(\tilde{b}\) satisfies
\[
|S_{i+1}| \leq \tilde{b} \leq |S_{i+1}|/\delta(m).
\]
At the end of iteration \(i\), if the smaller estimate \(\sigma_c\) in iteration \(i\) was 0 then by (3.1) we conclude that the diagonalization is complete and we terminate the iterations. Finally, to decide whether \(x \in \{0, 1\}^n\) belongs to \(L\), we interpret \(x\) as an integer and accept if \(x\) is less than the length of \(\chi\) and the \(x\)th symbol of \(\chi\) is 1; we reject \(x\) otherwise. This completes the construction of \(L\).
For the construction to work, we need to make sure that the diagonalization is completed by the time we exhaust the \(2^n\) inputs of length \(n\). Consider the number of circuits eliminated in round \(i\). According to our estimate this number is \(\sigma_{-c}\), but by (3.1) it may actually be as little as \(\delta(m) \cdot \sigma_{-c}\). Since the total number of circuits under consideration at round \(i\) is, again by (3.1), at most \(2\sigma_{-c}\), it follows that at least a \(\delta(m)/2\) fraction of those circuits are eliminated during round \(i\). Thus, \(|S_i| \leq (1 - \delta(m)/2)^i \cdot |S_0| \leq \exp(-i\delta(m)/2) \cdot 2^m\). The latter quantity is less than 1 for \(i > 2 \ln(2)m/\delta(m)\). So, as long as \(2 \ln(2)m/\delta(m) < 2^n\), we
can complete the diagonalization process as required. Note that the condition is met if \( m/\delta(m) = O(2^n) \) for every \( m(n) = O(s(n) \log s(n)) \).
Let us now analyze the complexity of the resulting language \( L \). The circuits \( C \) used in the \( i \)th step can be constructed in time \( \text{poly}(i, s(n)) \). The binary search in each step requires at most \( m \) calls to \( A \), as \( b^* \) ranges up to \( 2^m \). Assuming \( A \) can be decided in time \( t(N) \) on inputs of length \( N \) (when given access to an oracle for NP), the amount of time for the \( i \)th step is \( O(m \cdot t(\text{poly}(i, s(n)))) \) (when given access to NP). By the previous paragraph, the number of steps is \( O(m/\delta(m)) \). Hence, given access to NP, the amount of time over all steps is
\[
O \left( \frac{m^2}{\delta(m)} \cdot t(\text{poly}(\frac{m}{\delta(m)}, s(n))) \right)
\]
\[
= \quad O \left( t(\text{poly}(s(n)), \frac{1}{\delta(O(s(n) \log s(n))))}) \right),
\]
where we assume that \( t(N) \) and \( 1/\delta(m) \) are monotone and, without loss of generality, that \( t(N) \geq N \). If \( s(n) \) and \( 1/\delta(m) \) are constructible as well, (3.2) also bounds the overall time complexity of \( L \). We have thus proved Theorem 1.3.
### 4. Learning-Based Approach
In this section we present an alternate, learning-based approach to results like Theorem 1.1, Theorem 1.2, and Theorem 1.3.
Using this approach we do not know how to achieve the same quantitative strength as using the approach from the previous section. Nevertheless, as explained in Section 1.3, we believe that the learning-based approach has future potential for scaling fixed-polynomial circuit lower bounds to exponential circuit lower bounds.
Given the above, for simplicity of exposition, we do not attempt to obtain the strongest quantitative results the learning-based approach can give, and we only focus on the setting of Theorem 1.1. In particular, we prove the following result:
**Theorem 4.1.** If every promise problem in PRAM can be computed in deterministic polynomial-time with access to an NP oracle then there exists a language in \( E^{NP} \) that requires circuits of size \( 2^{\epsilon n} \) for some positive constant \( \epsilon \) and infinitely many input lengths \( n \).
Note that Theorem 4.1 is weaker than Theorem 1.1 because the circuit lower bound is only \( 2^{\epsilon n} \) for some positive \( \epsilon \) rather than \( \Theta(2^n/n) \), and because
the lower bound only holds infinitely often rather than almost everywhere. The approach in this section can be strengthened to yield a circuit lower bound of $2^{n^\epsilon}$ for every positive constant $\epsilon < 1$ and infinitely many input lengths; however, it does not seem to yield a circuit lower bound of $\Omega(2^n/n)$ as in Theorem 1.1, neither does it seem possible with this approach to achieve a lower bound that holds almost everywhere. These limitations seem to be inherent in Kannan’s argument on which our learning-based approach is based (see Section 1.3).
We start by describing the intuition. We provide the formal proof in the subsequent subsections.
4.1. Proof Idea. As we described in the Section 1.3, the approach of Kannan (1982) for proving fixed-polynomial-size circuit lower bounds, based on Karp-Lipton style collapses, does not seem to scale for proving exponential-size lower bounds. In particular, it seems that one needs a Karp-Lipton style collapse from the assumption that some exponential-time class has exponential-size circuits. Such results are currently not known.
Thus in order to prove Theorem 4.1 we need a different strategy. Somewhat surprisingly, our proof also goes via an easy/hard case analysis but not with respect to the classes that we are interested in, namely $\text{E}^{\text{NP}}$ and exponential-size circuits, but rather NP and fixed polynomial-size circuits. Consider two cases, either SAT can be computed by circuits of size, say $n^{10}$, or not. In the former case we are in a good position because we can use a Karp-Lipton style collapse. The result of Chakaravarthy and Roy (2008) shows that if SAT has polynomial-size circuits then PH collapses to the class $\text{P}^{\text{prAM}}$, and therefore by the derandomization assumption to $\text{P}^{\text{NP}}$. From here we proceed as in Kannan (1982). Namely, we can find in deterministic polynomial-time with access to an NP oracle a truth-table of a function on $O(\log n)$ bits that is hard for circuits of size $\text{poly}(n)$. The exponential-size lower bound now follows by translation.
The second case, in which SAT does not have circuits of size $n^{10}$, is more interesting. This is because at a first glance, the (fixed) polynomial-size lower bound for SAT seems to have nothing to do with exponential-size lower bounds. We show how to scale this fixed polynomial-size lower bound to the exponential level, and we do that via a connection to computational learning theory. We believe that this part of the proof is of independent interest.
Let us briefly discuss some notions from computational learning theory. Let $s(n), s'(n)$ be size functions (where $s'(n) \geq s(n)$). An algorithm $A$ exactly learns a Boolean function $f$ with respect to the concept class $\text{SIZE}(s)$ and hypothesis class $\text{SIZE}(s')$, if the following holds: if $f$ can be computed by circuits of size $s(n)$, then $A$, on input $1^n$, outputs a circuit of size $s'(n)$ that
computes $f$ at input length $n$ (i.e., $A$ has to learn a circuit for $f$ from the hypothesis class but not necessarily from the concept class). Clearly $A$ has to receive some information (in the form of an oracle) about $f$ to achieve this task. Several such oracles were considered in the literature, the most natural one being an oracle to $f$ itself.
A classic result in computational learning theory by Bshouty, Cleve, Gavaldà, Kannan, and Tamon (1996) is that there is an algorithm that exactly learns SAT with respect to the concept class $\text{SIZE}(n^k)$ and hypothesis class $\text{SIZE}(n^{k+3})$ (for any $k > 1$). The algorithm runs in probabilistic expected polynomial-time with access to a SAT oracle. Of course, we do not know if SAT has polynomial-size circuits. Indeed in the case that we consider, SAT cannot be computed by $n^{10}$-size circuits. So how does the algorithm of Bshouty, Cleve, Gavaldà, Kannan, and Tamon (1996) behave when SAT is not even in the hypothesis class $\text{SIZE}(n^{k+3})$? Fortnow, Pavan, and Sengupta (2008) observed that in this case the algorithm outputs a poly($n$)-long list of SAT instances such that every circuit of size $n^k$ fails to compute correctly the SAT-value of at least one of them.\footnote{We mention that a slightly stronger statement was later given by Atserias (2006).} We call this a \textit{list of counterexamples}.
We proceed in two steps. First, in section Section 4.2 we show that if there is a \textit{deterministic} learning algorithm that outputs a polynomially-long list of counterexamples, then there is an explicit function that requires exponentially large circuits (see Lemma 4.3). The complexity of computing this function is directly related to the complexity of the learning algorithm. In particular, if the algorithm runs in deterministic polynomial-time with access to an NP oracle, then there is a function in E$^{\text{NP}}$ that requires exponentially large circuits. Next, in section Section 4.3 we show (in Theorem 4.5), based on ideas from Bshouty, Cleve, Gavaldà, Kannan, and Tamon (1996); Chakaravarthy and Roy (2008); Fortnow, Pavan, and Sengupta (2008), that there is a \textit{deterministic} algorithm that uses an oracle to prAM for learning counterexamples (recall that the result of Fortnow, Pavan, and Sengupta (2008) only gives a randomized algorithm, so it is not good for us). By the hypothesis of Theorem 4.1, we can replace the prAM oracle with an NP oracle and then the lower bound follows in Section 4.4.
\subsection{Learning Counterexamples Implies Exponential-Size Lower Bounds.}
In this section we show the connection between the problem of learning counterexamples for SAT and exponential-size lower bounds. First, we formally define the problem of learning counterexamples.
**Definition 4.2.** Let \( f : \{0,1\}^* \to \{0,1\} \) be a function, and \( \mathcal{C} \) a family of Boolean circuits such that \( f \notin \mathcal{C} \). We say that an algorithm \( A \) learns \( \ell = \ell(n) \) counterexamples for \( f \) with respect to the concept class \( \mathcal{C} \), if for every \( n \) for which \( f^n \notin \mathcal{C}^n \), on input \( 1^n \), the algorithm outputs a list of at most \( \ell \) strings \( x_1, \ldots, x_\ell \) of \( n \)-bit length such that for every circuit \( C \in \mathcal{C}^n \), there exists \( 1 \leq i \leq \ell \) such that \( C(x_i) \neq f(x_i) \).
The following lemma states that deterministic learning of counterexamples for SAT implies exponential-size lower bounds.
**Lemma 4.3.** Suppose that for some \( c > k > 4 \) there is a deterministic algorithm \( A \) with access to an NP oracle that runs in time \( \text{poly}(n) \), such that \( A \) learns a list of \( n^c \) counterexamples for \( \text{SAT}^n \) with respect to the concept class \( \text{SIZE}(n^k) \), for infinitely many \( n \in \mathbb{N} \). Then there is a constant \( \delta > 0 \) (that depends only on \( k \) and \( c \)), and a language in the class \( \text{E}^{\text{NP}} \) that cannot be computed by circuits of size \( 2^{\delta n} \), for infinitely many input lengths \( n \).
Before we give the formal proof we briefly present the intuition. By the hypothesis, the algorithm \( A \) generates, in polynomial-time with access to an NP oracle, a list of counterexamples \( (\phi_1, ..., \phi_\ell) \) for some polynomial \( \ell(n) := n^c > n^k \). It holds that every \( n^k \)-size circuit fails on at least one instance in the list. It is tempting to take the function \( f(i) := \text{SAT}(\phi_i) \) as our hard function. However, this does not quite work. Since we cannot assume any particular property regarding the order of the \( \phi_i \)'s, it is hypothetically possible that the location of a formula in the list determines its satisfiability (e.g., every even formula in the list is satisfiable and every odd is unsatisfiable). Furthermore, since \( \ell > n^k \), a circuit of size \( n^k \) cannot necessarily determine the index of a formula from the formula itself, thus it is possible that the list is indeed hard for circuits of size \( n^k \) but \( f \) itself is easy. Instead we show that if \( f \) is easy for circuits of size \( n^k \) then the hardness of the counterexamples stems from the fact that it is hard to generate their description (under some canonical representation of Boolean formulas). That is, we show that the function \( h(i,j) = [\text{the } j\text{-th bit in the description of } \phi_i] \) is sufficiently hard for Boolean circuits.
More precisely, we do a case analysis. If an indexing function \( g : g(\phi_i) = i \) is easy, then we can prove that \( f(i) = \text{SAT}(\phi_i) \) is hard since otherwise a small circuit can compute all the SAT-values of the counterexamples \( \phi_1, ..., \phi_\ell \) using small circuits for \( f \) and \( g \). This contradicts the hardness of the counterexamples. Otherwise, we can prove that \( h \) defined above is hard since, if \( h \) is easy, a small circuit for \( h \) can be used to compute \( g \), which contradicts the hardness
of $g$.
Let us proceed with the proof.
**Proof.** Fix a sufficiently large $n$ so that no $n^k$-size circuit solves SAT$^n$. In this case, $A$ outputs a list of $\ell(n)$ counterexamples. Let $(\phi_1, ..., \phi_\ell)$ be the list sorted in lexicographical order so that $\phi_1 < \cdots < \phi_\ell$. Define $m := \lceil \log \ell(n) \rceil \leq \lceil c \log n \rceil$.
In the sequel we define several functions on different input lengths. A superscript denotes the input length of each function. Consider the following function $g^n : \{0, 1\}^n \rightarrow \{0, 1\}^m$ defined as $g^n(\phi) = i$ if $\phi = \phi_i$ for some $1 \leq i \leq \ell$, and $g^n(\phi) = 0$ otherwise. We consider two cases, whether (I) an $n^{k-1}$-size circuit can compute $g^n$ or (II) not.
*Case (I):* In this case, we prove that no circuit of size $n^{k-1} \geq 2^{\frac{k-1}{c}(m-1)}$ can compute the function $f^m(i) = \text{SAT}(\phi_i)$. For contradiction, we assume that some $n^{k-1}$-size circuit $C_f$ can compute $f^m$. By the hypothesis of Case (I), we have an $n^{k-1}$-size circuit $C_g$ that computes $g^n$. Using $C_f$ and $C_g$, we can obtain an $n^k$-size circuit $C$ that computes the SAT-values of all the counterexamples $\{\phi_1, ..., \phi_\ell\}$, which contradicts the hardness of the counterexamples. The circuit $C$ is constructed as follows. Let $\phi$ be a given instance of $n$-bit length.
1. Run $C_g(\phi)$. If the output is 0, then output 0 and quit. Otherwise let $i \in [\ell]$ be the output of $C_g(\phi)$.
2. Output $C_f(i)$.
Obviously, the size of this circuit $C$ is at most $3n^{k-1} \leq n^k$ for a sufficiently large $n$ and it correctly computes $\text{SAT}(\phi_i)$ for any $i$.
Moreover, the function $f$ can be computed in $\text{poly}(n) = 2^{O(m)}$ time using an NP oracle as follows. Let $i \in \{0, 1\}^m$ be an input.
1. Run $A$ and lexicographically sort the output formulas. The resulting list is $(\phi_1, ..., \phi_\ell)$.
2. Invoke the NP oracle to determine if $\phi_i \in \text{SAT}$, and output the result.
Therefore, $f^m$ is hard against $2^{\frac{k-1}{c}(m-1)}$-size circuits and computable in $2^{O(m)}$ time using an NP oracle.
*Case (II):* In this case, we prove that no $n^{k-3}$-size circuit can compute yet another function $h$ defined as $h^{m'}(i, j) = [\text{the } j\text{-th bit in the description of } \phi_i \in \{0, 1\}^n]$, where $m' := m + \lceil \log n \rceil = \lceil \log \ell(n) \rceil + \lceil \log n \rceil = \Theta(\log n)$. For contradiction, we assume that $h^{m'}$ can be computed by an $n^{k-3}$-size circuit $C_h$. Then, we can
compute $g^n$ by a small circuit $C'$ that uses $C_h$, contradicting the hardness of $g^n$, i.e., the hypothesis for Case (II).
The circuit $C'$ computes $g^n$ as follows. Let $\phi$ be a given SAT instance of $n$-bit length.
1. Perform a binary search on the list $(\phi_1, \ldots, \phi_\ell)$ to find the index $i$ such that $\phi = \phi_i$, if $\phi$ is in the list. Each comparison in the binary search, against the formula with index $i'$, is done by computing $\phi_{i'} = (C_h(i', 1), \ldots, C_h(i', n))$ and checking whether $\phi$ is lexicographically equal, larger or smaller than $\phi_{i'}$.
2. Output the obtained index $i$ if the binary search succeeds, otherwise output 0.
The binary search can be implemented by a circuit of size $O(|C_h|n \log \ell) = O(n^{k-2} \log n)$. Therefore, the size of $C'$ is at most $n^{k-1}$, which contradicts the hardness of $g^n$. Also, $h^{m'}$ is computable in $\text{poly}(n) = 2^{O(m')}$ time using an NP oracle as follows. Let $(i, j) \in \{0, 1\}^{m'}$ be a given instance.
1. Run $A$ and sort the output formulas. The resulting list is $(\phi_1, \ldots, \phi_\ell)$.
2. Output the $j$-th bit of $\phi_i$.
Therefore, $h^{m'}$ is hard against $n^{k-3} \geq 2^{\frac{k-3}{c+1}(m'-2)}$-size circuits and computable in $\text{poly}(n) = 2^{O(m')}$ time using an NP oracle.
We showed that either $f^m$ or $h^{m'}$ has the required hardness for a fixed input length. By setting $\delta := \frac{k-3}{c+1}$, we get that either $f$ or $h$ is a hard function for circuits of size $2^{\delta r}$ for infinitely many $r \in \mathbb{N}$, while both functions are computable in deterministic time $2^{O(r)}$ with access to an NP oracle. \qed
### 4.3. Learning Counterexamples with an Oracle to Promise AM
In this section we show how to deterministically learn counterexamples for SAT with a prAM oracle. We first give an overview and then present the proof.
#### 4.3.1. Overview
Our starting point is a result by Fortnow, Pavan, and Sengupta (2008), which essentially states that if SAT does not have size-$n^{k+3}$ circuits, then there is a short list of counterexamples for every size-$n^k$ circuit. More precisely, their result is that if SAT is hard for size-$n^{k+3}$ circuits, then there is a list of satisfiable formulae $L = (\phi_1, \ldots \phi_\ell)$, $\ell = \text{poly}(n)$, such that every size-$n^k$ circuit $C$ fails on some $\phi$ in $L$, where by “fail” we mean that $C$ cannot be used to find a satisfying assignment for $\phi$. (Note that if $C$ were a circuit for SAT then it would not fail on $\phi$; in particular we could use $C$
to find the lexicographically least satisfying assignment for $\phi$ via downwards self-reducibility.)
In proving their result, Fortnow, Pavan, and Sengupta (2008) gave a probabilistic argument showing that given any collection of size-$n^k$ circuits, there is a satisfiable formula $\phi$ such that at least a third of the collection fail on it. This is our first ingredient in obtaining a deterministic oracle algorithm for finding counterexamples.
Our second ingredient is based on ideas of Chakaravarthy and Roy (2008), who show a deterministic polynomial time algorithm with oracle access to prAM for the task of finding a small circuit for SAT, assuming such a circuit exists. They do this in iterations, where the outcome of iteration $i$ is a circuit $C_i$ that fails on only a fraction of the formulas that previously found circuits $C_1, \ldots, C_{i-1}$ all fail on. Also obtained in iteration $i$ is an integer $\gamma_i$, which is an estimate for the number of formulas that the circuits $C_1, \ldots, C_i$ all fail on.
We adapt this algorithm to our setting, roughly speaking, by swapping circuits with formulas. That is, instead of trying to find a circuit $C_i$ that fails on as few of the remaining formulas as possible, in each iteration we try to find a formula $\phi_i$ that causes to fail as many of the remaining circuits as possible. Our first ingredient ensures that within poly($n$) iterations we end up with a list $L$ on which every circuit fails.
Once we obtain $L$, we turn it into a list of counterexamples by modestly growing the list. To be specific, for each $\phi \in L$ we add to $L$ all formulas $\phi'$ that would be queried if one was using a circuit for SAT to find the lexicographically least satisfying assignment for $\phi$.
The full proof in the next subsection is laid out as follows. We begin with the Goldwasser and Sipser (1989) result that shows that the approximate lower bound problem (mentioned in Section 1.2) is in prAM; we state this in Lemma 4.4 and later use it several times. We state the main result of this section, an algorithm for learning counterexamples, in Theorem 4.5, and prove it throughout the rest of the section. We present the above-mentioned first ingredient in Lemma 4.8; the second ingredient makes up the remaining material. Claim 4.11 together with Claim 4.12 describes the first task of each iteration, namely finding $\phi_i$ as described above. The second task of each iteration, namely finding $\gamma_i$, is explained in Claim 4.13.
### 4.3.2. Proof.
We will need an Arthur-Merlin protocol for the approximate lower bound problem mentioned in Section 1.2. Such a protocol was given by Goldwasser and Sipser (1989). The formulation that we use is taken from
Lemma 4.4. (Bogdanov and Trevisan (2006); Goldwasser and Sipser (1989)) Let $C$ denote the description of a Boolean circuit, $a$ an integer in binary, $\epsilon$ a number in the range $[0, 1]$ given as $\epsilon^{-1}$ in unary. Define the following promise problem $\Pi$:
- **Yes instances:** $(C, a, \epsilon) \in \Pi^Y$ if $|C^{-1}(1)| \geq a$.
- **No instances:** $(C, a, \epsilon) \in \Pi^N$ if $|C^{-1}(1)| \leq (1 - \epsilon)a$.
$\Pi \in \text{prAM}$.
Proof (Sketch). The protocol works as follows. Arthur sends to Merlin a random hash function $h : \{0, 1\}^m \rightarrow \{0, 1\}^k$, where $m$ is the input length of $C$ and $k \approx \log a$. Merlin sends Arthur a string $x$ that satisfies $h(x) = 0 \cdots 0$ and $C(x) = 1$, and Arthur verifies that this is indeed the case. If $|C^{-1}(1)| \geq a$ then Merlin can find such an $x$ with high probability. On the other hand, if $|C^{-1}(1)|$ is much smaller than $a$, then there is no such $x$ with high probability. □
We now present the deterministic algorithm that learns counterexamples for SAT with a prAM oracle.
Theorem 4.5. Suppose that for some $k > 4$, $\text{SAT} \notin \text{SIZE}(n^{k+3})$. There is a promise problem $\Gamma \in \text{prAM}$ and a polynomial-time deterministic oracle algorithm $A$, such that for every function $f : \{0, 1\}^* \rightarrow \{0, 1\}$ that agrees with $\Gamma$, for every input length $n$ for which $\text{SAT}^n$ does not have circuits of size $n^{k+3}$, $A^f$ learns $O(n^{k+1})$ counterexamples for $\text{SAT}^n$ with respect to the concept class $\text{SIZE}(n^k)$.
Proof. Let us first set up the following notation. For a Boolean circuit $C$ on $n$ inputs, define the circuit $S(C)$ that on an input formula $\phi$ of length $n$, attempts to find the lexicographic first satisfying assignment for $\phi$, via the downward self-reducibility property of SAT using $C$ to solve the SAT instances along the search path. If $S(C)$ finds a satisfying assignment it outputs the assignment and otherwise it outputs 0. From now on we fix $k$ to be an arbitrary integer greater than 4. For a list $L$ of satisfiable formulas, we consider the set of circuits that are consistent with $L$, in the following sense.
**Definition 4.6.** For a list of satisfiable formulas $L = (\phi_1, \ldots \phi_\ell)$ each of description length $n$, we denote by $T_L$ the set of $n^k$-size circuits that are consistent with $L$ in the following sense: $C \in T_L$ if and only if $S(C)$ finds a satisfying assignment for every $\phi_j \in L$.
With this notation we can now describe the learning algorithm. Below we will define several promise problems in prAM and allow the algorithm oracle access to all of them (or to functions that agree with them to be more accurate). We can then combine them into a single promise problem in prAM as discussed in Section 2.
The algorithm has two stages. The first stage runs in iterations. Every iteration step $i$, passes to step $i + 1$ a list $L_i$ of satisfiable formulas $\phi_1, \ldots, \phi_i$ each of description length $n$, as well as a number $1 \leq \gamma_i \leq 2^{3n^k \log n^k}$, where $\gamma_i$ is an estimate for $|T_{L_i}|$ such that
\begin{equation}
|T_{L_i}| \leq \gamma_i \leq \left(1 - \frac{1}{n^2}\right)^{-1} |T_{L_i}|.
\end{equation}
Initially we set $L_0 := \emptyset$. This means that $T_{L_0}$ contains all the circuits of size $n^k$, and we therefore set $\gamma_0 := 2^{3n^k \log n^k}$.
The algorithm works in such a way that for every $i > 0$, $|T_{L_i}| \leq \frac{4}{5}|T_{L_{i-1}}|$. Thus for some $I \leq \lceil(\log_{5/4} 2) \cdot 3n^k \log n^k\rceil$, $T_{L_I} = \emptyset$ at which stage we will terminate the loop and with it the first stage of the algorithm.
Note that at the end of the first stage we already have a list of counterexamples, but those are only counterexamples for the search circuits $S(C)$, $C \in \text{SIZE}(n^k)$. In fact, the list after the end of the first stage is very easy for decision circuits because it only contains satisfiable formulas. This is the reason that we need the second stage.
In the second stage, the algorithm uses its oracle as a SAT solver (clearly SAT $\in$ prAM) to generate for every $\phi_j \in L_I$ the list of formulas that are queried along the search path (via the downward self-reducibility property of SAT) for the lexicographic first satisfying assignment to $\phi_j$ (recall that every $\phi_j$ is satisfiable). We may assume w.l.o.g. that all the formulas thus generated are of description length $n$. The algorithm outputs all these formulas as the list of counterexamples. Note that this list contains $O(n^{k+1})$ formulas. By the fact that $T_{L_I} = \emptyset$ it follows that for every $C \in \text{SIZE}(n^k)$, $S(C)$ fails to find a satisfying assignment for at least one $\phi_j \in L_I$. This means that $C$ errs on at least one query along the search path for a satisfying assignment for $\phi_j$, and this query appears in the list that the learning algorithm outputs. It therefore follows that the algorithm indeed outputs a list of counterexamples for the concept class $\text{SIZE}(n^k)$.
It remains to describe iteration step $i > 0$, given a list $L_{i-1} = (\phi_1, \ldots, \phi_{i-1})$ and $\gamma_{i-1}$ as above. We need some more notation. For a list $L$ of satisfiable formulas all of the same length $n$ and one additional satisfiable formula $\rho$ of length $n$, it is clear that $T_{L \cup \{\rho\}} \subseteq T_L$. Define the set $G_{L,\rho}$ to be $T_L \setminus T_{L \cup \{\rho\}}$.
Fortnow, Pavan and Sengupta used a probabilistic argument (similar to the one in the result of Bshouty, Cleve, Gavaldà, Kannan, and Tamon (1996)) to prove the following lemma.
**Lemma 4.8.** (Fortnow, Pavan, and Sengupta (2008)) If SAT$^n$ cannot be computed by circuits of size $n^{k+3}$, then for every list $L$ of satisfiable formulas each of length $n$, there exists a satisfiable formula $\phi$ of length $n$ such $|T_{L \cup \{\phi\}}| \leq \frac{2}{3}|T_L|$ if $T_L \neq \emptyset$.
For completeness, we provide the proof of this lemma.
**Proof.** We choose $m := 36n$ circuits $C_1, ..., C_m$ from $T_L$ independently and uniformly at random. Let $C$ be a circuit taking majority vote of $C_1, ..., C_m$. The size of $S(C)$ is at most $n^{k+3}$. By the assumption, there is a formula $\phi_C$ on which $S(C)$ fails. Since $S(C)$ never fails on unsatisfiable formulas, $\phi_C$ is satisfiable.
We call a formula $\rho$ bad if $|T_{L \cup \{\rho\}}| > (2/3)|T_L|$. Fix a bad $\rho$. We then have $\Pr[|T_{L \cup \{\rho\}} \cap \{C_1, ..., C_m\}| \leq (1/2)m] < 2^{-2n}$ by the Chernoff bounds. By the union bound, $\Pr[\exists \text{bad } \rho \text{ such that } |T_{L \cup \{\rho\}} \cap \{C_1, ..., C_m\}| \leq (1/2)m] < 2^{-n}$ since the number of bad formulas is at most $2^n$.
Notice that more than half of $C_1, ..., C_m$ fails on $\phi_C$ for any $C_1, ..., C_m$ since $C$ fails on $\phi_C$. Thus, the probability that $\phi_C$ is not bad is nonzero (at least $1 - 2^{-n}$) from the above inequality. It follows that there exists $\phi$ such that $|T_{L \cup \{\phi\}}| \leq (2/3)|T_L|$.
By this lemma there exists a $\phi$, such that
$$|G_{L_{i-1},\phi}| \geq \frac{1}{3}|T_{L_{i-1}}|$$
$$\geq \frac{1}{4}\left(1 - \frac{1}{n^2}\right)^{-1}|T_{L_{i-1}}|$$
$$\geq \frac{1}{4}\gamma_{i-1}. \quad (4.9)$$
(Recall that $|T_{L_{i-1}}| \leq \gamma_{i-1} \leq (1 - \frac{1}{n^2})^{-1}|T_{L_{i-1}}|$.)
We would like to find such a formula $\phi$ and then set $L_i := L_{i-1} \cup \{\phi\}$. We will not achieve quite that, but we will show how to find a $\phi$ such that
$$|G_{L_{i-1}, \phi}| \geq \frac{1}{5} \gamma_{i-1} \geq \frac{1}{5} |T_{L_{i-1}}|. \tag{4.10}$$
**Claim 4.11.** There is a promise problem $\Pi_1 \in \text{prAM}$ and a deterministic polynomial-time procedure, that when given as input the set $L_{i-1}$ and an estimate $\gamma_{i-1}$ for $|T_{L_{i-1}}|$ that satisfies Inequality (4.7), as well as oracle access to any function that agrees with $\Pi_1$, outputs a Boolean formula $\phi$ of length $n$ that satisfies Inequality (4.10).
**Proof.** The instances of $\Pi_1$ are of the form $(1^m, (\rho_1, \ldots, \rho_\ell), p, a)$, where $m, \ell > 0$ are arbitrary integers, $\rho_j \in \{0, 1\}^m$ for every $1 \leq j \leq \ell$, $p \in \{0, 1\}^b$ for some integer $0 \leq b \leq m$, and $a$ is an integer between 0 and $2^{3m^k \log m^k}$ (in binary representation). We define $\Pi_1$ as follows:
- **Yes instances:** $(1^m, (\rho_1, \ldots, \rho_\ell), p, a) \in \Pi_1^Y$ if $\rho_1, \ldots, \rho_\ell$ are all satisfiable Boolean formulas and there exists an $s \in \{0, 1\}^{m-b}$ such that $\rho = p \circ s$ is a satisfiable formula and $|G_{(\rho_1, \ldots, \rho_\ell), \rho}| \geq a$.
- **No instances:** $(1^m, (\rho_1, \ldots, \rho_\ell), p, a) \in \Pi_1^N$ if either at least one of $\rho_1, \ldots, \rho_\ell$ is not satisfiable, or for every $s \in \{0, 1\}^{m-b}$, $\rho = p \circ s$ is not a satisfiable formula, or $\rho_1, \ldots, \rho_\ell$ are all satisfiable and for every $s \in \{0, 1\}^{m-b}$ for which $\rho = p \circ s$ is a satisfiable formula, $|G_{(\rho_1, \ldots, \rho_\ell), \rho}| \leq (1 - \frac{1}{m^2})a$.
**Claim 4.12.** $\Pi_1 \in \text{prAM}$.
**Proof.** The protocol is as follows. Merlin sends a string $s \in \{0, 1\}^{m-b}$. Let $\rho = p \circ s$. Merlin also sends satisfying assignments for all of $\rho_1, \ldots, \rho_\ell, \rho$. If he fails to do so, Arthur rejects.
Define the circuit $C$ (which both Merlin and Arthur construct on their own) that on input a description of a circuit $B$ of size $m^k$, checks whether $S(B)$ finds a satisfying assignment to all of $\rho_1, \ldots, \rho_\ell$ but fails to find a satisfying assignment to $\rho$. If so it outputs 1 and otherwise 0. Note that $C$ computes the characteristic function of $G_{(\rho_1, \ldots, \rho_\ell), \rho}$. Arthur and Merlin run the lower bound protocol from Lemma 4.4 on input $(C, a, \frac{1}{m^2})$. Arthur accepts/rejects according to whether he accepts/rejects the lower bound protocol.
It is easy to verify that the protocol runs in time that is polynomial in its input length. We next argue about the completeness and soundness.
**Completeness:** If $\rho_1, \ldots, \rho_\ell$ are all satisfiable Boolean formulas and there exists an $s \in \{0, 1\}^{m-b}$ such that $\rho = p \circ s$ is a satisfiable formula and $|G_{(\rho_1, \ldots, \rho_\ell), \rho}| \geq a$, then Merlin can find and send such an $s$ as well as satisfying assignments to $\rho_1, \ldots, \rho_\ell, \rho$, and then the completeness follows from the completeness of the lower bound protocol.
**Soundness:** If one of $\rho_1, \ldots, \rho_\ell$ is not satisfiable or there is no $s$ such that $p \circ s$ is satisfiable, then Arthur will reject after the first message of Merlin with probability 1. Otherwise for every $s$, for which $\rho = p \circ s$ is satisfiable, $|G_{(\rho_1, \ldots, \rho_\ell), \rho}| \leq (1 - \frac{1}{m^2})a$, and the soundness follows from the soundness of the lower bound protocol. □
We show how to find, with the help of $\Pi_1$, a formula $\phi$ that satisfies Inequality ((4.10)). We will do that iteratively where in each iteration we will set another bit of $\phi$. Let $\mu_0 := \lfloor \frac{1}{5} \gamma_{i-1} \rfloor$. Recall, by Lemma 4.8, that there exists a formula that satisfies Inequality (4.9). The most significant bit (MSB) of such a formula is either 0 or 1. In other words at least one of the following is true: $(1^n, L_{i-1}, 0, \mu_0) \in \Pi_1^Y$ and/or $(1^n, L_{i-1}, 1, \mu_0) \in \Pi_1^Y$. We query the $\Pi_1$ oracle on the input $(1^n, L_{i-1}, 0, \mu_0)$. If the answer is 1 we set the MSB of $\phi$ to 0, otherwise we set it to 1. Note that if we set the MSB to 1 then necessarily it is the MSB of a formula that satisfies Inequality (4.9). However, if we set it to 0, this is not necessarily the case. The reason is that the query $(1^n, L_{i-1}, 0, \mu_0)$ may fall outside the promise of $\Pi_1$. What we are assured of, though, is that if the $\Pi_1$ oracle answered 1 on $(1^n, L_{i-1}, 0, \mu_0)$ then it is not in $\Pi_1^N$. That is, there is a satisfiable formula $\phi$ whose MSB is 0 such that $|G_{L_{i-1}, \phi}| \geq (1 - \frac{1}{n^2})\mu_0$. We set $\mu_1 = (1 - \frac{1}{n^2})\mu_0$ and continue. In the $j$'th iteration, suppose that we already fixed a prefix $p$ of length $j-1$ such that we know that there is a suffix that creates a satisfiable formula $\phi = p \circ s$ for which $|G_{L_{i-1}, \phi}| \geq \mu_{j-1}$, then we query the $\Pi_1$ oracle on $(1^n, L_{i-1}, p \circ 0, \mu_{j-1})$ and set the next bit to 0 if the answer is 1 and otherwise we set it to 1. By the same argument as above we are guaranteed that the new prefix has a suffix such that the resulting formula $\phi$ satisfies $|G_{L_{i-1}, \phi}| \geq (1 - \frac{1}{n^2})\mu_{j-1}$. We then set $\mu_j := (1 - \frac{1}{n^2})\mu_{j-1}$ and continue. After $n$ iterations we hold a formula $\phi$ of length $n$ such that
$$|G_{L_{i-1}, \phi}| \geq \left(1 - \frac{1}{n^2}\right)\mu_n \geq \left(1 - \frac{1}{n^2}\right)^n \mu_0$$
$$\geq \frac{1}{4} \left(1 - \frac{1}{n^2}\right)^n \gamma_{i-1} \geq \frac{1}{5} \gamma_{i-1}$$
$$\geq \frac{1}{5} |T_{L_{i-1}}|.$$ □
By Claim 4.11 we can find $\phi$ that satisfies Inequality (4.10). We then set $L_i = L_{i-1} \cup \{\phi\}$. By the definition of $|G_{L_{i-1}, \phi}|$, we get that $|G_{L_{i-1}, \phi}| = |T_{L_{i-1}} \setminus T_{L_i}| \geq \frac{1}{5}|T_{L_{i-1}}|$ which implies that $|T_{L_i}| \leq \frac{4}{5}|T_{L_{i-1}}|$ as required.
Next we show how to compute an estimate $\gamma_i$ for $|T_{L_i}|$. First we check whether $T_{L_i} = \emptyset$, in which case we terminate the main loop and move to the second stage of the algorithm. Note that whether $T_{L_i} = \emptyset$ is a coNP statement: for every $C$ of size $n^k$, $S(C)$ fails to find a satisfying assignment for at least one $\phi_j \in L_i$. Thus we can query the prAM oracle to check that. If $T_{L_i} \neq \emptyset$, the next claim shows that we can compute $\gamma_i$ as required (with oracle to prAM). This completes the description of the $i$'th iteration and hence the description of the algorithm.
**Claim 4.13.** There is a promise problem $\Pi_2 \in$ prAM and a deterministic polynomial-time procedure that when given as input the set $L_i$, as well as oracle access to any function that agrees with $\Pi_2$ outputs a number $\gamma_i \in [2^{3n^k \log n^k}]$, such that $|T_{L_i}| \leq \gamma_i \leq (1 - \frac{1}{n^2})^{-1}|T_{L_i}|$.
**Proof.** Let $\Pi_2$ be the following promise problem on instances $(1^m, (\rho_1, \ldots, \rho_\ell), a)$, where $m, \ell > 0$ are arbitrary integers, $\rho_1, \ldots, \rho_\ell$ are all of length $m$, and $a$ is an integer between 0 and $2^{3m^k \log m^k}$ (in binary representation):
- **Yes instances:** $(1^m, (\rho_1, \ldots, \rho_\ell), a) \in \Pi_2^Y$ if $\rho_1, \ldots, \rho_\ell$ are all satisfiable formulas and $|T_{(\rho_1, \ldots, \rho_\ell)}| \geq a$.
- **No instances:** $(1^m, (\rho_1, \ldots, \rho_\ell), a) \in \Pi_2^N$ if either at least one of $\rho_1, \ldots, \rho_\ell$ is not a satisfiable formula, or they are all satisfiable and $|T_{(\rho_1, \ldots, \rho_\ell)}| \leq (1 - \frac{1}{m^2})a$.
Notice that $\Pi_2$ is designed similarly to $\Pi_1$ in Claim 4.11, and hence it is easy to see that $\Pi_2 \in$ prAM by inspecting the proof of Claim 4.12 (the differences from $\Pi_1$ are that we do not check the existence of the satisfiable formula $\rho = p \circ s$ and we check the lower bound of $|T_{(\rho_1, \ldots, \rho_\ell)}|$ rather than $|G_{(\rho_1, \ldots, \rho_\ell), \rho}|$.)
By the definition of $\Pi_2$, we know that for every $a \leq |T_{L_i}|$ a $\Pi_2$ oracle answers 1 on the query $(1^n, L_i, a)$, and for every $a \geq (1 - \frac{1}{n^2})^{-1}|T_{L_i}|$ a $\Pi_2$ oracle answers 0 on the query $(1^n, L_i, a)$. For values of $a$ in between these two bounds we have no guarantee on the oracle’s answers. The algorithm conducts a binary search on the set $[2^{3n^k \log n^k}]$ to find an $a$ such that the $\Pi_2$ oracle answers 0 on $(1^n, L_i, a)$ but 1 on $(1^n, L_i, a - 1)$ (forcing the answer on $(1^n, L_i, 0)$ to be 1). Such a search takes $O(n^{k+1})$ time and we are guaranteed that for the $a$ that we find,
$$|T_{L_i}| \leq a \leq \left(1 - \frac{1}{n^2}\right)^{-1}|T_{L_i}|.$$
We then set \( \gamma_i := a. \)
\[\square\]
4.4. Derandomization Implies Exponential-Size Lower Bounds. We now combine the ingredients from the previous paragraphs to prove Theorem 4.1.
**Proof.** (of Theorem 4.1) We condition on whether SAT \( \in \text{SIZE}(n^{10}) \) or not.
**Case 1: SAT \( \in \text{SIZE}(n^{10}) \).** By hypothesis, \( P^{\text{prAM}} = P^{\text{P}^{\text{NP}}} = P^{\text{NP}} \). For every \( 0 < \delta < 1 \), Kannan (1982) showed that on an input \( 1^n \), we can compute in \( \Sigma_3^P \) the lexicographic first truth-table of length \( n \) (\( n = 2^m \)) of a function (on \( m \) inputs) whose circuit complexity is at least \( n^\delta \). By Chakaravarthy and Roy (2008), if SAT \( \in \text{SIZE}(n^{10}) \), the polynomial-time hierarchy collapses to \( P^{\text{prAM}} \), and hence to \( P^{\text{NP}} \) by our hypothesis. In particular \( \Sigma_3^P \subseteq P^{\text{NP}} \) and we can compute the truth-table of the hard function in this class. By translation to the exponential level, this implies that there is a function in \( E^{\text{NP}} \) that cannot be computed by circuits of size \( 2^{\delta n} \) (for all sufficiently large \( n \)).
**Case 2: SAT \( \notin \text{SIZE}(n^{10}) \).** Let \( \Gamma \) be the promise problem in prAM from Theorem 4.5. By hypothesis, \( \text{prAM} \subseteq P^{\text{NP}} \) so there is a function \( f : \{0, 1\}^* \rightarrow \{0, 1\} \) in \( P^{\text{NP}} \) that agrees with \( \Gamma \). By Theorem 4.5 there is a polynomial-time deterministic oracle algorithm \( A \), such that for every input length \( n \) for which \( \text{SAT}^n \) does not have circuits of size \( O(n^{10}) \), \( A^f \) learns a poly(\( n \))-long list of counterexamples for \( \text{SAT}^n \) with respect to the concept class \( \text{SIZE}(n^7) \). The function that \( A^f \) computes is in the class \( P^{\text{P}^{\text{NP}}} = P^{\text{NP}} \). This implies by Lemma 4.3, that there is a constant \( \delta > 0 \) and a Boolean function in the class \( E^{\text{NP}} \) that cannot be computed by circuits of size \( 2^{\delta n} \) (for infinitely many input lengths \( n \)). \[\square\]
5. Concluding Remarks
Our proofs show that there is a deterministic linear-exponential-time algorithm \( A \) and a promise problem \( \Pi \) in prAM, such that for every function \( f \) that agrees with \( \Pi \), \( A^f \) computes a language that requires Boolean circuits of linear-exponential size. We point out that in both proofs the hard function that is constructed depends on the specific \( f \) that is used as an oracle, i.e., on the values of \( f \) outside of the promise. In the elementary proof this dependence arises in determining the minority vote of the circuits diagonalized against, whereas in the learning-based proof it arises in finding the counterexamples. This is the reason that we do not get a lower bound for a language in the class
$E^{\text{prAM}}$. Recall that a language is in this class if for every oracle that agrees with the promise, the algorithm computes the same function (i.e., the values of the function do not depend on values of the oracle outside the promise). Nevertheless, our results do imply the best known exponential-size lower bound, namely the one for the class $E^{\Sigma_2^P}$. This is because the $\Pi_2^P$ simulation of our prAM oracle (Fürer, Goldreich, Mansour, Sipser, and Zachos (1989)) gives an explicit function in $E^{\Sigma_2^P}$ that requires circuits of size $\Omega(2^n/n)$. Proving an exponential-size lower bound for the class $E^{\text{prAM}}$ (and thus improving the best known lower bound) remains an open problem.
Another interesting open problem is to prove a true converse to Miltersen and Vinodchandran (2005); Shaltiel and Umans (2005); Umans (2003). Namely, show that a full derandomization of prAM implies lower bounds against exponential-size nondeterministic circuits. This would give a tight connection between hardness and derandomization in the high-end setting. Namely, exponential-size lower bounds (in this case for nondeterministic circuits) would be sufficient and necessary for derandomization (of prAM).
Finally, we would like to point out some similarities between our elementary proof and the proof of Goldreich (2010) that the assertion $\text{prBPP} \subseteq P$ implies certain canonical derandomizers. The latter proof has two main steps. First a certain search-to-decision reduction for $\text{prBPP}$ is proven. Then it is argued that constructing a canonical derandomizer amounts to a certain diagonalization procedure against all fixed polynomial-time algorithms. This diagonalization turns out to be a $\text{prBPP}$-search problem. Now assuming $\text{prBPP} \subseteq P$ and using the search-to-decision reduction, this gives an efficient deterministic construction of a canonical derandomizer. Interestingly, the search-to-decision reduction fixes the solution to the search problem bit by bit where at each stage it uses the fact that approximate counting up to additive accuracy is in $\text{prBPP}$. In our proof we also search for an object (truth-table) by diagonalization, this time against all circuits of a certain size. We do that by fixing it bit by bit where at each stage we use the fact that approximate counting up to multiplicative accuracy is in prAM. We point out that Goldreich (2010) leaves as an open problem whether a result similar to his in the nondeterministic setting (i.e. regarding derandomizers for prAM) is true.
**Acknowledgements**
We thank Scott Aaronson, Harry Buhrman and Dieter van Melkebeek for their collaboration on Aaronson, Aydinhoğlu, Buhrman, Hitchcock, and van Melkebeek (2010), as well as for their contribution to this paper. We thank Amnon
Ta-Shma, Ronen Shaltiel and Osamu Watanabe for helpful comments and discussions, and the anonymous referees for their corrections and suggestions.
DG did most of the research while at Tel-Aviv University and supported by Oded Regev’s European Research Council (ERC) Starting Grant. JH was partially supported by an NWO travel grant and by NSF grants 0652601 and 0917417. AK was partially supported by the Ministry of Education, Science, Sports and Culture, Grant-in-Aid for Scientific Research (B), 18300002 and the JST-CNRS Strategic International Cooperative Program.
A preliminary version of this paper appeared in Proceedings of the 25th Annual IEEE Conference on Computational Complexity, p.38–49, 2010.
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C. Umans, “Pseudo-random generators for all hardnesses,” *Journal of Computer and System Sciences*, vol. 67, no. 2, pp. 419–440, 2003.
E. Viola, “Pseudorandom bits for constant-depth circuits with few arbitrary symmetric gates,” *SIAM Journal on Computing*, vol. 36, no. 5, pp. 1387–1403, 2007.
A. C. Yao, “Theory and application of trapdoor functions,” in *Proceedings of the 23rd Annual Symposium on Foundations of Computer Science*, 1982, pp. 80–91.
Manuscript received
**BARIŞ AYDINLIOĞLU**
University of Wisconsin-Madison
[email protected]
**DAN GUTFREUND**
IBM Research
Haifa, Israel
[email protected]
**JOHN M. HITCHCOCK**
University of Wyoming
[email protected]
**AKINORI KAWACHI**
Dept. of Math. and Comput. Sci.
Tokyo Institute of Technology
Tokyo, Japan
[email protected]
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Instrument interfacing with different available modules that would enable information to sit in the system directly
Case Study
Integration with Quality Management Systems & Document Management System
Aut om ation of vario us logbooks such as r eference st and ard, work ing stand ard, chemica ls, etc.
Integration of port-based instruments such as balance, PH meters, etc. where the data was not required to be printe d. The data was automatically pulled into the LIMS system
Access and Security norms as per 21CFR Part 11
Integration of file-based standalone instruments. Values coul d be eas ily extracted from the produced report through parser te chni que for c ali br ation
Integration with third party software like Chromeleon, Empower, L abS olutions , etc. too to e nable C DS-ba sed instruments data to be pul led d ire ctly into LIMS
Audit trails of all transactions for compliance
Quality Control is at the heart of pharmaceuticals manufacturing, hence almost all regulatory auditors pay special focus to the quality control department. Manual documentation process, though followed through the ages, had its own limitations. Adcock was following manual documentation and faced the following challenges -
Considering the volume and laborious process of documentation involved, correlation of results became a difficult task
Strict controls, checks and balances throughout sample testing process to meet stringent regulatory guidelines was challenging with paper
As a manufacturi ng & ma rketing compan y, q ualit y is an e ssential priority for Adcock. Our customer manufactures and exports capsules and tablets to South Africa, Australia & many other locations. They are required to follow the stringent quality guidelines set by US FDA. To ensure quality products are exported and efficiency is maintained, they partly automated their production processes and aimed to be a 100% paperless company.
Adcock Ingram met its challenge of becoming 100% paperless co
mpany with integration of 25 Instruments and electronic notebooks operated on handheld systems with CaliberLIMS.
Adcock had its vision set on a 100% Paperless Lab. This meant automating every single paper-dependent process in the lab. To meet the challenge of complete automation, Adcock was on the lookout for a best-fit LIMS that could effectively automate their processes with a good ROI. Adcock's focus and dedication towards their bold step towards complete lab automation became a driving factor for Caliber.
Easy retrieval of records/documents on the fly
Dashboard mechanisms, alert mechanisms to give notifications & cont rols to Adcoc k
Aut omatic dis play of raw data with "Bypa ss" contro ls
Integrate wherever possible to capture data without transcriptional errors and reduce manual intervention eventually leading to increase in productivity
Adcock Ingram i s a p harma manufa ctu ring and API company. The y provide a n exte nsive r ange of branded, generic pr escri ptio n, a nd OTC products in a broad range of therapeutic classes such as: analgesics, cardiovascular, central nervous system, etc. as well as a selective range of personal care products.
In generic s, Adcock mark ets a broa d ra nge o f affordab le product s. In branded products, they market many well-recognised leading brands such as Adco Dol, Allergex®, Bioplus®, etc. They deal in Unique Formulations as well as a diverse range of brands on behalf of their international partners.
Instrument interfacing with different available modules that would enable information to sit in the system directly
Quality Control is at the heart of pharmace uti cals manu fac turing, hence almost all regulatory auditors pay special focus to the q uality control department. Manual documentation process, though followed through the ages, had its own limitations. Adcock was following manual documentation and faced the following challenges -
Considering the volume and laborious process of do cumenta tion i nv olved, correlatio n of resu lts becam e a dif ficult t ask
Strict contr ols, checks and b alances t hroug hout sample testing process to meet stringent regulatory guidelines was challenging w ith paper
With increa sin g market demand, there wa s need for quick ma terial quality certifications turnaround time
Unavoidabl e hum an er rors in a pape r-based environ ment fu rth er caused bottlenecks in meeting GLP and GCP regulatory norms
Adcock had its vision set on a 100% Pap erl ess L ab. This meant automating every single paper-dependent process in the lab. To meet the challenge of complete automation, Adcock was on the lookout for a best-fit LIMS that could effectively automate their processes with a good ROI. Adcock's focus and dedication towards their bold step towards complete lab automation became a driving factor for Caliber.
Automatic display of raw data with "Bypass" controls
Adcock first discussed with the Caliber team about a semi-automated LIMS system. With this, they could easily get all the formulae and calculations related information back into the system. However, they had still had a few tasks with paper or print format for method or analysis related information.
In LIMS, the control led work sheet could be sh ared onc e the QA appr oved a Master version. They had to take a printout and fill the details of analysis manually. They had to re-enter these details in the LIMS system. Thus discussions ensued around going 100% paperless.
Compliance to regulations like GLP, GMP, 17025
Access and Security norms as per 21CFR Part 11
Integration with Quality Management Systems & Document Management System
Adcock decided that they wanted to opt for full automation. To automate every single paper-dependent process, a plan was laid down.
Provision of electronic worksheet for 100% Paperless Laboratory thr ough me thod execut ion (LE S)
Interface with ERP, SAP to reduce manual entries during lot registrations and other works
Partial save opt ion to save data a ft er every step of long durati on analysis
Complianc e to regulat ions lik e G LP, GM P, 1 7025
100% time was saved on COA preparations & approvals
As a result , o n an average 2 000 sample s per month were re le ased from Caliber L IMS
Intimation for sampling of material from stores and production under test label printing
Intimation for sampling of material from stores and p roduction under test label printing
Sample Login through SAP with complete automation and controls
Sample registration and Sampling procedure of various material inspections from various sources like stores, production, and warehouse
Assignment of tests to respective test categories like Chemical Analysis, Physical analysis, Microbiological analysis, etc.
Protocol preparation, results evaluation and recording t hrough electronic worksheets
Advanced seamless bidirectional integration with Empo wer CDS. First of its kind in India!
Inventory and usage recording of chemicals, reference stan dards, working standards, and Instruments through integrated electronic worksheets
Results approval and certificate generation. Online review process by multiple levels of reviewers
Material usage decision and intimation to stores and production
Reviewers spent 60% less time on reviews and focused their saved time for other essential works
More than 20% of Senior QA time was saved in preparing material quality trends
CaliberLIMS was implemented on ML 150 HP server with Xeon processor and CAT5 LAN. 125 named users were registered. Instrument interfacing with Caliber EDAP engine made sure that data automatically got saved in the system eliminating human errors completely.
Adcock is Now Audit-Ready with Caliber
Upon completion of the project, Adcock attained the distinction of being the first 100% paperless lab in India. Adcock India has been successfully audited by international regulatory bodies post implementation, with appreciation for their automation vision. Adcock achieved zero deviations through the controls and automation. Now, they are Anytime Audit Ready!
Good improvement in planning of the team and increase in quality performance with reduction in errors
Approved label printing on containers
Achieved minimum inter-department paperwork with integrated deviation handling system with QMS
LIMS-SAP real-time integration made seamless integration between warehouse and QC/QA department possible
Reviewers spent 60% less time on reviews and focused their saved time for other essential works
100% time was saved on COA preparations & approvals
More than 20% of Senior QA time was saved in preparing material quality trends
Good improvement in planning of the team and increase in quality performance with reduction in errors
As a result, on an average 2000 samples per month were released from Caliber LIMS
All these achievements instilled great confidence on Caliber and increased their trust in Caliber's products. With the successful implementation of CaliberLIMS, Adcock also showed faith in automating its manufacturing process with CaliberBRM. Adcock's successful ongoing journey with Caliber speaks volumes on how much can be achieved with strong partnerships.
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SAFE HOMES
MAINTENANCE MATTERS Building Maintenance Bulletin WOMEN'S TRANSITION HOUSING and Supports Program
Program Type:
SAFE HOMES
Introduction
Reporting Period:
2019-20
Geographic Area:
British Columbia
BC Housing supports more than 110 transition houses, safe homes, and second stage housing for women — with or without children — who are at risk of violence, or who have experienced violence. The programs provide women and children with a temporary place to stay, support services, referrals and assistance in planning next steps. There are three program types within the Women's Transition Housing and Supports Program (WTHSP):
- Transition houses — Transition houses provide safe, temporary 24/7 staffed shelter, typically for 30 days. Most transition houses are residential homes in confidential locations where women and families live communally. Support Workers in these homes provide emotional support, crisis intervention and safety planning.
- Safe homes — If you live in a remote community, you may be able to access a safe home program. Safe home programs provide short-term shelter, emotional support, safety planning and referrals. Short-term safe shelter is provided in a variety of ways depending on the community, such as an apartment or townhouse unit, a hotel or motel room, or a secure room in a private home.
- Second stage housing — Second stage housing is usually a private, secure, low-cost apartment or townhouse unit where you can live safely and independently typically for 6 - 18 months. Staff are available to provide emotional support, safety planning and referrals.
Number of programs and spaces by WTHSP program type in B.C., 2019-20
1
WOMEN'S TRANSITION HOUSING | SAFE HOMES
Every three months, transition houses, safe homes, and second stage housing sites funded through BC Housing's WTHSP are asked to complete and submit forms to BC Housing to record administrative and outcome data regarding the programs, looking at indicators including referrals, stays, and departures.
The indicators included in this report highlight program statistics, program outcomes, and demographics of those accessing the programs. This data informs program planning and cross-government research. The report shows data aggregated among each of the three WTHSP program types and trend data where available.
Program Statistics
Number of referrals for women and accompanied children to WTHSP Safe Homes in B.C., 2015-16 to 2019-20
- 91% of referrals for women to WTHSP safe homes were because the woman was fleeing violence in 2019-20, while 7% were because the woman was experiencing homelessness and 2% were for other reasons
Length of stay for women in WTHSP Safe Homes in B.C. based on departures, 2017-18 to 2019-20
- 53% of referrals for women to WTHSP safe homes in 2019-20 were already clients of the program, while 24% were selfreferred, and 5% were referred by family or friends
WOMEN'S
Statistics on Departures for Women
Information/support about community services provided to women in WTHSP Safe Homes in B.C based on departures, 2015-16 to 2019-20
Safety information/safety plan provided to women in WTHSP Safe Homes in B.C. based on departures, 2015-16 to 2019-20
Source: BC Housing, Women's Transition Housing and Supports Program Administrative Data, 2015-16 to 2019-20
Source: BC Housing, Women's Transition Housing and Supports Program Administrative Data, 2015-16 to 2019-20
- The most common reasons women were not provided with information and supports upon departure from WTHSP safe homes in 2019-20 were: the stay was not long enough and the woman didn't want or need the information and supports.
- The most common reasons safety information and safety plans were not provided for departures from WTHSP safe homes in 2019-20 were: the woman didn't stay long enough and the woman didn't want or need the information or plans.
Departures by where women went upon leaving WTHSP Safe Homes in B.C., 2015-16 to 2019-20
WOMEN'S
TRANSITION HOUSING | SAFE HOMES
Demographics of Stays for Women and Accompanied Children
Source: BC Housing, Women's Transition Housing and Supports Program
Administrative Data, 2016-17 to 2019-20
Stays for women by age group in WTHSP Safe Homes in B.C., 2016-17 to 2019-20
Source: BC Housing, Women's Transition Housing and Supports Program
Stays for accompanied children by age group in
WTHSP Safe Homes in B.C., 2019-20
Source: BC Housing, Women's Transition Housing and Supports Program
Administrative Data, 2019-20
Notes:
1. Data is provided to BC Housing by WTHSP providers. Accuracy is dependent on integrity of data provided to BC Housing.
3. Proportions are based on where responses to questions are provided. Unknown responses are excluded from the denominator.
2. Multiple referrals possible per woman and child. Referrals and stays are not comparable, as multiple referrals are possible per woman and child over the course of the reporting period or from different referral sources (e.g. one woman may have multiple referrals from various sources on a particular night, but can only have one stay for that night).
4. A stay includes consecutive nights in the program (minimum one night).
6. A woman (and accompanied children) may have more than one stay in the same reporting period and at more than one WTSHP site within the reporting period; therefore, stays do not represent unique individuals.
5. Stays may reflect stays in additional beds beyond what is funded by BC Housing's WTHSP.
7. Only children who stayed at least one night during their mom/guardian's stay were included in the analysis. Children who did not stay at the safe home for at least one night of the stay were not included.
9. Departures do not represent unique individuals, as a woman and accompanied children may have stayed more than once during the fiscal year (a stay is 1+ consecutive nights) or across reported fiscal years at one site or at multiple sites/ programs.
8. Women reported to stay without children may have children that did not accompany them during the stay. Their children may have accompanied them on other stay(s) at WTHSP sites during the reporting period.
10. Departures to housing includes private market housing with and without a rent supplement, affordable housing, and safe return home.
12. To prevent double counting of stays, only stays that started in the reporting period are counted. Therefore, there may be additional stays in the reporting period that may not be reflected in the analysis, as the stays started before the reporting period.
11. Due to data integrity issues, data could not be compared to 2015-16 for all indicators. In these cases, data for 2015-16 has been excluded.
Administrative Data, 2016-17 to 2019-20.
Notice to Readers: The greatest care has been taken to confirm the accuracy of the information contained herein. However, the authors, funder and publisher assume no liability for any damage, injury or expense that may be incurred or suffered as a result of the use of this publication including products, building techniques or practices. The views expressed herein do not necessarily represent those of any individual contributor or BC Housing. It is always advisable to seek specific information on the use of products in any application or detail from manufacturers or suppliers of the products and consultants with appropriate qualifications and experience.
More Information: BC Housing's Research Centre works in collaboration with housing sector partners to foster excellence in residential construction and find innovative solutions for affordable housing in British Columbia. Sharing leading-edge research, advances in building science, and new technologies encourages best practice. The Research Centre identifies and bridges research gaps to address homelessness, housing affordability, social housing challenges and the needs of distinct populations. Mobilizing knowledge and research expertise helps improve the quality of housing and leads to innovation and adoption of new construction techniques, Building Code changes, and enhanced education and training programs. Learn more about the Research Centre at www.bchousing.org. Sign up to receive the latest news and updates at www.bchousing.org/subscribe.
Contact: Research Centre Email: [email protected] To find more information, visit our website at: www.bchousing.org
Phone: 604-439-4135
June 2021
© BC Housing
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VMMC hosts Inter-Agency Meeting on the Establishment of Veterans Ward
An initial consultative inter-agency meeting on the establishment of Veterans Ward in selected government hospitals across the county was held last Thursday, February 7, 2020 at the CMPS Conference Room.
Representatives from the Health Facilities Development Bureau of the Department of Health (DOH-HFDB), Batangas Medical Center, Region 1 Medical Center, Vicente Sotto Memorial Medical Center and Philippine Veterans Affairs Office (PVAO) attended the said meeting to ensure the successful implementation of the project.
Also present during the event were the top management of VMMC led by Director Dominador M. Chiong Jr, along with the members of the PVAO-VMMC Veterans Hospitalization and Medical Care Program (VHMCP) Committee.
During the initial meeting, resource persons from the DOH presented a brief backgrounder of the project. Afterwards, the representatives from the different hospitals were then asked and encouraged to provide comments/suggestions on the proposed establishment of Veterans Ward. A thorough discussion ensued among the representatives who voiced out their respective concerns about the program. Although all of the hospitals signified their support and commitment to the project, they suggested that further deliberation be conducted to fine tune the implementation of project.
The Philippine Veterans Affairs Office, an agency under the control and supervision of the Department of National Defense, by virtue of Republic Act No. 6948, as amended by Republic Act No. 7696, is mandated to provide hospitalization, medical care, and treatment to Filipino Veterans and their dependents through the Veterans Memorial Medical Center (VMMC) and Veterans Wards in selected government hospitals nationwide.
VMMC Director Dominador M. Chiong Jr., presides over the inter-agency consultative meeting
The representative from Region 1 Medical Center voices its support and commitment to the program.
VHMCP Committee members listen intently during the presentation of DOH
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FIGS 102 - Spring 2020
Online
Title: FIGS 102 D1 -Intro to Healthcare Professions
Catalog Number: FIGS 102 D1
Credit Hours: 1
Total Contact Hours: 15
Lecture: Online for 8 weeks
Instructor: Scott Cook, MS, CHSOS
Office Hours - By appointment, please e-mail
Contact Information: [email protected]
COURSE SYLLABUS
Course Description
Freshman Interest Groups (FIGs) are theme based one-credit courses that combine college success skills, goal exploration and setting, and financial literacy with the investigation of a topic. This FIG will explore how these skills are important for those entering the healthcare profession.
Course Objectives
After successfully completing the course, the student will be able to:
* Describe and apply effective study skills, test taking, and time management strategies
* Explore career and academic opportunities using a variety of tools
* Develop and articulate achievable academic goals
* Demonstrate proper note taking techniques using the Cornell method
* Apply the concept of SQ3R to reading a textbook
* Learn about financial management
* Apply APA format for an assigned research project that will be presented to the class, clearly, concisely and without bias.
Methods of Instruction
This course will present materials through the delivery of online content, discussions, assigned readings, and practical exercises.
Course Requirements
For successful completion of this course students must:
1. Complete assigned readings
2. Actively engage in classroom discussions online, per discussion instructions
3.
Complete all assignments
4. Complete reflective writing assignments
5. Complete quizzes
6. Research a health profession you are interested in (including an interview with someone currently in this position) and provide an overview of the job requirements, work environment, educational requirements, salary, and job outlook (for the state and nation). Create a brief presentation (7-10 minutes) to share what you learn with your classmates.
Student Evaluation and Grading
Attendance
You must participate thoughtfully in weekly course content, activities, and discussion. Attendance is evaluated based on signing into Blackboard AND participating in weekly activities / assignment submissions. IF you sign in but do not participate, this will be counted as an absent week which could lead to an Administrative Failure (AF) for the course.
Text, Tools and / or Supplies
Staley, C. (2012), Southern Maine Community College: Focus on Success, Cengage Learning, ISBN # 9781285117058. All materials for successful completion of the course can be found on blackboard.
End-of-Course Evaluation
Students complete evaluations for each course attended at SMCC. Evaluations are submitted online and can be accessed through the student portal site. Students can access the course evaluation report beginning one week before the end of classes. The deadline for submission of evaluations occurs Monday at 5 PM following the last day of the class. You will receive an email to your student email account when course evaluations are available.
ADA Syllabus Statement
Southern Maine Community College is an equal opportunity/affirmative action institution and employer. For more information, please call 207-741-5798. If you have a disabling condition and wish to request accommodations in order to have reasonable access to the programs and services offered by SMCC, you must register with the Disability Services Coordinator, Sandra Lynham, who can be reached at 741-5923. Further information about services for students with disabilities and the accommodation process is available upon request at this number. Course policies about online testing are modified to suit each individual's accommodations.
SMCC Pay-for-Print Policy
Per Page Costs
Each semester students receive a $20 printing credit. The balance resets at the end of the semester and any remaining credits are removed. The cost varies depending upon page size and whether printing is done in black and white or color.
a. There is a $0.10 per page fee for standard 8.5" by 11" black and white documents.
b. The reverse sides of duplex (double-sided) documents are free.
c. There is a $.50 per page fee for standard 8.5" by 11" color documents.
d. There is a $.20 per page fee for 8.5" by 14" (legal) or 11" by 17" (tabloid) black and white documents.
e. There is a $1.00 per page fee for 8.5" by 14" (legal) or 11" by 17" (tabloid) color documents.
Duplex charges (printing on both sides of a page) work in the following fashion: One page is $0.10, two pages are $0.10, three pages are $0.20, and four pages are $0.20, etc. The flipsides are free, but another sheet of paper is $0.10. Please be aware that a document with any color at all (when printed to a color printer) will by default be printed in color. You are responsible for setting the print job to print black and white if you do not need color. For directions, please go to the IT Help tab in My SMCC.
How does it work?
The College's pay-for-print system monitors printing on all printers (including those in general access labs, library printers, the Academic Achievement Center, Noisy Lounge and technology labs). Students can check the number of pages they have printed by using the Printing Balance tool available on SMCC computers (located in the lower right corner of the screen, near the clock). Departments with work study students who need to print documents for the department should contact the Help Desk at 741-5696 to have a special account set up.
Refunds
Print jobs are eligible for a refund in the event of mechanical or electronic error on the part of the printer, print server, or software used to submit the job. Jobs are not eligible for a refund in cases where the job was not set up correctly, was submitted multiple times, or the student is not satisfied with the result. To request a refund, please bring the offending print to the IT Department in the basement of the Ross Technology Center. Refunds will be granted in the form of a credit to the student's account.
Why is SMCC charging for printing?
The pay-for-print system is an effort to control escalating printing costs. Charging for printing helps offset the increasing cost of supplies and encourages students to conserve resources. To find ways to reduce your printing charges, please go to the IT Help tab on My SMCC. If you have questions about the pay-for-printing policy or your printing charges, please contact the Help Desk at 741-5696 or send an email to [email protected].
Be sure to log OUT of the system when you've finished your printing, to prevent unauthorized access to your account.
Add-Drop Policy
Students who drop a course during the one-week "add/drop" period in the fall and spring semesters and the first three days of summer sessions receive a 100% refund of the tuition and associated fees for that course. Please note any course that meets for less than the traditional semester length, i.e., 15 weeks, has a pro-rated add/drop period. There is no refund for non-attendance.
Withdrawal Policy
A student may withdraw from a course only during the semester in which s/he is registered for that course. The withdrawal period is the second through twelfth week of the fall and spring semesters and the second through ninth week of twelve-week summer courses. This period is pro-rated for shorter-length courses. To withdraw from a course, a student must complete and submit the appropriate course withdrawal form, available at the Enrollment Service Center (no phone calls, please). The designation "W" will appear on the transcript after a student has officially withdrawn. A course withdrawal is an uncompleted course and may adversely affect financial aid eligibility. Failure to attend or ceasing to attend class does not constitute withdrawal from the course. There is no refund associated with a withdrawal.
Plagiarism Statement
Adherence to ethical academic standards is obligatory. Cheating is a serious offense, whether it consists of taking credit for work done by another person or doing work for which another person will receive credit. Taking and using the ideas or writings of another person without clearly and fully crediting the source is plagiarism and violates the academic code as well as the Student Code of Conduct. If it is suspected that a student in any course in which s/he is enrolled has knowingly committed such a violation, the faculty member should refer the matter to the College's Disciplinary Officer and appropriate action will be taken under the Student Code of Conduct. Sanctions may include suspension from the course and a failing grade in the course. Students have the right to appeal these actions to the Disciplinary Committee under the terms outlined in the Student Code of Conduct.
NOTE: * Course content will be released online at 12:01am every Monday morning. All assignments are due by 11:59pm on Saturday of that same week.
| Week | Topic | Assigned Reading for Week |
|---|---|---|
| 1 Jan 13 - 18 | Introductions, Course Overview, SMCC Resources | |
| 2 Jan 19 - 25 | Personal Habits of Success & Time Management | Chapters 1, 2 and Chapter 3 (only section 3.4, pages 120-123) |
| 3 Jan 26 – Feb 1 | Taking Notes, Reading to Learn & Test Taking | Chapters 4, 5, & 6 |
| 4 Feb 2 - 8 | Careers in Healthcare & Personal Health (Introduce Presentation) | Chapter 10, Chapter 12 (only section 12.2, pages 454- 460) |
| 5 Feb 9 - 15 | Setting Academic & Career Goals | Review Chapter 2 (only section 2.1, pages 53-63) |
| 7 Feb 23 - 29 | Public Speaking & Class Presentations, APA Format, Financial Literacy | Chapter 7 (only section 7.4, pages 263-271) Chapter 11 | • Budgeting and Student Loans Assignment • Discussion: Research Project Health Professions Presentations • Chapter 11 Quiz |
|---|---|---|---|
| 8 Mar 1 - 7 | Health Profession Research Project Presentations | | • Research Project Presentations • Reflective Writing: Course Reflection/Relevance |
|
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Captain Howard Rahtz retired from the Cincinnati Police Department as Commander of the Central Vice Control Unit with responsibility for city-wide drug enforcement. Prior to joining the C.P.D., Rahtz served as a counselor in one of the earliest methadone programs in the country as well as Executive Director of the Addiction Services Council, which provides education, treatment, prevention, and intervention services. He is one of the few people in the country with direct experience in both law enforcement and addiction treatment.
During his career with the C.P.D., Howard worked in Community Policing as well as serving as Commander of the Police Academy. He was also the Coordinator for the S.W.A.T. Hostage Negotiation Team which worked to resolve hostage and barricade situations.
Rahtz's expertise also focuses on community policing and police use of force. He's the author of four books on policing issues, including Understanding Police Use of Force (2004) and Race, Riots and the Polic e (2016). Foreword Magazine recently awarded Race, Riots and the Police an Honorable Mention in the category Best Social Science Indie Books for 2016.
Rahtz is a strong advocate for community engagement and problem-solving as key elements of improving police-community relations.
The Law Enforcement Action Partnership is a nonprofit organization composed of police, prosecutors, judges, and other criminal justice professionals who use their expertise to advance drug policy and criminal justice solutions that improve public safety. With 150 speakers across the United States, LEAP representatives reach millions of Americans each year through educational programs and media interviews..
For media,
contact
[email protected]
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480/400IPS MPEG4
16CH/9CH Network DVR
EDR1640/EDR1620/EDR920
Up to 6 Independent Disk Arrays (EDA800s) Cascade with one DVR
With Matrix output: up to 6 Monitors output for one DVR
System Scalability with Multi-function keyboard controller
Total of 50 Hard disks (25TB) Cascade Ability System
Up to 485 days ➔ Entry Level Image
Up to 5 months ➔ Superior Level Image
Recording Rate for EDR1640
- 480/400IPS, 360x240 (NTSC) or 360x288 (PAL)
- 240/200IPS, 720x240 (NTSC) or 720x288 (PAL)
- 120/100IPS, 720x480 (NTSC) or 720x576 (PAL)
Version 2 (2005072912:00)
Unlike tape-based systems, digital recorders capture surveillance video directly to high-capacity hard drives that can store far more video in a given space. In addition, digital recording allows you to instantly access any video, without fast-forwarding or re-winding tapes. Better yet, you can use the built-in software to quickly search through stored images, instead of scanning hours and hours of tape. With networked security systems, you can easily transmit any digitally stored video to remote monitors or locations.
Digital recording systems allow archiving of images on multiple media outlets (USB Ports, compact flash card, SD card).
**MATRIX OUTPUTS**
4 Call monitor outputs. Free adjustable sequences for each monitor with individual dwell time for each camera. Motion cameras could be displayed on selected monitors and override the sequence. Alarm inputs are able to switch selected cameras to selected monitors (free adjustable) with timeout or manual reset. Alarm inputs are able to switch groups of selected cameras to selected monitors (free adjustable) with timeout or manual reset. (Manually select a single camera to each monitor. Etc.)
**FAMILIAR MULTIPLEXER FRONT PANEL OPERATION**
The Full-size DVR Series offers familiar multiplexer and VCR style control keys and its user-friendly step-by-step menus simplify the installation and operator training process.
**DATA CAN BE ARCHIVED TO USB DRIVER AND STORED IN TWO 3.5” IDE TYPE HDDS**
EDR MPEG4 series with 2.0 USB Ports makes it easier to back up the images to a PC. Built in 3.5” IDE type HDDs for large amounts of storage via hot swap tray.
**EASY TO OPERATE JOG SHUTTLE**
The Jog shuttle can be used to forward, rewind, pause, search and set menus.
**TCP/IP READY**
The Full-size series DVR allows the user to remotely monitor your business through a simple TCP/IP connection. The remote viewing software is embedded in the unit and password protected to enable remote monitoring from any secure network connection.
**6x recording time than M-JPEG**
EverFocus EDR MPEG4 series of digital recorders features a propriety MPEG4 compression technology that allows you to store approximately 4~6x times as much video per gigabyte of disk space than with the conventional compression algorithms. At the same time, the MPEG4 Compression results in less noise and distortion, delivering high-quality images for archiving, playback and storage.
**MULTIPLE MOTION DETECTION**
Everfocus DVR allows you to configure Multiple detection area masks; (up to 30x24 grid) and freely adjust the motion detection sensitivity of each camera to suit your needs.
- Multiple detection area and adjustable sensitivity level
- Multiple detection area masks.
- Adjustable motion detection sensitivity.
**Intuitive, easy-to-learn interfaces**
Like all Everfocus digital systems, our digital recorders are designed to simply and streamline set-up, learning and configuration through simple and easy-to-understand controls and software interfaces.
Advantages
System Examples
Basic System
1. EPTZ1000 (Speed dome camera)
2. LAN/WAN
3. Ethernet (10Base-T/100Base-TX)
4. RS485
5. EKBS00
6. EverFocus DVR Series
7. Matrix output for 4pcs Call Monitor
8. Color Monitor
9. Call Monitor
10. Multi screen
11. Camera
12. Color Monitor
13. Multi screen
Network System
1. EPTZ1000 (Speed dome camera)
2. LAN/WAN
3. Ethernet (10Base-T/100Base-TX)
4. RS485
5. EKBS00
6. EverFocus DVR Series
7. Matrix output for 4pcs Call Monitor
8. Call Monitor
9. Multi screen
10. Color Monitor
11. Multi screen
12. Camera
13. Color Monitor
14. Multi screen
System Cascade Ability (Unlimited by expanding additional HDDs in Disk Arrayrs)
EDR MPEG4 series DVR can be cascaded to increase unlimited video inputs. All the cameras can be switched and viewed in live and playback from the master, while each slave unit has its own live viewing monitor.
Specifications
| Video Format | NTSC/EIA or PAL/CCIR |
|--------------------|-----------------------|
| Video Input | 9/16 camera inputs (BNC), 1Vp-p/75ohm |
| Video Output | 1 BNC video out (1Vp-p/75ohm) for Main Monitor
| 1 BNC video out (1Vp-p/75ohm) for CALL Monitor
| 1 S-Video out for Main Monitor
| 9/16 video out (1Vpp/75ohm) for Looping |
| Video Compression | MPEG4 |
| Recording Rate | EDR1640:480/400IPS,360x240(NTS) or 360x288(PAL)
| 240/200IPS,720x240(NTS) or 720x288 (PAL)
| 120/100IPS,720x480(NTS) or 720x576(PAL)
| EDR1620:240/200IPS,360x240(NTS) or 360x288(PAL)
| 120/100IPS,720x240(NTS) or 720x288 (PAL)
| 60/50IPS,720x480(NTS) or 720x576(PAL)
| EDR920: 240/200IPS,360x240(NTS) or 360x288(PAL)
| 120/100IPS,720x240(NTS) or 720x288 (PAL)
| 60/50IPS,720x480(NTS) or 720x576(PAL) |
| Video Recording Resolution | Full D1 size: 720x480(NTSC) or 720x576(PAL)
| Half D1 size:720x240(NTSC) or 720x288(PAL)
| CIF size:360x240(NTSC)or 360x288(PAL) |
| Video Display | Full, PIP, 4, 7, 9,10,13,16 and 2x2 Zoom for live
| Full, 4,7,9,10,13,16 , 2x2 Zoom for playback |
| Display Resolution | 720x480 (NTSC) or 720x576 (PAL) |
| Video Pause | Yes |
| Alarm input | 9/16 Alarm Inputs |
| Alarm Output | 4 Alarm Outputs |
| Hard Disk Storage | Two Hot-Swap 3.5" IDE Hard Disk for Internal
| and SCSI controller for External |
| Recording Mode | Continue, Time-lapse, Schedule or Event recording |
| Playback Search | By Date/Time or Event
| (Motion, Video Loss, Alarm) |
| Multi-Motion Detection | Yes, with configurable detection area(30x24) & sensitivity |
Video Loss Detection | Yes |
Event Log | Yes |
User Interface | Menu Driven |
Setup | On screen display setup |
User input Device | Front panel keypad with Shutter/Jog (Optional for Mouse) |
Timer | Built-In real time clock and Auto Time Synchronization with global NTP Server through Internet |
Watch Dog Timer | Yes |
HDD temperature detection | Yes |
Title | 12-character title generator for each camera |
Ethernet | RJ45 connectors for network communications |
Archive | USB 2.0 |
RS-232 | 9-pin female connector for local communications |
RS-485 | RJ 11 connector for remote control PTZ and Keyboard |
User input Device | Keyboard, Mouse, and Keypad |
Audio | 4 mono (MIC) Input, 1 mono (SPEAKER) output |
Power Source | AC 100-240V |
Power Consumption | 185W |
Dimension | Full Size of 19" 2U |
Weight | 6.2kg |
Operating Temperature | 0 °C to +40 °C |
**Major Operating Controls**
**Rear View**
1. Main Power socket
2. Power switch
3. Cooling Fan
4. Matrix outputs
5. Video output connectors (video out 1–16)
6. Video input connectors (video in 1–16)
7. Call monitor output
8. Main monitor connector
9. S-Video connector
10. Audio input connectors (audio in 1–2)
11. Audio output connectors
12. LAN connector
13. RS485 connector
14. SCSI connector
15. Mouse connector
16. RS232 connector
17. Alarm input/output
18. Cascade in/out
**Special Features:**
- Built-in MPEG4 compression/decompression with configurable video quality
- Data can be archived to USB 2.0
- Triplex operation for simultaneous viewing, recording, and playback
- SCSI interface for External expandable storage
- Recording time can be unlimited by expanding additional HDDs in disk arrays
- Event log for video loss, motion detection, alarm input, alarm reset, power on/off
- Radar search functions such as thumbnail video, motion and alarm
- Real-time live display for all cameras
- User-Friendly On-Screen Menu operations with Multi-Language support
- Shuttle/Jog dial for picture-by-picture or fast/slow viewing
- Instant retrieval of stored video
- On-screen setup menu and system timer
- TCP/IP ready: remote monitoring from any secure network connection
- Programmed with various time-lapse speeds
- Two 3.5” Hard Disk with Hot-Swap tray for internal storage
- RS232 and RS485 for Remote Control
- IR remote Controller
- Real-Time Live Display for all cameras
- Alarm and motion activated recording
- 4 channel real time audio recording capabilities
- 1 RJ45 connector for Internet/Intranet connection
- Programmable motion detection area (30x24) for each channel
**OPTIONAL COMPONENTS**
**Extension unit EDA800+ (1~8 drive bays for HDD)**
- High capacity data storage with space 8 hard disk drives
- Ultra 160 LVD SCSI up to 16 MB/sec transfer rate
- External SCSI port for daisy chain up to 6 disk boxes
- Selectable SCSI ID from 0 to 15
- Supports ATA 133/100/66/33 hard drive
- Supports Ultra DMA mode with data transfer rate up to 133 MB/sec
- Supports 300GB HDD with Big Drives Technology
- Maximum capacity of 25TB by connecting 50 x 500GB hard drives
**EKB500**
**Multi-Function Keyboard Controller**
- Capable of Controlling Speed Dome camera, DVR, Access Control and Monitor
- 3D Joystick Control of PTZ function
- LCD Display
- Multi-Protocol Support (Everfocus_enhance protocol; Pelco P/D)
- Jog Shuttle Control of DVR
---
**COLOR SURVEILLANCE CAMERAS**
- **EHD350 HQ**
- Color Rugged Dome Camera
- **EQ600**
- Wide-Dynamic Camera
- **EQ350 HQ**
- 520TVL High-Res. Color Camera
- **EPTZ1000**
- Outdoor Speed Dome
- **EPD200**
- 380TVL Pendent Color Camera
- **ECZ100**
- Weatherproof 380TVL Camera
- **ECZ230**
- Weatherproof IR camera
*All photographs and menus are simulated and shown for the purpose of explanation. Actual images may differ. Weights and dimensions are approximate. Specifications are subject to change without notice.*
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APPROVED
Minutes of February 14, 2017 BEAVER DAM TOWN BOARD MEETING Beaver Dam Town Hall, W8540 Cty Hwy W, Beaver Dam, WI
Meeting called to order 7:00pm.
Pledge of Allegiance
Present: Chairman Neal Stippich, John Kuzniewicz, Joe Kern, Treasurer Mercia Christian, Clerk Kristine
Klodowski. Absent: Jeff Schmitt.
Notice of meeting posted February 8, 2017, published February 10, 2017, amended notice posted February 10, 2017.
Motion (Kuzniewicz/Kern) to approve agenda and allow Chairman to go out of order. Motion carried.
January 10, 2017 minutes read. Motion (Kern/Kuzniewicz) to approve minutes. Motion carried.
NEW BUSINESS:
1. Judge Martin J. Devries – Chairman read recommendation letter from Town's attorney Sean Donohue. Judge Devries present and spoke of experience and philosophy in asking for support for upcoming election for Branch II Judge.
COMMITTEE/DEPARTMENT REPORTS
1. Land Use Administrator: Dan Prunuske 3 permits issued. Prunuske brought to Board's attention Extreme Auto and Towing appears to have a car inside which does not meet current code. Prunuske will write letter advising removal within 30 days. Extreme Auto's Conditional Use Permit was issued with condition of review in one year which will be March Plan Commission meeting.
2. Plan commission: No meeting.
3. Board of Appeals: No meeting.
4. Police Department: Chief Brian Drumm reviewed Town of Beaver Dam Monthly Call Report 2017 and Police Beat for January 2017.
5. Road Maintenance Department: Lester Oestreich, Jr. reviewed January 2017Job Report.
Motion (Kern/Kuzniewicz) to approve committee reports. Motion carried.
TREASURER'S REPORT: given by Mercia Christian. Motion (Kern/Kuzniewicz) to approve. Motion carried.
PAYMENT OF BILLS: Total bills presented: $1,993,190.64. Motion (Stippich/Kern) to approve. Motion carried.
TOWN RESIDENTS: Doug Ninmann, president of the Dodge County Fair Association was present to request permission for the placement of a large street light on the corner of Hwy. 33 and Fabisch Road to help with safety at the Fair and other events. Town Board has no objection to placement of lighting.
UNFINISHED BUSINESS:
1. General Engineering Company (GEC) culvert replacements – Lukasz Lyzwa presented and reviewed project status memo. Discussion. Chairman felt the City of Beaver Dam needs to be contacted prior to bidding. Motion (Kuzniewicz/Kern) for GEC to continue with project of
culvert replacements as proposed, and to advise and seek approval from the City of Beaver Dam. Motion carried.
2. Commercial building repair/replace policy/guidance
3. Pool permit fee resolution
4. Pool ordinance, Chapter 10 Town Code Motion (Stippich/Kern) to table Items 2-4 for a special meeting on Tuesday, March 7, 2017 at 7:00pm.
5. Resolution 2016-3 Water Rescue Responsibility: Discussion. Motion (Stippich/Kern) to not approve without further consultation with Town's attorney. Motion carried.
6. Fire/Rescue three year contract: Discussion. Motion (Kern/Kuzniewicz) to approve Joint Contract for Rural Fire Rescue and Emergency Medical Service. Motion carried.
CLERK'S REPORT: Operator's License (Keith R. Castillo, Andrew I. King, Kyle T. Grotenhuis, Barry L. Hay, Curtis M. Schade). Motion (Kern/Kuzniewicz) to approve. Motion carried.
CORRESPONDENCE & Information received by Chairman and/or Town Officers. Chairman reviewed Town Unit Meeting Follow-up letter from Martenson & Eisele, Inc. and other correspondence.
Motion (Kern/Kuzniewicz) to adjourn 9:23pm. Motion carried.
Special Town Board Meeting Tuesday, March 7, 2017 at 7:00pm Beaver Dam Town Board Meeting Tuesday, March 14, 2017 at 7:00pm
Respectfully Submitted,
Kristine Klodowski, Clerk
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CAPITAL ONE FINANCIAL CORPORATION
CHARTER OF THE
RISK COMMITTEE OF THE BOARD OF DIRECTORS
Purpose
The Risk Committee (the "Committee") is appointed by the Board of Directors (the "Board") of Capital One Financial Corporation (the "Corporation") to assist the Board in discharging its oversight of the Corporation's enterprise-wide risk management framework, including policies and practices established by management to identify, assess, measure and manage key risks facing the Corporation across all of the Corporation's risk categories: strategic, compliance, operational, reputation, credit, market, and liquidity risk. The Committee shall also perform such other duties as may be specified from time to time as deemed necessary or appropriate to carry out its responsibilities.
References in this Charter to the Corporation shall be deemed to include its depository and non-depository institution subsidiaries and affiliates, unless the context requires otherwise.
The Committee's primary responsibility is one of oversight of enterprise-wide risk management, and it recognizes that the Corporation's management is responsible for managing its risk function and for reporting on its processes and assessments with respect to the Corporation's management of risk. Accordingly, in assisting the Board with its oversight responsibilities with respect to risk management, the Committee may rely on management to assume the primary responsibility for the risk management function at the enterprise level and to see that risk management policies, procedures and limits are developed throughout each line of business and staff group, as applicable, to achieve desired results. The Committee may also rely on the periodic reports from management or other officers or employees, as appropriate, on the Corporation's risk management programs and the results of such programs. The Committee may rely, to the fullest extent permitted by law, upon the information, opinions, reports or statements provided by persons within and outside the Corporation from whom the Committee receives such information, opinions, reports or statements.
Membership
The Committee shall consist of three or more directors as determined by the Board. The chair of the Committee (the "Chair") shall, in the judgment of the Board, meet the criteria for independence as established by the Board in accordance with the New York Stock Exchange listing standards and any other applicable laws, rules or regulations regarding independence or other qualifications applicable to the Chair as they are in effect from time to time. In addition, at least one member of the Committee shall, in the judgment of the Board, have experience in identifying, assessing, and managing risk exposures of large, complex financial firms, commensurate with the Corporation's structure, risk profile, complexity, activities, and size.
The members shall be appointed and removed by the Board acting on the recommendation of the Governance and Nominating Committee of the Board. The Board shall have the authority to fill any vacancies and to remove any Committee member for any reason. Either the Board or the Committee shall appoint the Chair.
Meetings
The Committee shall meet at least quarterly during the year and at such other times as the Committee or the Chair deems advisable. The Committee may also meet periodically in separate executive sessions, including executive sessions with the Corporation's Chief Risk Officer, Chief Audit Officer, Chief Credit Review Officer, General Counsel, Chief Compliance Officer, and other members of management as it deems appropriate to carry out its responsibilities.
The Committee shall have the authority to meet with other Board committees, or the chairs of those committees, overseeing the Corporation's management of specific risks.
The Committee may meet in joint session with the Audit Committee of the Board (the "Audit Committee"), or with the chair of the Audit Committee, from time to time to discuss areas of common interest and other significant matters as the Committee deems appropriate.
The Board reserves responsibility for overall corporate strategy and oversight of strategic risk management, capital planning, dividends and share repurchases, the Comprehensive Capital Analysis and Review supervisory assessments and supervisory stress testing under the Dodd-Frank Wall Street Reform and Consumer Protection Act, and significant capital markets, financing and corporate transactions to the extent not otherwise delegated to management.
The Committee is governed by the same rules regarding meetings (including meetings by telephone conference or similar communications equipment), action without meetings, notice, waiver of notice, and quorum and voting requirements as are applicable to the Board.
Committee Duties and Responsibilities
The general responsibility of the Committee is to approve and periodically review the enterprise-wide risk management policies of the Corporation, and oversee the operation of the Corporation's enterprise-wide risk management framework, commensurate with the Corporation's structure, risk profile, complexity, activities, size, and other appropriate risk-related factors. In furtherance of its responsibilities described above, the Committee's duties include:
A. Risk Management Framework, Policies and Practices
1. Review and recommend to the Board for approval the Corporation's risk management framework (and any significant changes thereto) and the key risk management policies developed for the Corporation.
2. Receive and review management reports from the Chief Risk Officer and other members of management, as applicable, on the Corporation's risk management framework, risk management programs (including steps taken to identify, assess, monitor and control the Corporation's key risks) and their results, including any risk management deficiencies and emerging risks.
3. Discuss with management the enterprise's risk appetite and tolerance; and at least annually (or more frequently, as necessary, based on the size and volatility of risks and any material changes in the Corporation's business model, strategy, risk profile, or market conditions), recommend to the full Board the statement of risk appetite and tolerance to be communicated throughout the Corporation.
4. Review and assess the adequacy and effectiveness of the Corporation's enterprise-wide risk assessment processes; and review and address, as appropriate, management's corrective actions for any deficiencies that may arise with respect to the effectiveness of such programs.
5. Receive reports from the Head of Regulatory Relations or other members of management, as appropriate, on material inquiries received from, and any reports of examination submitted by, the various federal and state financial institution regulatory authorities and management's responses to such reports or inquiries.
6. Receive reports from, review with, and provide feedback to, management on the Corporation's strategic, compliance, operational, reputation, credit, market, and liquidity risk categories, the exposures in each category, significant concentrations within those risk categories, the metrics used to monitor the exposures and management's views on the acceptable and appropriate levels of those risk exposures.
7. At least annually, review and recommend to the Board the Corporation's Information Security Policy and Information Security Program.
8. Receive and review management reports from the Chief Information Officer or the Chief Information Security Officer, as appropriate, regarding (i) the Corporation's enterprise cyber program and key enterprise cyber initiatives, including management's actions to identify, assess, mitigate and remediate material cyber issues and risks; and (ii) significant cyber incidents impacting the Corporation, including management's assessment of the root cause and relevant learnings from the incident.
9. Receive and review management reports from the second-line technology and cyber risk management function on the Corporation's technology and cyber risk profile and top technology and cyber risks, including management's actions to identify, assess, mitigate, and remediate material technology and cybersecurity issues and risks.
10. Oversee the Corporation's independent market and liquidity risk management function; and receive and review from such function reports on any material market or liquidity risk management issues for corrective action.
11. Review and recommend to the Board the Corporation's liquidity risk tolerance at least annually, taking into account the Corporation's capital structure, risk profile, complexity, activities, and size. Senior management shall report to the Committee or the Board regarding the Corporation's liquidity risk profile and liquidity risk tolerance at least quarterly (or more often, if changes in market conditions or the liquidity position, risk profile, or financial condition of the Corporation warrant); provided, however, that the Board shall receive and review at least semi-annually information provided by senior management to determine whether the Corporation is operating in accordance with its liquidity risk tolerance.
12. Receive documentation from senior management regarding the methodology and assumptions used to make the Corporation's cash flow projections for liquidity management.
13. At least annually, approve the Corporation's contingency funding plan, and any material revisions thereto.
B. Enterprise Risk Function and Chief Risk Officer
14. At least annually, review with the Chief Risk Officer the overall budget for the enterprise-wide risk management function, including ongoing investments in the Company's enterprise-wide risk management function and its talent, staffing, and systems.
15. Approve the appointment, removal or replacement of the Chief Risk Officer, as appropriate. The Chief Risk Officer shall report directly to both the Committee and the Chief Executive Officer.
16. Annually review the performance of the Chief Risk Officer and approve the Chief Risk Officer's compensation.
17. Receive and review regular reports from the Chief Risk Officer at least quarterly.
18. Review and see that the Chief Risk Officer, in the judgment of the Committee, has (i) sufficient experience in identifying, assessing, and managing risk exposures of large, complex financial firms, relevant to the particular risks facing the Corporation and commensurate with the Corporation's structure, risk profile, complexity, activities, size and other appropriate risk-related factors as the Committee may determine in its judgment, and (ii) sufficient stature, authority, and seniority within the Corporation.
C. Credit Review and Chief Credit Review Officer
19. Oversee the Corporation's credit review department and review and approve its annual budget.
20. Approve or replace the Chief Credit Review Officer, as appropriate. The Chief Credit Review officer shall report directly to the Committee for functional purposes but may report to a member of management for administrative purposes, which administrative reporting arrangement shall be reviewed and assessed by the Committee on an annual basis.
21. Annually review the performance, independence and compensation of the Chief Credit Review Officer.
22. Review and approve annually the credit review plans and policies, and any significant changes to such plans, as appropriate.
23. Receive and review reports from the Chief Credit Review Officer, or designee, on any significant credit review findings regarding the Corporation's credit risk management programs and policies and management's corrective actions, as appropriate.
D. Other Responsibilities
24. Coordinate consideration of and communications with regard to risks among the Board committees and the Board.
25. Maintain minutes of meetings, regularly report on its deliberations and actions to the Board and make recommendations to the Board, in accordance with this Charter and any applicable regulatory requirements.
26. Review, at least annually, this Charter and recommend any proposed changes to the Board for approval.
27. Conduct, and report to the Board the results of, an annual performance evaluation of the Committee, which evaluation shall include comparing the performance of the Committee with the requirements of this Charter.
28. In addition to the activities enumerated herein, perform any other activities consistent with this Charter, the Corporation's Bylaws and governing law, as the Committee or the Board deems necessary or appropriate or as required by law or regulations.
Access to Advisors
The Committee, in its sole and absolute discretion, shall have the authority to conduct investigations into any matters within its scope of responsibility and to retain outside legal, accounting, risk management or other advisors, as it deems appropriate, to perform its duties and responsibilities, without prior permission from the Board or management, and the Corporation shall provide the necessary resources for such purposes.
Open Communications
In carrying out its responsibilities, the Committee shall maintain free and open means of communications between the directors, the Chief Audit Officer, the Chief Risk Officer, the Chief Financial Officer, the Chief Credit Review Officer, the General Counsel, the Chief Compliance Officer and other members of management. The Committee's policies and procedures shall remain flexible, in order to best react to changing conditions and circumstances that might have a material effect on the risk assessment and risk management practices of the Corporation.
Delegation of Authority
The Committee may form, and delegate authority to, subcommittees comprised of one or more members of the Committee, as appropriate. Each subcommittee shall have the full power and authority of the Committee, as to matters delegated to it.
* * *
Approved by the Committee and the Board on July 27, 2021.
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THE SUBSURFACE STRUCTURE OF LARGE WRINKLE RIDGES, VALLES MARINERIS, MARS.
L. Vargas 1 <[email protected]>, F. Fueten 1 <[email protected]>, J. Walmsley 1 , R. Stesky 2 , and E. Hauber 3 . 1 Department of Earth Sciences, Brock University, St. Catharines, Ontario, Canada L2S 3A1; 2 Pangaea Scientific, Brockville, Ontario, Canada K6V 5T5; 3 Institute of Planetary Research, German Aerospace Center (DLR), Berlin, Germany.
Introduction: Wrinkle ridges within the Martian surface are linear topographic expressions which change direction along their lengths, generally mimicking the outline of the Tharsis Province [1,2]. They are thought to be the result of compressional tectonism and produced by underlying thrusts [2-5]. Most of the wrinkle ridges that surround Valles Marineris appear sub-perpendicular to the main trend of the chasmata [2, 10, 11].
ridges (LWR). Their proximity to the walls of Coprates suggests that the walls might expose the underlying structure of these LWRs. Close inspection of the wall subjacent to the LWRs shows planes with anomalous attitudes dipping into the wall (Fig. 1A, yellow planes). We hypothesized that these Anomalous Planes (AP) are associated with underlying faults and that they are complex thrust faults. We examine their possible connection to LWRs using COULOMB.
Previous studies have determined that the crosssectional morphology of wrinkle ridges is typically composed of two landforms, a narrow ridge ~2-5 km wide superimposed onto a broad low relief arch ~1020 km wide [2,4,6,7]. The superposition of the two landforms creates an asymmetric topographic expression, a key morphologic element of wrinkle ridges. The steep side of the ridge points in the direction of the underlying thrust and thus faces away from the center of the Tharsis Province. Elastic dislocation models using the USGS deformation and stress-change software (COULOMB) [8,9] simulated the possible underlying structure of wrinkle ridges. By iteratively adjusting the fault parameters associated with the structure, they replicate the current topography from digital elevation datasets.
Ophir Planum (OP) has three high relief features (i.e. OP1, OP2, and OP3) that trend ~45° (Fig. 1A). We examine their morphology and show their resemblance to wrinkle ridges. We model their formation using COULOMB and subsurface geometry inferred from the planes exposed on the walls.
Topographic Analysis: The morphology of the large formations was analyzed using HRSC DEMs of resolution ~50-150 m/px [10] and detailed analysis of the walls of Valles Marineris using a DEM made from Context Imager (CTX) datasets [11]. The wall below the OP formations was analyzed using the AVA tool [12], which shows the attitude of each surface pixel using a schematic color-wheel (Fig 1A).
The large ridges resemble wrinkle ridges in morphology, but have the opposite sense of asymmetry, with the steeper side facing the center of the Tharsis Province. With a relief of ~200-900 m, a width of ~3035 km and a length of ~90-150 km, they are also an order of magnitude larger than other wrinkle ridges near Valles Marineris. To distinguish them from regular wrinkle ridges, we refer to them as large wrinkle
Elastic Modelling: In order to test the hypothesis, elastic dislocation models were made for the two APs subjacent to the LWRs OP1 and OP3 (Fig. 1A) using geometrical measurements from the walls to describe the underlying structures (Fig. 1B-D). They were modelled as segments of faults where each segment has a different characteristic fault length L, dip angle θ, fault depth T, and displacement D. The attitude of the fault segments is defined by the trend of their respective LWR and their respective dip value was obtained from the geometrical measurements on the wall. The values for the displacement of each fault segment are values similar to those used on previous studies [4].
Preliminary Results: The results from the models show that the asymmetry of the LWRs was replicated (Fig. 1E-F) using the same stress conditions of regular wrinkle ridges. Similarly, comparison of the models with the actual topography of the LWRs shows a strong resemblance (Fig. 1E-F).
As result, these comparisons suggest that the defined geometries can describe the underlying structures of the LWRs, suggesting that the APs do represent the underlying structure of the LWRs indicating that LWRs are indeed a type of wrinkle ridge.
References: [1] Tanaka, K.L., et al. (2014). U.S.G.S. Map 3292 [2] Okubo, C.H., and Schultz, R.A. (2004). GSA Bulletin, 116(5/6), 594-605 [3] Schultz, R.A. and Tanaka, K.L. (1994). JGR, 99(E4), 8371-8385 [4] Watters, T.R. (2004). Icarus, 171, 284294 [5] Cole, H.M., and Andrews-Hanna, J.C. (2017). JGR: Planets, 172 [6] Strom, R.G. (1972). Mod. Geol., 2,133-157 [7] Watters, T.R. (1988). J.G.R., 89, 1023610254 [8] Lin, J. and Stein, R.S. (2004). J.G.R,, v. 109, B02303 [9] Toda, S., et al. (2005). J.G.R., v. 110, B05S16 [10] Gwinner, K, et al. (2016). PSS, 126, pg. 93-138. [11] Broxton, M. J. and Edwards, L. J. (2008), LPS XXXIX, abstract #2419 [12] Minin, M., et al. (2015). LPS XLVI, abstract #1577.
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The Echo of India
Siliguri
CREATIVE WORLD
Happy Amitabh Bachchan is a part of 'Brahmastra': Ayan
'Important to inculcate sense of confidence in girls'
MUMBAI, OCT 15 /--/ Filmmaker Ayan Mukerji said he is elated that megastar Amitabh Bachchan is on board his next directorial "Brahmastra". After directing two coming-of-age movies such as, "Wake Up Sid" and "Yeh Jawaani Hai Deewani", the 34-year-old director will helm the fantasy adventure series, backed by Karan Johar's Dharma Productions. "It's a great honour for me to work with him. Ever since the film was conceptualised I wanted to approach him (Bachchan) for it and make it with him. I am very happy he is part of the team 'Brahmastra'," Ayan told reporters here. He was speaking on the sidelines of the opening ceremony of Jio MAMI 19th Mumbai Film Festival last night. "Brahmastra" will be a trilogy, also featuring Ranbir Kapoor and Alia Bhatt.
"I am very excited about the cast but I hope the film is even bigger than the cast. They have all come together because of the story and the theme of the film," he said. In the movie, Ranbir will play a character with special powers and Ayan said it is not a typical costume clad- superhero film. "It's a modern-day film set in India as it exists today. But the reason it's called 'Brahmastra' is because the energies, wisdom, powers in the film come from ancient India. That's all I would say.
There are some costumes, (but) may be not the way you'd expect them to be," he said. The first part of the series will release on August 15, 2019 and Ayan said he has devoted everything to the film. "It's a very big project of my life. All my hopes are on this film. I hope 'ye film sabse zyada dhoom machaye' (this film rocks)," he said. (PTI)
I am profoundly devastated: Harvey Weinstein
Lady Gaga a 'tough girl on the mend'
LOS ANGELES, OCT 13 /- -/ Lady Gaga appears to be on the road to recovery after the pop icon announced that is taking some time off to fight her battle with fibromyalgia. The 31-year-old singer took to Instagram where she posted few pictures of her getting back on track after she recently postponed a string of shows due to ill health. In one of the posts, Gaga wrote that she was recuperating slowly and will soon announce some shows for her fans. "Thank you @sakspotts for this dope jacket and @pollyplume for the beautiful sparkly boots. Slowly coming back to life. With some exciting tour announcements on the way!" she wrote, alongside her picture dressed in fur coat and shorts.
The "Joanne" singer also posted one of the photos from her recording sessions. "Nothing like studio therapy. Thank you @juicycouture for these awesome sparkly track shorts and comfy top. Had so much fun in the studio. Made me feel like a star like the ones in the sky, you know... the real kind," she wrote. In a third picture and post, Gaga wrote, "Tough girl on the mend."
Earlier, suspending all gigs, the singer also said she
needs to focus more on her health today as it is
keeping her
from performing for her fans.
Gaga confirmed,
in a
release, that the second leg of the North American part
of the tour is scheduled to resume in November as
planned. The new dates for the European leg have not
been confirmed yet. (PTI)
LOS ANGELES, OCT 15 /--/ Harvey Weinstein said he is "devastated" as allegations of sexual misconduct continue to mount against him. Less than a week after a New York Times expose detailed decades of Weinstein's alleged inappropriate behaviour towards women, the movie mogul's wife Georgina Chapman announced that she is "leaving" him. "I am profoundly devastated. I have lost my wife and kids, whom I love more than anything else. I fully support her decision. I didn't stand in Georgina's way when we discussed a separation, I encouraged her to do what was in her heart. I know she has to do what is best for the children, for herself and her business, she employs 130 people.
"I don't want her or my children to be hurt any more than they already have. I truly love Georgina, and I hope one day we can reconcile, although right now I don't know if that could possibly happen," Weinstein told Page Six. On Tuesday, a New Yorker article included more allegations against the Weinstein Co. co-founder, who was fired from his own company. In a statement to the New Yorker, a representative for Weinstein denied the allegations presented in the new story. Many big Hollywood names including Meryl Streep, Judi Dench, George Clooney, Kate Winslet, Leonardo DiCaprio have spoken out against Weinstein in recent days. Angelina Jolie and Gwyneth Paltrow are among those who have come forward with their own allegations of misconduct by Weinstein. (PTI)
Aamir says he was scared of losing stardom with Dangal
NEW DELHI, OCT 15 /--/ Bollywood superstar Aamir Khan says he was scared of losing out his fan-following when he was offered the role of wrestler Mahavir Singh Phogat in Dangal as he had to play an old and fat man. "I do get scared (of losing stardom). When I heard the story of Dangal, I thought I have to do this film. But then I thought that I have just done Dhoom 3 and PK, and have six-packs and star-image. If I will do this film (Dangal), then I will become old and fat. What my fans will think? I hope I don't lose my fan-following," Aamir said here on Wednesday while promoting new film Secret Superstar. "Mahavir is a 55-year-old in the film. I am 52. So, there is less difference between us. We are too close. But fans don't know that as they see me as 30-yearold. So, I told the director that I liked the film and I will do it after 10 years when I will be old. They agreed to that too.
"But the story of the film couldn't leave my mind. So, I decided that I should do it and not get afraid of anything," he added. Dangal, which released in 2016, went on the break various records at the box office worldwide. Aamir says being a producer himself, he likes his films to be "economically viable". "I feel that through the films I am working in the person, who is investing his money, should at least get 10-15 per cent profit. But, I don't look at the box office. If I will take a film thinking how much collection it will make, then I wouldn't have made Taare Zameen Par or Secret Superstar," he said. Directed by Advait Chandan, Secret Superstar is based on the life of a teenage girl named Insia, played by Zaira Wasim, who sets out to follow her dream of being a singing superstar under the confinement of anonymity. Chandan said that the film is not based on any real life incident. "All the characters in this film are original and not based on anybody, but they are inspired from people. The people I met during 'Satyamev Jayate' are the ones this film inspired from," he said. Zaira, whose made her acting debut with Dangal, considers herself lucky to work with Aamir again. (PTI)
LOS ANGELES, OCT 15 /- -/ Bollywood star Priyanka Chopra thanked her mother Madhu Chopra for raising her to believe in herself and urged people to do their best to "inculcate sense of confidence" in girls. The 35-year-old actor took to Instagram where she posted a sweet picture of her with her mom and captioned it with a touching and motivational message. "As cliched as it may sound, my mother is my #GirlHero. She is a feisty woman that came from a small town, who ran away from home to pursue her dream job. She was a doctor in the armed forces, has over eight different medical certifications, is a certified pilot and she speaks nine languages! "... She's also an amazing mother, daughter, sister, wife, business partner. She's the one who taught me that I could be anything and everything I want to be. And that's why she's my #GirlHero. It's so important to inculcate that sense of confidence in the girls around you..." Priyanka wrote as she celebrated the International Day of the Girl Child. The Indian star was recently included in Variety magazine's Power of Women honorees list. (PTI)
Shemar Moore to guest star on 'Criminal Minds'
Monday
October 16 , 2017
El Nino caused record CO2 spike in 2015-16: NASA
WASHINGTON, OCT 15 /--/ Scientists have found that the impact of the 2015-16 El Nino-related heat and drought occurring in tropical regions of South America, Africa and Indonesia was responsible for the largest annual increases in atmospheric carbon dioxide (CO2) concentration seen in at least 2,000 years. El Nino is a cyclical warming pattern of ocean circulation in the central and eastern tropical Pacific Ocean that can affect weather worldwide. The findings, published in the journal Science as part of a collection of five research papers, are based on analysis of the first 28 months of data from NASA's Orbiting Carbon Observatory-2 (OCO-2) satellite. "These three tropical regions released 2.5 gigatonnes (a billion tonnes) more carbon into the atmosphere than they did in 2011," said lead author of the study Junjie Liu of NASA's Jet Propulsion Laboratory (JPL) in Pasadena, California. "OCO-2 data allowed us to quantify how the net exchange of carbon between land and "atmosphere in individual regions is affected during El Nino years," Liu added. In 2015 and 2016, OCO-2 recorded atmospheric carbon dioxide increases that were 50 per cent larger than the average increase seen in recent years preceding these observations. That increase was about three parts per million of carbon dioxide per year -- or 6.3 gigatonnes of carbon. In recent years, the average annual increase has been closer to two parts per million of carbon dioxide per year -- or four gigatonnes of carbon. These record increases occurred even though emissions from human activities in 2015-16 are estimated to have remained roughly the same as they were prior to the El Nino. Using OCO-2 data, Liu's team analysed how Earth's land areas contributed to the record atmospheric carbon dioxide concentration increases. The team compared the 2015 findings to those from a reference year -- 2011 -- using carbon dioxide data from the Japan Aerospace Exploration Agency's Greenhouse Gases Observing Satellite (GOSAT).
In 2011, weather in the three tropical regions was normal and the amount of carbon absorbed and released by them was in balance. "Understanding how the carbon cycle in these regions responded to El Nino will enable scientists to improve carbon cycle models, which should lead to improved predictions of how our planet may respond to similar conditions in the future," said OCO-2 deputy project scientist Annmarie Eldering of JPL. "The team's findings imply that if future climate brings more or longer droughts, as the last El Nino did, more carbon dioxide may remain in the atmosphere, leading to a tendency to further warm Earth," Eldering added. (PTI)
I should've just kept my mouth shut: Pink on Swift-Perry row
LOS ANGELES, OCT 15 /- -/ Shemar Moore is returning to "Criminal Minds" where the actor will briefly reprise his role as Derek Morgan. The 47year-old actor will appear in a guest role in the fifth episode of the CBS show, which airs October 25, reported Deadline. As per the plot, Moore's character is coming back to help his 'Baby Girl' (nickname for Kirsten Vangsness' character) Penelope Garcia handle a case that has affected her emotionally. Moore was an original "Criminal Minds" cast member from 2005-2016. Morgan's character was last seen when he had survived a kidnapping and left the BAU to focus on life and family. The crime-drama also features Joe Mantegna, Paget Brewster, Matthew Gray Gubler, A J Cook, Aisha Tyler, Kirsten Vangsness, Adam Rodriguez and Daniel Henney. (PTI)
LOS ANGELES, OCT 15 / --/ Pink has said she regrets siding with Taylor Swift in the singer's muchpublicised feud with Katy Perry, saying she should have kept her opinions to herself. The 38-year-old musician had rooted for "Team Taylor" when she was asked to quickly pick a side while appearing on a radio show in London. In an interview with the Los Angeles Times, Pink said, "I should've just kept my mouth shut, because I don't believe that. I don't care. I felt rushed and I didn't know what to do. And I paid for it, because then the next day: 'Pink is Team Taylor'."
squabble between two contemporaries.
The "Perfect" singer added that she has matured after becoming a mother of two and has more important things to focus on than pay attention to a bitter
"I have two kids I have a baby. And it's so different now. I'm not inclined toward drama and feuds and soundbites," she said. Pink has two children with husband Carey
Hart - six- year-old daughter Willow Sage and nine-months-old son Jameson Moon.
The fight between Swift and Perry led to diss tracks and taking jabs, though the latter has offered to put an end to it. (PTI)
Reliance Foundation to fund Indian art exhibits at The Met
NEW YORK, OCT 15 /--/ The prestigious Metropolitan Museum of Art here will receive a "meaningful gift" from the Reliance Foundation to fund several exhibitions that explore and celebrate the arts of India, the museum said. The first exhibition to benefit from this gift was this fall's Modernism on the Ganges: Raghubir Singh Photographs, that opened at The Met Breuer on Wednesday, it said. The gift promised by the founder of the organisation, Nita and Mukesh Ambani, will support a range of exhibitions examining the accomplishments and influence of the arts and artists of India across time and in all media, it said. "This is an outstanding commitment that will have a direct impact on The Met and the exhibitions it presents to its millions of yearly visitors," said Daniel H Weiss, President and CEO of The Met.
"As a global institution, we are devoted to studying and displaying art from every corner of the world, which is made possible only through the generosity of our friends. Nita and Mukesh Ambani are truly visionary benefactors, and we are enormously grateful for this meaningful gift," he added. The focus of the remaining exhibitions that will benefit from this sponsorship will range from early Buddhist art from the 1st century BC to 4th century AD to 17th century Mughal art to contemporary Indian sculpture, it added. "India has a rich heritage of art and culture that can be traced back to the 3rd-4th century BC. At Reliance Foundation, it has been our ongoing mission to recognise and promote this valuable tradition by offering opportunities and platforms for Indian art locally in India and at various institutions around the globe," said Nita Ambani, founder and chairperson of Reliance Foundation.
"This partnership with The Met enables Indian art to be shown at an iconic institution and further encourages us to continue our work in the art world. We are truly delighted to be part of this long term collaboration. We believe this will prove to be a wonderful partnership for learning and sharing that will go a long way for art in India," she added. Art from the Indian sub-continent has been collected by The Met from 1891. The holdings include sculpture, painting, textiles, photographs, and various other media from 2500 BC to modern times, documenting the rich cultural heritage of the sub-continent, it added. The Met presents over 5,000 years of art from around the world for everyone to experience and enjoy. The Museum lives in three iconic sites in New York City-The Met Fifth Avenue, The Met Breuer, and The Met Cloisters. (PTI)
PAGE-10
Gucci to go fur-free with spring 2018 season
LOS ANGELES, OCT 15/ --/ Gucci is the latest label to join the Fur Free Alliance in eliminating animal fur from the spring 2018 collection and onwards. Marco Bizzarri, president and CEO of Gucci, has announced that the Italian fashion house is going to stop producing fur, according to The Hollywood Reporter. Gucci's fur-free decision is part of the company's new 10-year "Culture of Purpose" sustainability plan, which also includes the house's commitment to contribute 1 million euros as a founding partner of UNICEF's Girls' Empowerment Initiative. "Our new 10year 'Culture of Purpose' sustainability plan has three principal focuses: the environment, humanity and new models," said Bizzarri. He added that the plan demonstrates the company's "absolute commitment to making sustainability an intrinsic part of our business."
As part of the "Culture of Purpose" plan, Gucci states that it is committed to reducing its environmental impact; dedicated to enhancing the lives of the people who make its products as well as s u p p o r t i n g communities; and devoted to applying technical innovation to improve efficiency in its production and logistics. The announcement comes soon after the brand received the Green Carpet Fashion award for sustainable innovation. Armani announced in 2016 that it was going fur-free. (PTI)
Daisy Ridley's struggle with fame
LOS ANGELES, OCT 15/-/ "Star Wars" actor Daisy Ridley says she struggled with the pressures of fame and turned to therapy for help. The actor says she had a tough time dealing with the success which came with "Star Wars: The Force Awakens", reported Vogue magazine. "Everything was so confusing. People were recognising me - I still don't know how to handle it. My skin got really bad because I was stressed. It was crippling. I just felt so seen and so selfconscious... "I went and saw a lovely lady. I felt like I was sort of reducing myself because I was so worried that people would recognise me. (Then I thought) 'You know what? I want to dance through life. I don't want to scuttle.'" Ridley says.
The 25-year-old actor says she was shocked when some fans came to her house looking for autographs. "I heard a knock on the door. These two guys went, 'Hey, Daisy, can I get an autograph?' and I literally went, 'No way.' My mum said to me, 'Everyone's trying to take ownership of you. (PTI)
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The all-digital 2400KL supports up to 800 pounds and provides the optimum in quality, reliability, and ease of use. The scale folds easily for convenient storage and comes equipped with a handle, wheels, and casters, making it easy to transport and reduces strain on caregivers. The remote display provides versatility with the ability to be mounted on a wall or placed on a table. Designed to meet the needs of hospitals, clinics, and acute and long-term care facilities, the scale’s keypad features antimicrobial protection, two ramps to roll the patient on and off the scale, and adjustable rails to accommodate wide wheelchairs.
The scale’s high-contrast color screen provides a user friendly interface that includes BMI, hold/release, reweigh, recall, zero, KG/LB, tare, pre-tare and more. The exclusive Everlock® function allows the measuring unit (LB or KG) to be permanently locked on the scale. The scale provides easy integration and seamless communication with today’s EMR applications, the 2400KL includes a USB interface for connectivity with a computer, EMR software, or other electronic devices via various Health o meter® Professional Connectivity Solutions.
## TECHNICAL SPECIFICATIONS
**Capacity**
800 lb / 363 kg
**Resolution**
0.2 lb / 0.1 kg
**EMR connectivity**
Via USB, optional Pelstar® wireless technology
**Display**
Digit Size: ¾” / 10 mm
Screen Size: 2 ¾” x 1 ½” High-Contrast Color TFT-LCD Screen
**Power Source**
100-240V adapter (ADPT30) included, 6 D batteries not included
**Functions**
LB/KG conversion
LB/KG lock out
BMI
Zero
Tare
Pre-tare
Hold/release
Reweigh
Recall
Auto zero
Auto off
Time/date
Variable auto off time
Audible/mute sound option
Parent/child weighing function
Everlock®
**Rail Size (w x d)**
6” x 40”
(152 mm x 1017 mm)
**Product Footprint Folded**
6 ¾” x 40 ½” x 30”
(171 mm x 1029 mm x 762 mm)
**Product Footprint Ramps Fully Extended**
51 ¼” x 40 ½” x 3 ½”
(1302 mm x 1029 mm x 89 mm)
**Platform Size**
Expands and Adjusts from 25 ¾” – 50 ½”
(654 mm – 1273 mm)
**Product Weight**
40 lb / 18 kg
**Portability**
2 wheels (2 casters) for ease of movement
**Warranty**
2-year limited manufacturer warranty
## ORDERING INFORMATION
| MODEL | DESCRIPTION |
|----------------|-----------------------------------------------------------------------------|
| 2400KL | Digital portable wheelchair scale, LB & KG |
| 2400KG | Digital portable wheelchair scale, KG only |
| 2400KL-BT | 2400KL with built-in Pelstar® wireless technology |
| 2400KG-BT | 2400KG with built-in Pelstar® wireless technology |
| SS-2400KL | ScaleSurance® 2 year extended warranty for 2400 series* |
| ADPT30 | Adapter included, item # for replacement or spare |
| PLUGSET30 | Plug adapters for use outside North America |
| BTPRINTERKIT-01| Wireless thermal printer kit |
Scale also includes connectivity capabilities. To learn about connectivity options, visit homscales.com/ConnectivitySolutions
To learn more, call 1-800-815-6615 or visit homscales.com/2400KL
*Not available in all countries.*
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VILLAGE OF GEORGETOWN, OHIO
ORDINANCE NO. 1032
AN ORDINANCE ACCEPTING FOR ANNEXATION TO THE VILLAGE OF GEORGETOWN CERTAIN TERRITORY ON APPLICATION OF OWNERS
BE IT ORDAINED by the Council of the Village of Georgetown, Brown County, Ohio, a majority or more of all members thereof concurring, that:
SECTION 1. The proposed annexation as applied for in the petition of the Lee Schweickart and Doris Schweickart, approved for annexation to the Village of Georgetown by the Board of County Commissioners of Brown County, Ohio on June 13, 2005 is hereby accepted. The territory to be annexed is described as follows:
Situate in P. Talbert’s Military Survey No. 2212, Pleasant Township, Brown County, Ohio and being 0.489 Acres identified as Parcel No. 31-059012.0000 conveyed to Lee and Doris Schweickart as recorded in Official Record 324 page 2130 in the Brown County, Ohio Recorder’s Office and being bounded and described as follows:
Beginning at a spike found in the centerline of Mt. Orab Pike on the northerly line of Station Drive and on the existing corporation line of the Village of Georgetown, Ohio as recorded in Plat Book 5, page 17, slide 398, in the Brown County, Ohio Recorder’s Office;
Thence with the centerline of said Mt. Orab Pike and with the said existing corporation line North 11 degrees 33 minutes 30 seconds East a distance of 119.96 feet to a spike found corner to Georgetown Station, Phase I;
Thence with the line of said Georgetown Station South 79 degrees 30 minutes 00 seconds East passing a 1" iron pin reset at 28.27 feet for a total distance of 178.27 feet to a 1" iron pin found on the northerly line of said Station Drive;
Thence with the line of said Station Drive for the next two courses:
South 12 degrees 16 minutes 00 seconds West a distance of 120 feet to a 1" iron bar found;
North 79 degrees 30 minutes 00 seconds West passing a 1" iron pin found at 150.010 feet for a total distance of 176.79 feet to the place of beginning, CONTAINING 0.489 ACRES.
Basis of bearing is the centerline of Mt. Orab Pike North 11 degrees 33 minutes 30 seconds East based on 2T-61-190 and all other bearings are based on angles and distances measured in the field.
This description was prepared by Gerald S. Renshaw, P.L.S., Ohio Registration No. 4872 on 14 April 2005.
SECTION 2. More than sixty (60) days and less than one-hundred twenty (120) days have elapsed since the delivery the certified copy of the entire record of the within annexation proceedings
by the Clerk of the Board of County Commissioners to the Village as required by division (C)(1) of section 709.022 of the Revised Code.
SECTION 3. Council specifically reserves acceptance of any streets, roads or alleys shown on the annexation plat until such time as such streets, roads or alleys are constructed in accordance with the specifications of the Village of Georgetown, Ohio.
SECTION 4. The Fiscal Officer/Clerk is directed to make three copies of this ordinance to each of which shall be attached a copy of the map accompanying the petition for annexation, a copy of the transcript of proceedings of the Board of County Commissioners relating thereto, and a certificate as to the correctness thereof. The Fiscal Officer/Clerk shall then forthwith deliver one copy to the County Auditor, one copy to the County Recorder and one copy to the Secretary of State, and shall file notice of this annexation with the Board of Elections within thirty days after it becomes effective, and the Fiscal Officer/Clerk shall do all other things required by law.
SECTION 5. This ordinance shall be effective from and after the earliest date allowed by law.
ADOPTED this 18th day of August, 2005.
John Jandes, Mayor
ATTEST:
Ginny Colwell, Fiscal Officer/Clerk
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Clark County Department of Family Services
Child Welfare Services Workgroup
July 25, 2017
Lincoln Room
Present
Jennifer Erbes, DFS Co-Lead
Jessica Roe, Adoption Exchange Co-Lead
Denise Parker, QPI
Marc Lavigne, Eagle Quest
Tiffany Flowers-Holmes, DFS
Regina Wyman, DFS
Caleb Orton, DFS P&Ps
Agenda
- Transitions/Disruptions
- Post-Adoption
- Visitation Program
- Children’s belongings
Minutes were reviewed and there were no corrections made
Transitions
- Internal Licensing
- Ann E. Casey - assistance
Next Steps: Denise to provide updates.
Post Adoption
Next Steps:
- Sub - Workgroup
- There have been 2 meetings held with eligibility, Adoptions worker and recruiters.
- Ann E Casey
- Understanding who can assist
- Whole Process understanding (Process Mapping)
- Adoption Services (Pre-Post adoption)
- Partnerships with public and private providers
Next Steps: Process mapping to assist with the needs of families and children through the adoption.
Visitation
- Sub-Workgroup meeting
- Need to send evaluations to Delaware
- Recommendations to program
- Implement 2018 from the pilot
- Washoe policy to assist in the process
Next Steps: Denise will continue to provide updates. Come together with ideas.
Children’s Belongings
- External Licensing Group -
- Binder HLOC
- Need Agency Director’s participation
- Belongings
- Visitation – process / involvement
- Disruptions
- Feed information to the Casey Groups
- Trainings – understanding belongings, mindful purchases
- PRIME
- Permanency Workers –access
- No ability to change but can view
- Inventory options to upload
View options for foster parents, placement, and permanency.
- Individual children
- Simplifying
Site Processes
- Expand to all of DFS
- Storage emptied by all sites
- Ann E. Casey assistance
- Education – Transitions
Next Steps: Invite HLOC Licensing (Tara), Support / Retention Lead, Placement, Heather Kendall. Review Belongings Policy, NAC questions. Article for the Caregiver Courier regarding belongings (Jennifer)
(All Supervisors meeting discuss Transitions and process for belongings- what does this look like)
The next meeting of the QPI Child Welfare Services Workgroup will be on Tuesday Sept. 26, 2017 from 10 am to 1 pm in the Lincoln Room at the DFS Office located at 121 S. Martin Luther King Blvd.
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Explore Science Club!
LVLA now offers Science enrichment opportunities with guidance from Donna Rainboth. Rainboth is an assistant professor of Education in the College of Education at EOU. She received her Master’s degree in Science Education from Oregon State University. Ms. Rainboth has been at Eastern Oregon University since 1994. She has written and received numerous grants and coordinated multiple grant projects focused on science and math professional development for K-12 teachers. She has taught the secondary and elementary Science Methods and STEM Methods courses at EOU and supervised student teachers. Currently she is acting in partnership with the La Grande School District as their STEM Coach and is also the Program Coordinator for the Greater Oregon STEM Hub.
A Note from Mr. Carpenter...
La Grande Virtual Learning Academy (LVLA) students and families, it is hard to believe that we are already over halfway through the first quarter. When we met with you at our open house at the start of the school year, we mentioned that we would strive to provide learning resources to students and families outside of their online classes to extend learning and have fun. I am very grateful for our staff, Donna Rainboth (EOU's GO STEM Director), and Jess Hagedorn for helping us develop these resources over the last month. Our monthly newsletter with connected activities will be sent throughout this school year. Additionally, we will be using this newsletter to advertise local opportunities for small group lessons (virtual or in-person), club participation, and other activities that expand learning. I want to emphasize that all of these lessons, clubs, activities are optional and are supplemental to the curriculum your student(s) are already accessing. However, we know that for many of you the switch to online was not an easy decision and made because of COVID-19 related concerns. We hope these additional resources help increase hands-on learning that can be sorely missed in an online program.
Lastly, if you have any questions or need additional support, please contact your outreach specialist: Megan Banes (Grades 1-3), Kelly Richards (Grade 4-8), and Leatha Canfield (Grade 9-12).
LVLA Stem Activity Next Week!
4th-8th graders are invited to launch straw rockets at Willow Elementary (Playground)
Wednesday, October 14
11:00-11:45 am
Contact Kelly @ 541-663-3243/
[email protected]
Visit GO-STEM at https://www.go-stem.org/ for at home science explorations.
See the attached PDF files for more STEM and Social Emotional Learning activities.
Online Classrooms open
La Grande Virtual Learning Academy Classes are open for small group learning for grades K-8. Cohorts of less than ten students meet daily from 9:00-11:00 at Willow Elementary by appointment. Grades K-3 will meet in Ms. Banes room and grades 4-8 will meet in Ms Richards room. The online classrooms provide a quiet place to work and a place to get help from teachers if needed. Please call Megan or Kelly to set up an appointment for your student(s). They can be reached at: Megan Banes, Coordinator for grades K-3:
[email protected] or 541-663-3227.
Kelly Richards, Coordinator for grades 4-8:
[email protected] or 541-663-3243.
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Last Words
On Becoming a Discipline
Mark Steedman ∗ University of Edinburgh
The title of this column, Last Words, reminds me of an occasion in 2005, when I had the privilege of attending the award ceremony for the prestigious Benjamin Franklin Medal, given annually to a few scientists who have made outstanding lifetime contributions to science. This time, a computational linguist, Aravind Joshi, was among them, so several past, present, and future presidents and officers of the ACL joined the Great and the Good at the ceremony at the Franklin Institute in Philadelphia.
The eight medal recipients were each represented by a short video presentation, which mostly consisted of voice-over by a narrator, interspersed with sound-bites from the recipients about their life and work, in the last of which they had clearly been asked to deliver as their last words a brief take-home message.
I couldn't help noticing that the warmest applause was reserved for the physicist, a distinguished pioneer of string theory. I was initially puzzled by the enthusiasm on the part of a mostly lay audience for such theoretical work, which for all its elegance and beauty, could not (as far as I could see) be expected to have nearly as much impact on their everyday lives as that of some of the other recipients, who that year included not only Aravind, but another computer scientist whose impact on information processing will be obvious to the members of ACL, Andrew Viterbi.
But then I recalled that the physicist's take-home message had had nothing to do with string theory. This admirable man's last words to us had been the following:
Everything is made of particles. So physics is very important.
1. The Public Image of a Science
I realized then that what we were applauding was not a physicist, or the beauty of string theory, but physics itself. I was reminded that physicists are looked on as public intellectuals who can be relied on to deliver Truth, and who are generally assumed to be doing A Good Job, even when they say that the universe must really be tendimensional, except that exactly six of the dimensions are curled up so tightly that there is no conceivable way of detecting them, nor any prospect of bringing to bear the huge energies that would be required to straighten them out a bit so we could take a look at them. (As many of you will know, I Am Not Making This Up.)
∗ School of Informatics, University of Edinburgh, 2 Buccleuch Place, Edinburgh UK EH8 9LW. E-mail: [email protected]. These remarks are excerpted from the author's Presidential Address to the 45th Annual Meeting of the ACL, Prague, June 2007. I'm grateful to that audience; to Mona Diab, Julia Hockenmaier, Miles Osborne, and Bonnie Webber for comments and advice; and to Franz Och for Google Language Tools.
© 2008 Association for Computational Linguistics
How different this public image is from that of computational linguistics, or of artificial intelligence, and even core computer science. To the extent that the public thinks at all about what we do, they think of us as producing gadgets, such as amusing new sorts of telephone. Only the other day, a colleague was called up by someone in a neighboring department asking if we could mend his PC for him. ("Don't you have a Little Man? You used to have a Little Man.")
As a result, computer science is continually subjected to governmental reviews seeking assurance that we know what we are doing, and are doing enough for the economy. Many of these reviews draw very negative conclusions—the 1966 report of the Automatic Language Processing Advisory Committee (ALPAC) of the US National Academy of Sciences effectively shut down research in machine translation for over a decade, and was the main reason for ACL changing its name in 1968 from the Association for Machine Translation and Computational Linguistics (AMTCL). The 1973 report of Sir James Lighthill (a fluid dynamicist known for his foundational work in the field of aeroacoustics) to the UK Science Research Council (SRC) closed down artificial intelligence and NLP research for a decade, until the Alvey report decided that British industry had fallen behind in this area, and opened it up again. There have been many similar examples since then, though few as catastrophic.
Nobody goes around telling physicists what not to work on, or setting up commissions chaired by complete outsiders (roboticists or computational linguists, perhaps?) to decide whether physicists are earning their keep. The physicists tell the goverment what they think it is right to do, and the government either funds it or it doesn't. Even when it doesn't, as in the case of the superconducting supercollider, it's because they can't afford it, or lack the political power, not because of low esteem. How do the physicists do it?
Of course, as Duke Ellington said when asked how he kept his band together through the Beatles' era, you have to have a gimmick. The physicists gave us atomic energy and the bomb, so no one can ever suggest again that they do not deliver Bang for the Buck, even when they actually don't, as may well turn out to be the case for the past twenty years or so of research in string theory and supersymmetry. 1
However, it is far more important that physics consists of a body of great empirically proven laws that all scientists recognize, from the laws of thermodynamics to the special and general theories of relativity and quantum theory. This body of knowledge lends both authority, and a breadth of vision that transcends any individual physicist's work and any individual theory, even if parts of it can be temporarily ignored when convenient.
But we too have awesome devices. Search engines have arguably changed people's lives at least as profoundly as atomic energy. The statistical machine translation tools that Google launched around May 2006 with Arabic for all the world to freely betatest, and which have since been extended to Chinese, Russian, Japanese, and Korean, imperfect as they are, may well have an even bigger impact. Our colleagues in AI rejoice in beating international chess Grand Masters with Deep Blue, and boast of robots on Mars and autonomous vehicles charging around the Mojave desert. Computer science has the Internet itself to show off.
We too have discovered great truths—Zipf's Law, Information Theory, the power of statistically approximate language models, the only-just-trans-context-free automatatheoretic level of natural languages, the surface-compositionality of natural language
1 For a recent review of this question, see Smolin 2006.
semantics, and have dreams of a grand unified head dependency-driven Theory of Everything that that will one day make probabilistic and deterministic components work together to yield Meaning. How come we don't get respect?
The answer, I'm afraid, is that we haven't yet managed to form ourselves into a discipline, within which those important truths are respected and held beyond reasonable doubt, in whose name we stand united in the eyes of the world. Instead, our history has been sectarian, with dominant factions seeking to suppress proposals that diverge too much from the current orthodoxy, until they too are overthrown.
This tendency is very evident in computer science peer review of proposals to funding agencies, which are notably harsher than in other sciences, and which have the effect of making the agencies assume a shortage of good science in the field, so that they reduce funding accordingly. Worse still, when we have theoretical disagreements, we play them out in public. (The split between connectionists and the rest of AI/NLP is a case in point. It is sad to note that similar internal dissension seems to have played a role in the adverse conclusions reached in both the ALPAC and Lighthill reports.)
The physicists don't do this. When they review proposals, they rate them excellent at around twice the rate in CS, even if it means not getting funded themselves in the current round. The funding agencies conclude that there is a surplus of good science there, and seek or allocate further funding for the next round. When there are disagreements—as there seem to be currently about string theory—they are argued out behind closed doors, until a consensus can be reached and be presented to the general public. The biologists behaved similarly over a recent disagreement concerning methods for sequencing the genome.
One measure of our own fisiparous tendencies is that, while from the 1950s to the 1980s, the information theoreticians and statistical modelers among us used to make common cause with the linguists, we have subsequently drifted apart. We have come to believe that the linguists have forgotten Zipf's law, which says that most of the variance in language behavior can be captured by a small part of the system.
The linguists, on the other hand, think that it is we who have forgotten Zipf's law, which also says that most of the information about the language system as a whole is in the Long Tail.
It is we who are at fault here, because the machine learning techniques that we rely on are actually very bad at inducing systems for which the crucial information is in rare events—like physics, for example.
There is a grave danger here for the future of our putative discipline. One day, either because of the demise of Moore's law, or simply because we have done all the easy stuff, the Long Tail will come back to haunt us. For example, consider the current state of our former nemesis MT.
2. Machine Translation Then and Now
Machine translation (MT) was one of the earliest applications envisaged for computing machinery. Weaver (1949) identified the extreme ambiguity of natural language as the central problem of MT, and outlined as possible solutions not only the "noisy channel" model of SMT and its basis in n-gram language models, investigated with Claude Shannon (Shannon and Weaver 1949), but also the notion of parsing as logical deduction, and the interlingua-based syntax-driven approach to MT, which he based on the linguists' notion of Universal Grammar. (No sectarianism there, at least.)
It is interesting that, in that bright dawn, MT seemed likely to prove one of the easier cognitive tasks to mimic by machine. There seemed to be a real possibility that there might be ways to bypass understanding altogether using simple purely syntactic and probabilistic devices. Over the next few years, there was a gradual disillusion with this expectation, for at least three reasons.
First, Chomsky (1957) showed beyond a reasonable doubt that natural languages not only fell outside the class that could be completely recognized using finite-state machines of the class implicit in Shannon's models, but also fell outside the class that could be adequately represented by context-free grammars. It wasn't immediately clear how to translate such grammars into computational terms, and they appeared to break the unity of grammar and probabilistic model that had been one of the attractions of the information-theoretic approach (although Chomsky was careful to acknowledge the possibility of statistically approximating such grammars with Markov processes for the purpose of reducing ambiguity).
Second, it became clear that the grammars that were needed for real texts, even within narrow genres like newspaper text or scientific papers, were very large indeed. The lack of computational transparency of grammar formalisms tended to give the hand-built grammars of this period the character of unstructured programs, with no apparent prospect of inducing them automatically.
Third, the problem of ambiguity for grammars of this size was much worse than anyone had expected.
As a result, opinion changed, and MT became seen as one of the hardest cognitive problems, requiring deep understanding of semantics and knowledge of the world, as well as full syntactic processing.
There is an often-repeated story about these days (one which has all the hallmarks of a myth) concerning a demonstration of an early Russian dictionary-based MT system using back-translation from English to Russian and back again. According to legend, the demonstrators were disconcerted to find that the sentence Time flies like an arrow returned as Time flies enjoy arrows, revealing a syntactic analysis of the sentence that would have been appropriate for the sentence Fruit flies like a banana. 2
Of course we now know that the problem of the 1950s and 1960s was the lack of language models, of a kind that is now commonplace, thanks to Moore's law and HMMs, together with a method for learning such models and integrating them with structural rules. Some real progress has been made, and MT is once again thought of as an "easy" problem, that can be at least partly solved with relatively low-level methods.
3. An Experiment
So, how much progress have we made? We can repeat the back-translation experiment with Google Language Tools Beta n-gram-and-finite-state-transducer-based Arabic SMT. (The first line is the English input, the Arabic is its SMT translation, the third line is a gloss of the Arabic words, and the last line is the result of translating the Arabic back again by SMT.)
2 There are many variants of this apocryphal story, involving other examples, all of which are likely to have their origin in much older jests about human dictionary-based translation (Hutchins 1995).
On the basis of the result of the back-translation, this looks OK, give or take a bit of morphology, but of course end-to-end back-translation is a very weak test, where you can just get lucky. Readers of Arabic will notice that the translation of like is indeed a comparative, not a verb meaning enjoy, as in the legend. However, they will also notice that flies translates as the noun, rather than the verb, just as the story foretold.
If we try the same test on Fruit flies like a banana, the flies are still insects, but like is still comparative, rather than a verb. So the two sentences are analyzed the same way, as in the story.
Of course, all this is very unfair, and not at all surprising. The examples are out of domain, so the language model doesn't help us at all. So let's try an in-domain example of newswire text.
The following is almost the first text I found by searching Arabic Web pages for the Arabic for "Google Machine Translation," simply because I had already read the English reference document, 3 and I was pretty sure it would be out there somewhere. It is a human-authored Arabic translation of a recent Reuters story about the launching of Google Language Tools, taken from Al Jazeera: 4
Here is the SMT translation, delivered in about the time it would take a native speaker to read the original:
The German Franz Ouch which leads efforts Google translation computer feeds hundreds of millions of words of parallel texts such as Arabic,
3 http://www.reuters.com/article/technologyNews/idUSN1921881520070328?feedType=RSS%20target=.
4 http://www.aljazeera.net/news/archive/archive?ArchiveId=1037015.
English, using documents of the United Nations and the European Union key sources.
And how a new translation Ouch said that although the quality would not be complete That was a good in the previous translation mechanism, and that the correct translation mostly might be good enough for some tasks. He stated that more data be fed by the results were better.
. . . He commended Miles Osborne Professor at the University of Edinburgh, who died last year at work in the company's efforts to Google, but he pointed out that the software will not prevail over people skilled in translations as they do in the game of chess and should use software to understand and not to complete documents.
The first thing to notice is that this is really very good. It is quite clear what the story is, and you can even guess that what Franz Och actually said in the English reference text was: "The more data we feed into the system, the better it gets." It even seems to know that "Google" can be a verb.
However, it exhibits all the problems to which we have always known MT is heir. Both pronouns "he" in the last paragraph will be understood as referring to Franz, whereas in the reference text it is Miles Osborne who does the commending and the pointing out. Moreover, the alarming rumor of the latter's death has been greatly exaggerated by the English language-model: The reference text says he "spent a sabbatical last year working on the Google project." The human Arabic translation says much the same, but the Arabic words for spent and died are homographs, and the newswire-based model favors the latter.
And of course, our friends the Construction Grammarians will gleefully point out that the system makes a hash of the unbounded dependency in Franz's use of what they call the "MORE-MORE" construction.
We can specifically probe the disability with respect to other kinds of unbounded dependencies, using back-translation on artificially generated (but in-domain) examples:
Comparing the examples that are translated correctly and those (labeled *) that are not, the generalization is already clear: even a 5-gram model can only handle root subject relative clauses. Object relatives are beyond the horizon. (These effects are robust under variation of the content words.) Here are some more challenging embedded examples that confirm the diagnosis:
4. Who Cares?
What does this tell us? Nothing that we shouldn't have already known. We knew that n-gram models and FSTs weren't going to handle long-range dependencies, because Chomsky told us so. That's one of the Big Truths of computational linguistics.
Our situation is in fact rather like that of the physicists. We have one theory for talking about phenomena on a large scale, just as they have the General Theory of Relativity, and another theory for talking about the very small scale, just as they have Quantum Theory. Like the physicists, we have difficulty in reconciling those theoretical levels. Like them, some of us think it's fine to have two theories, whereas others of us think it's intolerable.
The former kind of computational linguist will point out that long-range dependencies are sparse. (There are around 20K *T* empty categories in around 16K of the roughly 40K sentences in the Penn Treebank, of which around 6K seem to be non-subject, non-sentential wh-traces of some kind.) Worrying about them isn't going to significantly impact overall parser dependency recovery rates, much less n-gramprecision-based BLEU scores. By the time we have fed enough data into the system to make it know that spending a sabbatical at Google is more likely than dying there, and Moore's law has made the machines exponentially bigger and faster, and fancier algorithms allow us to deal with bigger n-grams, maybe this problem will go away.
Maybe. These are certainly good reasons for the IR and SMT researchers to keep working at the large scale, giving the world these amazing search engines and translation aids that give human beings vastly increased access to other cultures. This is our discipline's equivalent in street-credibility terms of delivering atomic energy and robots on Mars.
Nevertheless, to the other kind of computational linguist, it sounds depressingly like getting better and better at recalling what is already well-known, and understanding what has often been said before.
They point out that, in the long run, finite state methods alone may simply not work. Accuracy in most areas (WER in ASR, BLEU score in SMT, Eval-b for parsers) is at best linear in the logarithm of the amount of training data. Even optimistic extrapolation of current learning curves suggests truly incredible amounts of data will be needed (Lamel, Gauvain, and Adda 2002; Moore 2003; Knight and Koehn 2004; Brants et al. 2007).
Moreover, the more of the local stuff we get right, the more users will come to trust the software, and hence the more noticeable long range dependencies will become, and the more upset people will get if they are deceived by a wrong analysis.
What this should tell us is that the Long Tail is not mocked. Long-range dependencies of the kind investigated above are semantically crucial. Ignoring them disrupts all the other dependencies in those examples. (They are also more frequent in genres like questions.) So we need to remember—and above all, teach our students—what our discipline tells us the problem is, even when it's not doing much for our BLEU score. In this connection, it is encouraging to see that many of the MT papers in the 2007 ACL explicitly invoked syntax-level representations.
But we need to do more than this. To get respect, and avoid the risk of yet another AI/NLP Winter, we will need to pull ourselves together as a discipline, lift our eyes above our rivalries, and take a longer view of where we are going (and where we have come from) than seems to be the current style. This will probably require a gradual move to a more considered and authoritative style of publication, with journal articles taking the place of hastily written and reviewed conference papers, as another author of this column recently suggested.
It will mean speaking with one voice, as the physicists and biologists do, and supporting a diversity of views that transcends fashion and funding, wherever the science is good. It also means telling the public in honest terms how to think about what we do, what can be relied on and what the really hard problems are, in good times and bad. This should not be too difficult if we keep reminding them and ourselves of the following:
Human knowledge is expressed in language. So computational linguistics is very important.
References
Brants, Thorsten, Ashok C. Popat, Peng Xu, Franz J. Och, and Jeffrey Dean. 2007. Large language models in machine translation. In Proceedings of the 2007 Joint Conference on Empirical Methods in Natural Language Processing and Computational Natural Language Learning (EMNLP-CoNLL), pages 858–867, Prague. Chomsky, Noam. 1957. Syntactic Structures . Mouton, The Hague. Hutchins, John. 1995. "The whisky was invisible" or persistent myths of MT. MT News International , 11, 17–18. Knight, Kevin and Philipp Koehn. 2004. What's new in statistical machine translation. Tutorial, HLT/NAACL 2004.
Lamel, Lori, J. L. Gauvain, and G. Adda. 2002. Unsupervised acoustic model training. In Proceedings of the IEEE
Conference on Acoustics, Speech, and Signal Processing, pages 877–880, Orlando, FL.
Moore, Roger. 2003. A comparison of the data requirements of automatic speech recognition systems and human listeners. In Proceedings of Eurospeech Conference, pages 2582–2585, Geneva.
Shannon, Claude and Warren Weaver. 1949. The Mathematical Theory of Communication. University of Illinois Press, Urbana.
Smolin, Lee, ed. 2006. The Trouble with Physics. Houghton Mifflin, New York.
Weaver, Warren. 1949. Translation. Manuscript, Rockefeller Institute. Reproduced as Weaver (1955).
Weaver, Warren. 1955. Translation. In William Locke and Andrew Booth, editors, Machine Translation of Languages: Fourteen Essays. MIT Press, Cambridge, MA, pages 15–23.
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Dr. Lindsey Clark-Fass, DDS, PC
UPDATE
PATIENT INFORMATION
Please print:
Name:_____________________________________ SS#:________________ Birthday:_______________
Home #:___________________ Cell #:___________________ Work#:___________________
Address:_____________________________________________City/State/Zip:_________________________
E-mail address:_______________________________________________________
Check the appropriate box:
MinorSingleMarriedDivorcedSeparatedWidowed
Patient or parent's employer:___________________________ Address:_______________________________
Spouse or parent's name:______________________________ Employer:______________________________
*** IF YOU HAVE HAD ANY DENTAL INSURANCE/EMPLOYMENT CHANGES PLEASE LET US KNOW***
IN THE EVENT OF EMERGENCY
Whom should we contact? ______________________________ Relationship to patient: _______________
Home#:_______________ Cell#:_______________ Work#:_______________
Who is your medical doctor? __________________________ Doctor's phone#:_________________
MEDICAL HISTORY
Are you taking any of the following?
Blood thinners (including aspirin/fish oil) InsulinMuscle relaxers
Osteoporosis meds (bisphosphonates) Pain killersNerve pillsStimulantsTranquilizers
***PLEASE LIST ALL
MEDICATIONS:______________________________________________________________
Do you have any of the following medical conditions, diseases or procedures?
Alcohol/drug abuse
Epilepsy/seizures
Leukemia
Anemia
Frequent/severe headaches
Liver problems
Arthritis/Rheumatism
Fainting
Mitral valve prolapse
Artificial joints/bones
Glaucoma
Nervousness/anxiety
Artificial valves
Heart attack
Pacemaker
Asthma
Heart burn/acid reflux
Psychiatric problems
Back/neck problems
Heart disease
Rheumatic fever
Cancer/tumors
Heart murmur
Scarlet fever
Chemo/radiation therapy
Heart surgery
Shingles
Chest pains/angina
Hepatitis A/B/C/D
Sinus problems
Congenital heart defect
High/low blood pressure
Stomach problems/ulcers
Cosmetic surgery
High cholesterol
Stroke
Diabetes/hypoglycemia
HIV/AIDS/ARC
Thyroid problems
Difficulty breathing
Jaw/TMJ problems
Tuberculosis
Emphysema/respiratory problems
Kidney problems
Venereal disease
***Do you require pre-medication before dental procedures?
Yes No I don’t know
Please list any other surgeries or medical conditions you have had in the past or currently have now:
__________________________________________________________________________________________
Are you allergic to any of the following:
AspirinDental anestheticsLatexPenicillin/amoxicillin
SulfasTetracyclineDental anesthetics
Foods:_______________
Other:_____________________
Do you use tobacco products?
No
Yes What type?___________ How much?______ How long?______
Please rate your general health from 1-10 (10 being the best)
Have you ever taken the drug Phen-fen and/or Redux?
Yes
No Do you wear contact lenses?
YesNo
For women: Are you taking birth control?
YesNo
How many children have you had?____
Are you or could you be pregnant?
Yes
No Are you nursing?
YesNo
Patient/Guardian signature: _______________________________________ Date:___________________
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Notice of Environment Act Proposal
Conservation and Water Stewardship has received a proposal pursuant to The Environment Act regarding the following operation and invites public participation in the review process:
BRANKO DEMOLITION & DISPOSAL LTD. - ROLL OFF RENTAL FACILITY FILE: 5521.00
A proposal has been filed on behalf of Branko Demolition & Disposal Ltd for the continued operation of roll off rental facility located at 529 Bluecher Ave in the Rural Municipality of Springfield, Manitoba. The facility provides roll off containers to construction sites to collect construction wastes and transport to recycling facilities, BFI or Brady Road landfills. The facility also temporarily stores the construction wastes and performs sorting operation. The potential environmental effects of the development are related to hazardous waste disposal, and air emissions.
Anyone likely to be affected by the above operation and who wishes to make a representation either for or against the proposal should contact the Department, in writing or by E-mail ([email protected]), not later than MARCH 2, 2015. Further information is available from the Public Registries located at: Legislative Library, 200 Vaughan St., Winnipeg; Millennium Public Library, 4 th Floor, 251 Donald St., Winnipeg; Online Registry, http://www.gov.mb.ca/conservation/eal/registries/index.html or by contacting Eshetu Beshada, Environmental Engineer 204-945-7023.
Information submitted in response to this proposal is considered public information and will be made available to the proponent and placed on the public registry established in accordance with Section 17 of The Environment Act.
Environmental Approvals Branch
Fax: (204) 945-5229
Conservation and Water Stewardship 123 Main Street, Suite 160 Winnipeg MB R3C 1A5 Toll Free: 1-800-282-8069 Ext. 7023
Website: www.gov.mb.ca/conservation/eal
********************
For publication in:
Winnipeg Free Press – Sat. Jan 31, 2015
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CASE NOTES
Keith M Gordon 1
I Agulian v Cyganik 2 – The adhesiveness of a domicile of origin
The Court of Appeal recently reaffirmed the rule that a domicile of origin is not easily displaced. The case was not a tax case; instead it concerned a claim under the provisions of the Inheritance (Provision for Family and Dependants) Act 1975 by the fiancée of the deceased. Such a claim could not be entertained by the Courts unless the claimant first proved that the deceased (a Mr Nathanael) had died domiciled in England and Wales (section 1 of the Act).
Summary of facts
Mr Nathanael was born into a family in the Greek community in a village in northern Cyprus in 1939. His parents and grandparents had also been born in Cyprus. Following a broken engagement, Mr Nathanael fled the island at the age of 18. He came to England where he remained until 1972 when he went back to Cyprus
He returned to England following the Turkish invasion of Northern Cyprus in 1974. During his time in London he bought and ran a number of hotels. He started a relationship with a Polish woman in 1993 and it was suggested that the two had become engaged in 1999 and were due to marry at Easter 2003, but for Mr Nathanael's unexpected death a couple of months earlier. 3
1 Keith M Gordon is a barrister, chartered accountant and tax adviser. Keith practises from Atlas Chambers, Gray's Inn, London WC1R 5EP and can be contacted via e-mail at [email protected].
2 [2006] EWCA Civ 129; [2006] WTLR 565
3 At the original trial, it was hotly disputed whether in fact Mr Nathanael intended to proceed with the marriage and the finding by the Deputy Judge that he did have such an intention was one of the grounds of appeal. However, the Court of Appeal held that the Deputy Judge had heard the conflicting oral evidence on this point and that the conclusion he reached was supported by ample evidence. Thus this part of the appeal was dismissed.
The High Court decision
When the case was heard at the High Court, the Deputy Judge held that Mr Nathanael's intention to remain "permanently or indefinitely" in England had been formed by the time he had become engaged in 1999. The Deputy Judge further noted that Mr Nathanael had strong links to Cyprus but "his own life revolved around his world in London". He added:
"For nearly 30 years [Mr Nathanael] could have lived in Cyprus had he chosen … But he stayed in London and made his life here, away from his family."
The decision of the Court of Appeal
In the Court of Appeal, Mummery LJ held that the Deputy Judge had given the prospective marriage too much emphasis. In particular, the Deputy Judge had held that the engagement marked an end to Mr Nathanael's previous intention to return to Cyprus and indicated an intention to remain in England. Mummery LJ ruled that such a factor should not be determinative of the issue especially when a longterm presence in London, the establishment of his business interests and the birth of two children had all failed to displace his domicile of origin.
In addition, Mummery LJ held that the Deputy Judge had erred by failing to consider the post-engagement events in the context of Mr Nathanael's life as a whole. Whilst the test in that case was where was Mr Nathanael domiciled at the time of his death, such a determination could be made only by "[looking] back at the whole of the deceased's life, at what he had done with his life, at what life had done to him and at what were his inferred intentions".
Longmore LJ agreed. He emphasised the test that a Court had to apply when considering whether a domicile of origin had been abandoned. This can happen "only … by clear, cogent and compelling evidence that the relevant person intended to settle permanently and indefinitely in the alleged domicile of choice".
Longmore LJ also referred to two cases that had been used to support the arguments of the respondent (Ms Cyganik, the original claimant who had sought to argue that Mr Nathanael had died with an English domicile). In both of those cases, the cohabitation of a married couple was sufficient to give rise to a new domicile of choice.
The first such case was Forbes v Forbes (1854) Kay 341. In that case, it was held that General Forbes had acquired an English domicile by living with his wife and son in Chelsea after serving 35 years in India. In Longmore LJ's view, that case
did not help Ms Cyganik because General Forbes had previously acquired a domicile of choice in India 4 (rather than having a domicile of origin there) and, in the Judge's words, "It is easier to show a change from one domicile of choice to another domicile of choice than it is to show a change to a domicile of choice from a domicile of origin." Furthermore, the Judge held that there was a significant difference between an individual returning from India to live permanently with a family (wife and son) and Mr Nathanael's position consisting of a fiancée and no child of that relationship.
The second case was Aitchison v Dixon (1870) LR Eq 589. There a Scot (a Mr Allan) had, at the age of 40, become engaged to a wealthy English widow and, after living for a while in Scotland, moved to Buxton and then to Brighton. It was argued that Mr Allan had left Scotland only because of his dependency on his wife to care and to provide for him. However, the Vice Chancellor held that Mr Allan's dependency on his wife in fact reinforced the view that he had abandoned his domicile of origin. However, this case could also be distinguished from the present on the basis that Mr Nathanael was not anywhere near as dependent on Ms Cyganik as Mr Allan was on his wife.
Commentary
Although the rules of domicile have stemmed from a time when international travel was less easy than it is now, the Courts have retained their traditional approach. Mr Nathanael's continuing ties to his homeland were sufficient for the Court to overturn the finding at first instance that a domicile of choice had been established in England. Such a lesson should be noted by other expatriates in the UK who remain here for a long time. Mr Nathanael had, in the words of Mummery LJ, "continued to live the life of a Greek Cypriot, talking Greek, watching Cypriot television. Despite his British passport and his residence in London, he would have regarded himself very much as Cypriot rather than British."
However, care should be taken to ensure that such expatriates do not simply keep up the external links with the country of origin. If there is clear, cogent and compelling evidence that the relevant person has intended to settle permanently and indefinitely in a different country, that could be sufficient for a domicile of choice to be acquired in place of a domicile of origin. According to the authorities, it is not sufficient for an individual to have a vague intention of returning to his or her domicile of origin. In Re Fuld (No. 3) [1968] P 675 at 684G–685A, Scarman J held that if an individual settled in a new jurisdiction with an intention to return home when he/she had made his/her fortune or with a sentiment about dying in
4 General Forbes's domicile of origin was Scotland.
his/her homeland, the Courts could hold that a domicile of choice had replaced a domicile of origin.
Longmore LJ's final sentiment is also worth bearing in mind. The learned Judge made it clear that the outcome of the case was not one he was happy with. He explained that he felt it anachronistic that claims under the 1975 Act should depend on the deceased's domicile and suggested that section 1 of the Act be redrafted. Nevertheless, the Judge did not abandon legal principle in order to achieve what he might have thought a fairer result.
II Wood and anor v Holden 5 – Where a company is resident
The Court of Appeal recently confirmed that the exercise of control by a local board of directors would almost invariably mean that the company's central management and control is located where the directors meet.
Summary of facts
The background facts of the case are particularly complicated in that they deal with a scheme designed to avoid capital gains tax. However, ultimately, the case concerned two companies: one a 100% subsidiary of the other. The parent ("CIL") was registered in the British Virgin Islands and, it was accepted, was not resident in the UK. The subsidiary ("Eulalia") was incorporated in the Netherlands with a Dutch trust company as its corporate director.
The parent had transferred a shareholding at a gain to the subsidiary. Through a combination of sections 13 and 86 of, and Schedule 5 to, the Taxation of Chargeable Gains Act 1992, the gain arising was assessable on Mr and Mrs Wood, the appellant taxpayers. They submitted, however, that in fact no chargeable gain arose because of the provisions of section 14. 6 That applied if and only if both CIL and Eulalia were held to be non-resident in the UK.
Therefore, the role of the Courts was to determine the residence of Eulalia.
7
5 [2006] EWCA Civ 26; [2006] STC 443; [2006] BTC 208
6 Under section 14, the nil-gain nil-loss rules applying to intra-group transfers (section 171) are extended to non-resident groups.
7 Strictly, this was the role of the Special Commissioners and the role of the higher Courts was to review this decision. And in fact much of the judgment of the Court of Appeal concerned the scope of the role of an appellate Court. For the purposes of this article, however, it will be assumed that the Court's attention was simply focused on the residence of Eulalia.
The decision of the Court of Appeal
Park J had previously allowed Mr and Mrs Wood's appeal from the decision of the Special Commissioners on the basis that the company was resident in the Netherlands. The Court of Appeal upheld the decision of Park J in the High Court and dismissed the Revenue's appeal.
The common law test
The Court stressed that the residence of an overseas company should be determined in accordance with the dictum of Lord Loreburn LC in De Beers Consolidated Mines Limited v Howe (Surveyor of Taxes) [1906] AC 455 where he held at 458, following earlier authorities, that:
"a company resides where its real business is carried on … and the real business is carried on where the central management and control actually abides".
The exception to this case can be typified by the facts of Unit Construction Co. Limited v Bullock (Inspector of Taxes) [1960] AC 351. There a UK parent of three East African subsidiaries usurped the authority of the subsidiaries' local boards of directors. Consequently, it was held that the real management and control of these companies was situated in London where the UK parent's board sat. It did not matter that the actions of the parent company were not authorised by the memoranda and articles of association of the subsidiary companies, As Lord Radcliffe said (at 370):"The articles prescribe what ought to be done, but they cannot create an actual state of control and management in Africa which does not exist in fact."
However, the relevance of the Unit Construction case was severely curtailed by the Courts in Wood v Holden. Park J described it as "very important" but nevertheless a decision that was "highly exceptional in terms of the result". In other words, whilst a local board's power might be usurped by undue influence coming from another party, that should be the exception.
Part of the Crown's argument was that the role of the Dutch board was limited to following the tax advice that had come out of the UK in order to effect the tax avoidance scheme and, therefore, the driving force behind the company was the source of the UK-based tax advice. However, the Courts held that there is a clear distinction between the provision of advice and the decision to follow that advice. First, there is no guarantee that the advice would be followed; secondly, the crucial part of the test is where the decision to follow the advice was made. That could be done only by the Dutch board and not by the UK advisers.
Furthermore, the Special Commissioners had, in the view of the higher Courts, erred in suggesting that the limited role of the Dutch board meant that their few acts of control and management of Eulalia did not count when determining where a company's central control and management lay. As Park J said, however:
"The test of a company's residence is still the central control and management test; it is not the law that that test is superseded by some different test if the business of a company is such that not a great deal is required for central control and management to be carried out."
Consequently, Eulalia was held, on common law principles, to be resident in the Netherlands and not resident in the UK.
The test in double taxation conventions
As a result of the conclusions of the Courts in respect of the common law test of a company's residence, the Courts did not have to respond to Mr and Mrs Wood's second argument. That argument relied upon the application of the tie-breaker clauses in the UK-Netherlands Double Taxation Treaty under the provisions of section 249 of Finance Act 1994. However, the brief attention given to this issue by the High Court and the Court of Appeal merits a little further consideration.
Section 249 allows a company, which is held to be resident in the UK under domestic law, to have its residence determined in accordance with the provisions of the relevant double taxation agreement. It was accepted that Eulalia was resident under Dutch law. Therefore, if it was also held to be UK resident under UK law, its residence for the purposes of section 14 of the Taxation of Chargeable Gains Act 1992 would have to be determined under the tie-breaker provisions of the treaty.
The relevant tie-breaker clause provides that the company should be treated as "resident of the State in which its place of effective management is situated" 8 .
Chadwick LJ held that, on the facts of the particular case, it was "very difficult to see how the two tests [i.e. the 'central control and management test' and the 'place of effective management test'] could lead to different answers". 9 However, it would appear implicit in the judge's remarks that the two tests are technically distinct.
8 Article 4(3)
9 This echoes the decision of the Special Commissioners at paragraph 146: "in the present context there is no difference between central management and control and the place of effective management" [emphasis added].
The commentary on the OECD model double taxation agreement suggests that the two tests will almost always coincide.
"The place of effective management is the place where key management and commercial decisions that are necessary for the conduct of the entity's business are in substance made. The place of effective management will ordinarily be the place where the most senior person or persons (for example a board of directors) makes its decisions, the place where the actions to be taken by the entity as a whole are determined; however, no definitive rule can be given and all relevant facts and circumstances must be examined to determine the place of effective management. An entity may have more than one place of management, but it can have only one place of effective management at any one time."
However, the commentary does not attempt to provide an example of the exception to this rule.
In the High Court, Park J attempted to do so. He supposed that Eulalia was in fact resident in the UK under domestic law and then applied the place of effective management test to the company. He held that, even under this premise, the company's place of effective management was in the Netherlands.
He reached this conclusion by analysing the reasons which would require UK domestic law to treat Eulalia as resident in the UK. This would have had to have been because of the degree of influence over the company's affairs emanating from the UK being so great so as to mean that the central control and management of the company was based in the UK. Such an influence might have come from Mr (and possibly Mrs) Wood either from their home or office. Alternatively, that influence might have come from their accountant's office. In either case, Park J held that neither place could conceivably be a place of effective management of Eulalia.
Does this mean that the two tests are different? In my view, the answer is no. Alternatively, the answer is almost always no but the exceptions are hard to conceive (in the same way as the OECD commentary does not provide an example of a case where the place of effective management is not the place where the most senior person or persons make(s) its/their decisions). Whilst Park J assumed that the two tests were distinct, it is my view that this was simply in order to prove that the two tests actually gave the same result. In particular, Park J was relying upon the same distinction he used earlier between the provision of tax advice and the decision to carry it out.
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UNITED STATES DEPARTMENT OF AGRICULTURE BEFORE THE SECRETARY OF AGRICULTURE
In re:
) P & S Docket No. D-10-0296
)
H.D. Edwards, )
)
Respondent) Order Denying Petition to Reconsider
PROCEDURAL HISTORY
On March 23, 2012, Alan R. Christian, Deputy Administrator, Packers and Stockyards Program, Grain Inspection, Packers and Stockyards Administration, United States Department of Agriculture [hereinafter the Deputy Administrator], filed Complainant's Petition for Reconsideration of Order Denying Late Appeal [hereinafter Petition to Reconsider] requesting that I reconsider In re H.D. Edwards (Order Denying Late Appeal), __ Agric. Dec. ___ (Mar. 15, 2012). On April 17, 2012, H.D. Edwards filed a response to the Deputy Administrator's Petition to Reconsider, and on April 23, 2012, the Hearing Clerk transmitted the record to the Office of the Judicial Officer for consideration of, and a ruling on, the Deputy Administrator's Petition to Reconsider.
DISCUSSION
In In re H.D. Edwards (Order Denying Late Appeal), __ Agric. Dec. ___ (Mar. 15, 2012), I found Administrative Law Judge Jill S. Clifton [hereinafter the ALJ] issued an oral decision at the close of the December 5, 2011, hearing. This finding resulted in my concluding that, under the rules of practice applicable to this proceeding,1 the ALJ's oral decision was issued on December 5, 2011, any appeal of the ALJ's oral decision was required to be filed no later than January 4, 2012, and the ALJ's oral decision became effective on January 9, 2012.2 As the Deputy Administrator filed an appeal petition with the Hearing Clerk on January 31, 2012, I denied the Deputy Administrator's appeal petition because it was late-filed.
The Deputy Administrator contends the ALJ's December 5, 2011, oral decision was a tentative oral decision; thus, time for filing an appeal petition with the Hearing Clerk did not begin to run on December 5, 2011. Instead, the Deputy Administrator asserts the ALJ's final decision was the ALJ's written Decision and Order filed with the Hearing Clerk and served on
1The rules of practice applicable to this proceeding are the Rules of Practice Governing Formal Adjudicatory Proceedings Instituted by the Secretary Under Various Statutes (7 C.F.R. §§ 1.130-.151) [hereinafter the Rules of Practice].
2The Rules of Practice provide that the issuance date of an oral decision is the date the oral decision is announced, any appeal of an oral decision to the Judicial Officer must be filed with the Hearing Clerk within 30 days after the date the oral decision is issued, and the effective date of an oral decision is 35 days after the date the oral decision is issued. (See 7 C.F.R. §§ 1.142(c)(2), (c)(4), .145(a).)
the Deputy Administrator on January 6, 2012; thus, the Deputy Administrator's appeal petition was timely filed.3 (Pet. to Reconsider at 1-5.)
The record establishes that, at the close of the December 5, 2011, hearing, the ALJ asked the parties if they had any objection to her issuing an oral decision from the bench and both parties agreed to the issuance of an oral decision (Tr. 299). The ALJ then issued an oral decision (Tr. 299-310). As Mr. Edwards correctly points out in his response to the Deputy Administrator's Petition to Reconsider, the ALJ did not state that the oral decision was a "tentative" oral decision. While the ALJ stated the oral decision was not binding on Mr. Edwards until he received the written confirmation of the oral decision (Tr. 300), the ALJ did not state the oral decision was not binding on the Deputy Administrator (Tr. 299-310). Moreover, I find nothing in the record indicating that the ALJ vacated the December 5, 2011, oral decision. Instead, the ALJ states she "ruled from the bench (oral decision)," and the ALJ characterizes the January 6, 2012, Decision and Order as a "written confirmation" of the December 5, 2011, oral decision (ALJ's January 6, 2012, Decision and Order at 2 ¶ 6). Therefore, I reject the Deputy Administrator's contention that the ALJ's statement at the close of the December 5, 2011, hearing (Tr. 299-310) was not an oral decision.
3The Rules of Practice provide a party must file an appeal of a written decision with the Hearing Clerk within 30 days after receiving service of the administrative law judge's written decision. (See 7 C.F.R. § 1.145(a).)
However, the record is not without ambiguity. The ALJ states that each party has 30 days from the date of service of the written Decision and Order within which to appeal to the Judicial Officer, as follows:
This Decision and Order shall be final and effective without further proceedings 35 days after service unless an appeal to the Judicial Officer is filed with the Hearing Clerk within 30 days after service, pursuant to section 1.145 of the Rules of Practice (7 C.F.R. § 1.145, see Appendix A).
ALJ's January 6, 2012, Decision and Order at 7 ¶ 24.
In In re PMD Produce Brokerage Corp. (Order Denying Pet. for Recons.), 59 Agric. Dec. 351 (2000), I held that a statement by an administrative law judge indicating that an appeal petition may be filed within 30 days after service of a written excerpt of an oral decision does not modify the time in the Rules of Practice for filing an appeal of an oral decision. In PMD Produce Brokerage Corp. v. U.S. Dep 't of Agric., 234 F.3d 48 (D.C. Cir. 2000), the Court concluded that neither the Rules of Practice nor any other action by the Secretary of Agriculture provided fair notice of the time within which an appeal of an oral decision must be filed with the Hearing Clerk, and the Court set aside In re PMD Produce Brokerage Corp. (Order Denying Pet. for Recons.), 59 Agric. Dec. 351 (2000), and In re PMD Produce Brokerage Corp. (Order Denying Late Appeal), 59 Agric. Dec. 344 (2000). At the time, 7 C.F.R. § 1.145(a) did not specifically state that an appeal of an administrative law judge's oral decision must be filed within 30 days after the administrative law judge issues the oral decision:
§ 1.145 Appeal to Judicial Officer.
(a) Filing of petition. Within 30 days after receiving service of the Judge's decision, a party who disagrees with the decision, or any part thereof, or any ruling by the Judge or any alleged deprivation of rights, may appeal such decision to the Judicial Officer by filing an appeal petition with the Hearing Clerk.
7 C.F.R. § 1.145(a) (2000).
In response to PMD Produce Brokerage Corp. v. U.S. Dep 't of Agric., 234 F.3d 48 (D.C. Cir. 2000), the Secretary of Agriculture, in an effort to eliminate the ambiguity found by the United States Court of Appeals for the District of Columbia Circuit, issued a final rule amending 7 C.F.R. § 1.145(a) to read, as follows:
§ 1.145 Appeal to Judicial Officer
(a) Filing of petition. Within 30 days after receiving service of the Judge's decision, if the decision is a written decision, or within 30 days after issuance of the Judge's decision, if the decision is an oral decision, a party who disagrees with the decision, any part of the decision, or any ruling by the Judge or who alleges any deprivation of rights, may appeal the decision to the Judicial Officer by filing an appeal petition with the Hearing Clerk.
68 Fed. Reg. 6339, 6341 (Feb. 7, 2003). The Secretary of Agriculture explained the need for the amendment to 7 C.F.R. § 1.145(a), as follows:
Appeal to the Judicial Officer
The rules of practice governing formal adjudicatory proceedings instituted by the Secretary under various statutes (7 CFR 1.130 through 1.151) (referred to as the "uniform rules" below) provide that an administrative law judge may issue an oral or written decision. Current 7 CFR 1.142(c)(2) provides that if an
administrative law judge orally announces a decision, a copy of the decision shall be furnished to the parties by the Hearing Clerk. Irrespective of the date a copy of the decision is mailed, the issuance date of the oral decision is the date the decision is orally announced. Current 7 CFR 1.145(a) provides that a party who disagrees with an administrative law judge's decision may appeal to the Judicial Officer within 30 days after receiving service of the administrative law judge's decision.
The Judicial Officer has held that an appeal from an oral decision must be filed within 30 days after the date the administrative law judge orally announces the decision. In re PMD Produce Brokerage Corp., 59 Agric. Dec. 344 (2000) (order denying late appeal); In re PMD Produce Brokerage Corp., 59 Agric. Dec. 351 (2000) (order denying petition for reconsideration). On appeal, the United States Court of Appeals for the District of Columbia Circuit held that current 7 CFR 1.142(c)(2) and 7 CFR 1.145(a) are ambiguous because the Secretary of Agriculture did not give fair notice that the uniform rules require an appeal to be filed within 30 days after the administrative law judge orally announces a decision. PMD Produce Brokerage Corp. v. U.S. Department of Agriculture, 234 F.3d 48 (D.C. Cir. 2000).
The Office of the Secretary is amending 7 CFR 1.145(a) to eliminate the ambiguity found by the United States Court of Appeals for the District of Columbia Circuit. Specifically, the Office of the Secretary is amending 7 CFR 1.145(a) to provide that any appeal to the Judicial Officer from an oral decision issued by an administrative law judge must be filed within 30 days after the administrative law judge issues the oral decision.
68 Fed. Reg. 6339 (Feb. 7, 2003). Thus, I conclude the ALJ's January 6, 2012, written Decision and Order providing the parties 30 days from the date of service of the written decision to file an appeal petition with the Hearing Clerk does not modify the requirement in 7 C.F.R. § 1.145(a) that an appeal from an oral decision must be filed with the Hearing Clerk within 30 days after the administrative law judge issues the oral decision.
Finally, the Deputy Administrator expresses concern that In re H.D. Edwards (Order Denying Late Appeal), __ Agric. Dec. ___ (Mar. 15, 2012), will have the effect of forcing parties to appeal oral decisions without benefit of the administrative law judges' subsequent written decision (Pet. to Reconsider at 4). While I share the Deputy Administrator's concern, I am bound by the Rules of Practice which require filing of any appeal from an administrative law judge's oral decision within 30 days after the issuance of the oral decision.4 I note, however, that under the Rules of Practice any party may request that the time for filing an appeal of an oral decision be extended to a point in time after service of the subsequent written decision.5
For the foregoing reasons, the following Order is issued.
4Generally, the Rules of Practice are binding on administrative law judges and the Judicial Officer. See In re William J. Reinhart, 59 Agric. Dec. 721, 740-41 (2000), aff 'd per curiam, 39 F. App'x 954 (6th Cir. 2002), cert. denied, 538 U.S. 979 (2003); In re Jack Stepp (Ruling Denying Respondents' Pet. for Recons. of Order Lifting Stay), 59 Agric. Dec. 265, 269 n.2 (2000); In re Far West Meats (Ruling on Certified Question), 55 Agric. Dec. 1033, 1036 n.4 (1996); In re Hermiston Livestock Co. (Ruling on Certified Question), 48 Agric. Dec. 434 (1989).
5Compare In re Jennifer Caudill (Order Extending Time for Filing Appeal Pet.), AWA Docket No. 10-0416 (extending the time for filing an appeal petition with respect to the initial Decision and Order as to Mitchell Kalmanson to 30 days after service of an initial decision as to Jennifer Caudill) (Appendix 1); In re Kathy Jo Bauck (Order Extending Time for Filing Appeal Pet.), AWA Docket No. 11-0088 (extending the time for filing an appeal petition to 30 days after the administrative law judge files a ruling on the complainant's motion for reconsideration) (Appendix 2).
ORDER
The Deputy Administrator's Petition to Reconsider, filed March 23, 2012, is denied.
Done at Washington, DC
November 5, 2012
______________________________
William G. Jenson Judicial Officer
APPENDIX 1
UNITED STATES DEPARTMENT OF AGRICULTURE BEFORE THE SECRETARY OF AGRICULTURE
In re: )
AWA Docket No. 10-0416
)
Jennifer Caudill, a/k/a Jennifer )
Walker, a/k/a Jennifer Herriott )
Walker, an individual; Brent )
Taylor and William Bedford, )
individuals d/b/a Allen Brothers)
Circus; and Mitchell Kalmanson,)
) Order Extending Time for
Respondents) Filing Appeal Petition
On October 4, 2012, the Administrator, Animal and Plant Health Inspection Service, United States Department of Agriculture [hereinafter the Administrator], requested an extension of time within which to appeal the initial Decision and Order as to Mitchell Kalmanson issued on September 24, 2012, by Chief Administrative Law Judge Peter M. Davenport. The Administrator requests that I extend the time for filing an appeal petition with respect to the initial Decision and Order as to Mitchell Kalmanson to 30 days after service of an initial decision and order as to Jennifer Caudill on the Administrator ’ s counsel. For good reason shown, the Administrator ’ s time for filing an appeal petition with respect to the initial Decision and Order as to Mitchell Kalmanson is extended to 30 days after the
Administrator's counsel is served with an initial decision and order as to Jennifer Caudill.
Should this extended time for filing an appeal petition with respect to the initial Decision and
Order as to Mitchell Kalmanson expire on a
APPENDIX 1
Saturday, Sunday, or Federal holiday, the time for filing an appeal petition pursuant to this
Order Extending Time for Filing Appeal Petition shall be extended to include the following
1
business day.
Done at Washington, DC
October 10, 2012
______________________________
William G. Jenson Judicial Officer
1The Hearing Clerk's office receives documents from 8:30 a.m. to 4:30 p.m., Eastern Time. To ensure timely filing, any appeal petition filed pursuant to this Order Extending Time for Filing Appeal Petition must be received by the Hearing Clerk no later than 4:30 p.m., Eastern Time, on the date due.
APPENDIX 2
UNITED STATES DEPARTMENT OF AGRICULTURE BEFORE THE SECRETARY OF AGRICULTURE
In re:
)
Docket No. 11-0088
)
Kathy Jo Bauck (a/k/a" Kathy Cole")
a/k/a" K.J. Cole"), Allan R. Bauck )
(a/k/a" A.R. Back" a/k/a
)
" A.R. Bauk"), Corinne A. Peters,)
Janet Jesuit, and Peggy Weise,)
individuals, d/b/a Puppy's on)
Wheels, a/k/a" Puppies on Wheels")
and" Pick of the Litter," also d/b/a )
" Pine Lake Enterprises," " KJ's Pets,")
" New York Kennel Club," and" New)
York Kennel Club, Inc.," and" Pine )
Lake Enterprises, Inc., a Minnesota )
domestic corporation,)
) Order Extending Time for ) Filing Appeal Petition
Respondents
On October 21, 2011, Kevin Shea, the Acting Administrator, Animal and Plant Health Inspection Service, United States Department of Agriculture [hereinafter the Administrator], requested an extension of time within which to appeal an "Order Dismissing Respondent Peggy Weise" issued on September 27, 2011, by Administrative Law Judge Janice K. Bullard [hereinafter the ALJ]. The Administrator requests that I extend the time for filing an appeal petition for such period as necessary for the ALJ to rule on the Administrator's October 20,
2011, motion for reconsideration of the "Order Dismissing Respondent Peggy Weise." In the alternative, the Administrator requests that
APPENDIX 2
I rescind the ALJ's "Order Dismissing Respondent Peggy Weise" pending the ALJ's ruling on the Administrator's October 20, 2011, motion for reconsideration. (APHIS's Mot. for Extension of Time for Filing an Appeal at 2 n.2.) Ms. Weise neither consents to nor opposes the Administrator's motion to extend the time for filing an appeal petition (APHIS's Mot. for Extension of Time for Filing an Appeal at 1).
The Administrator's request that I rescind the ALJ's September 27, 2011, "Order Dismissing Respondent Peggy Weise" is denied. For good reason shown, the Administrator's time for filing an appeal petition is extended to 30 days after the ALJ files a ruling on the Administrator's October 20, 2011, motion for reconsideration. Should this extended time for filing an appeal petition expire on a Saturday, Sunday, or Federal holiday, the time for filing an appeal petition pursuant to this Order Extending Time for Filing Appeal Petition shall be extended to include the following business day.1
Done at Washington, DC
1The Hearing Clerk's office receives documents from 8:30 a.m. to 4:30 p.m., Eastern Time. To ensure timely filing, any appeal petition filed pursuant to this Order Extending Time for Filing Appeal Petition must be received by the Hearing Clerk no later than 4:30 p.m., Eastern Time, on the date due.
October 24, 2011
______________________________
William G. Jenson Judicial Officer
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The Chimes
Newsletter
Vol. 49, Issue 10 - Published Biweekly
Rev. Chuck Layton
St. Luke's
United Methodist Church 1199 Main Street Dubuque, IA 52001-4778
Phone: 563-582-4543
Fax: 563-582-2307
stlukesumcdbq.com [email protected]
Office Hours
Monday — Friday 8:00 a.m. — 12:00 p.m. 12:30 p.m. — 4:30 p.m.
Table of Contents
Pg. 1 Chuck's Chat
Pg. 2 Prayer List Birthdays
Pg. 3 Vision and Mission Statement Lectionary Texts General Information
Pg. 4 This Month's Volunteers
Pg. 5-7 Events & News
Pg. 8 Extra
Chuck's Chat — May 17, 2017
This morning on NPR's "On Point" Jane Clayson was interviewing senator Ben Sasse of Nebraska. A large part of the discussion concerned the way that society has conspired to keep young people as adolescents. It was a wide-ranging conversation, but one thing that caught my attention was that society is having a hard time helping young people see that work is its own value. The senator mentioned the need for people to have a compelling reason for what they do. This got me to thinking about church.
Church in the United States is not very well regarded by most of the population. Even when it is looked upon kindly, it is seen by large segments of the population as irrelevant. Frankly, I don't think it's the spiritual part that is irrelevant, because studies continue to show that people want spirituality as part of their lives. Rather, it seems that people see the church as failing to change lives for the better and transform society.
I'm glad that my roots are in the Wesleyan imperative to be both/and. United Methodist Christians insist on the spiritual life of faith in Jesus Christ which leads to new, abundant, eternal life. We also insist on sharing the love of God with others through acts of physical love, charity and justice, and through sharing the story of salvation through faith in Jesus Christ.
What does that mean for St. Luke's? How can our congregation both help all our folk (especially our younger folk) to find saving faith in Jesus, and to find compelling meaning in helping others? It may mean developing programs such as small groups for fellowship, learning, and service; expanded mission and outreach opportunities; youth programming that not only informs and entertains, but challenges to action. I think that we need to develop a church culture in which we not only give permission for people to create their own mission outreach projects, but actually strongly encourage and resource them.
What changes would we need to make in how we do church? How might we become a congregation where we are able to say, "Go for it!" Would we be able to trust that there will be enough resources and volunteers to do all that God wants us to do? Would we have the courage to let cherished programs die when it is their time? Would we recognize new baby programs and nurture them? Would we be able to expand our thinking about what it means to Make disciples of Jesus Christ for the transformation of the world?
I could envision St. Luke's taking the lead in several areas: short-term housing for "Parachute Families;" very expanded community garden projects of several sorts; becoming a strong partner with Fountain of Youth; re-engaging with Habitat for Humanity; increasing our mentoring presence at Prescott; developing a disaster-response team; expanding our worship opportunities to "make room" for folks who can't attend on Sundays, or who don't like organ music, or who don't speak English well. All of these and many other possibilities have crossed my mind.
What about you? What passion has Jesus stirred up in your heart? How can we come together to help you realize your vision?
Shalom, Chuck
Our Caring Community
Lord, as we continue life's journey, we pray for all who are challenged by health concerns and ongoing illness.
We know that the awesome God we worship hears the prayers of our lips as well as the prayers of our hearts. We pray for the people who are currently dealing with a recent illness, surgery, injury, or medical concern:
Rayma Fisher
- vision problems after eye surgery
(Bonnie Sander's mother)
Shirley Moody
Angie Rhomberg
- serious motorcycle accident
Barb Crites
- stage 4 liver & pancreatic cancer
Greg & Anne Sushko
- Greg had long surgery 4/24
Prayers for people in Care Centers:
Betty Farcas
Marian Thomas
Edie Bruehahn
Sally Wiegand
Mary Dempsey
Barb Boettcher
Margerie Kreassig
Romayne Schmitt
Prayers for people with ongoing health issues:
Peggy Lemke
Johnny
Mary K. Benefiel
Brett Cooper
Bonnie Jorgensen
Jeanne Patterson
Susan Funke
Prayers of consolation for recently lost loved ones to the families of:
Jon Hardenbergh
Kaye Running
(Hattel's friend)
Irma Dennis (Kaye Running's mother)
Prayers of joy for recent newborns and their families:
Andrew John Kennedy — May 1st
Our prayers also turn to prayers for Peace and Justice around the world. We especially remember all those who currently serve in the armed forces of our country. Lord, we ask your special touch of compassion for all the vic-
tims of civil discord and war, the families of soldiers, and the families of police officers. It is in the name of your Son and our Savior that we offer our prayers. Amen.
Please check the prayer request lists if there are any outdated prayer requests. Send updates or prayer requests to:
563-582-4543 | [email protected]
Happy Birthday to our church family and friends with birthdays this month! May the celebration of life on your birthday be filled with many blessings from our Lord.
May Birthdays June Birthdays
17 Betty Martin
1 Tyrell Saunders
18 Carrie Hunold
18 Ella Kreimeyer
19 Amy Sunleaf
21 Ryan Johnson
21 Barb Liskey
22 Rachel Guentherman
22 Nate Kehoe
22 Heather Leitch
22 Ron Liskey
23 Foster Hull
23 Fitzgerald Kephart
23 Heidi Klein
24 Wayne Hefel
24 Chloe Plumley
24 Paige Snitker
25 Nathan Lungwitz
26 Sally Mihalakis
26 Susan Stone
28 Chris Becker
29 Lara Sanders
29 Serena Stechman
29 Bret Streckwald
29 Eliza Sunleaf
30 Robert Armstrong
30 Ken Booth
31 Paul Herman
3 Debra Finn
4 Cooper DuBord
5 Jason Breithaupt
5 Sarah Redding
6 Ann Duchow
6 Katelyn Gross
6 Cheri Loveless
6 Robert Neuendorf
6 Jack Pregler
7 Becky Kehoe
7 Steven Lamb
7 Owen Oberman
8 Steve Sanders
9 Avary Pollard
11 Lora Lamb
12 Morgan Johnson
13 Dylan Goerdt
14 R.R.S. Stewart
15 John Glab
16 Mya Beau
16 Austin Lungwitz
17 Joe Healy
17 Kim Sheldon
18 Gary Lungwitz
19 Garrett Gross
19 Edna Mahan
31 Abby Tharp
19 Linda Snitker
Emergency Medical Information Cards
In the event of a personal emergency taking place at church, we recommend you have information at St. Luke's that is readily available for EMTs when they are called. You can fill out a 5x7 card stored in the church office and copies can be given to EMTs if the occasion arises. Stop by the church office to fill one out.
Marcia DubbelsChair, Care and Compassion
Margie Breese Member, Care and Compassion
We request that if you become hospitalized, please let the church office know. Also, please designate St. Luke's as your church when filling out hospital admittance information. If you would like a prayer request, please let us know.
VISION & MISSION STATEMENT
The Mission of the United Methodist Church is to make disciples of Jesus Christ for the transformation of the world. The MISSION of St. Luke's United Methodist Church is to feed souls, grow faith in God and make a difference in the lives of our congregation, our neighbors and our world.
The VISION of St. Luke's United Methodist Church is: Welcoming ALL... Caring... Serving... Growing
St. Luke's UMC Contacts
Rev. Chuck Layton [email protected]
Cell: 712-420-5963
Office: 563-582-4543 Ext 102
Jessica DuBord (interim)
Children's/Youth Ministry Coordinator [email protected]
Phone:
563-582-4543 Ext. 103
Ora Uzel
Administrative Assistant [email protected]
Phone:
563-582-4543 Ext. 101
Weekend Worship
Food for the Soul
Saturday at 5:30 p.m.
Saturday Night Praise Saturday at 6:00 p.m.
Sunday Worship Services Sunday at 8:30 a.m.
(Communion 1st Sundays) Sunday at 10:45 a.m.
Official UMC Lectionary Texts
Parking: Street metered parking (Mon.-Fri.) Free lot parking/street metered parking (Sat.) Free Handicap & street parking (Sun.)
Do you have a name change or a new address, phone number, or email address? If so, please remember to inform the St. Luke's office at [email protected] or by calling 563-582-4543. Thank You!
May 6th Sunday of Easter (white), Heritage Sunday
21st Acts 17: 22-31; Psalm 66: 8-20 (UM790);
1 Peter 3: 13-22; John 14: 15-21
May Ascension Day, 7th Sunday of Easter (white)
28th Acts 1: 6-14; Psalm 68:1-10 (UM 792);
1 Peter 4: 12-14; 5: 6-11; John 17: 1-11
June Pentecost Sunday (red)
4th Acts 2: 1-21; Psalm 104: 24-34, 25b (UM 826);
1 Corinthians 12: 3b-13; John 7: 37-39
June Trinity Sunday, Peace With Justice (white)
11th Genesis 1:1 - 2:4a; Psalm 8 (UM 743);
2 Corinthians 13: 11-13; Matthew 28: 16-20
STAFF
Treasurer . . . . . . . . . . . . . . .Amy Schadle
Pastor . . . . . Rev. Charles (Chuck) Layton
Children / Youth: Jessica DuBord (intrm)
Administrative Assistant . . . . . . .Ora Uzel
Custodian. . . . . . . . . . . . . . . Caprice Jones
CHURCH COUNCIL
Chair . . . . . . . . . . . . . . . . . .Nancy Hessler
Officers:
Recording Secretary. . . . . . Kristen Smith
Lay Leader . . . . . . . . . . . . . . Mark Tilson
Lay Members of the Annual Conference:
Sue Hattel, Nancy Bradley
Worship & Celebration . . . . . . Sue Hattel
Historian . . . . . . . . . . . . . . Betty Phillips
Financial Secretary . . . . . . . Carol Clark
Membership Secretary . . . . Admin Asst
Administrative Committee (Chairs):
Lay Leadership/Nominations . . . . Pastor
Finance . . . . . . . . . . . . . . . . . Rich Young
Board of Trustees . . . . . . Mike Loveless
SPPRC. . . . . . . . . . . . . . . . . Dave Kubik
Council on Ministries
Facilitators:
Invitation & Welcome . . . .Lisa Viertel &
Chris Kohlmann
Care & Compassion . . . . Marcia Dubbels
Spiritual Growth & Disc: Nancy Hessler
Stewardship . . . . . . . . . . . . . . . . . (vacant)
Witness & Service
Community Outreach . . . Jennifer Crow
Conference & Global. . . . . . . . (vacant)
Social Justice . . . .RRS & Terry Stewart
Neighborhood Outreach . . John Hessler
UMW . . . . . . . . . . . . . . . . .Marcia Young
At-Large: Matt Crow, Chris Becker, Gary Reid, Lesley Stephens, Steven & Kathy Lamb, Nancy Bradley, Vicki Tilson, Rhonda Kubik
Month of May 2017 Volunteers
5/28/17
9:30 TBD
10:45 Worship Drivers
Prescott Elementary & St. Luke's Blood Drive — Thank you!
Thank you to everyone who volunteered to help with the Prescott/St. Luke's UMC Mississippi Valley Regional Blood drive this past Monday May 8th! Your efforts of providing cookies and serving them and writing thank you cards and greeting our guests who came to donate were very much appreciated!
First, thank you for your smiles and caring for each of us both team and guests as it made the day so much fun! Second, the cookies tasted delicious and everyone who needed a couple had one thanks to your caring! Third, thanks to the school district and city for allowing our use of the community room and your teachers and staff for helping with the cookie table and for tear down after we were finished!
Your efforts helped us host 30 people who came to donate their blood to help save a life for someone in our community! We actually collected 26 units of blood which will ultimately serve up to 78 people! Isn't that amazing! By going over the 20 person minimum you also helped earn $276 for Prescott School from the blood bank which will be sent to your school soon.
St. Lukers, you were awesome as we had 22 out of the 30 folks who came to donate! You all are very awesome and pleas accept my thanks once again! — Mike Loveless, Co-Chair
Upcoming Worship Dates
May 21 Appreciation Sunday & Graduate Recognition
8:30 & 10:45 a.m. Special Worship Services
Summer Worship Schedule Begins 9:15 a.m. Hymn Sing before each service 10:30 a.m. Coffee & Conversations after
May 28 9:30 a.m. Sunday Worship Service
Jun 4 Pentecost Sunday
9:30 a.m. Sunday Worshipwith Communion
Jun 11 Peace With Justice Sunday
9:30 a.m. Sunday Worship Service
Every Saturday: 6:00pm Saturday Night Praise with Communion 1 st Sundays
New Member Class
Sundays May 21 - June 18 in the Parlor All are welcome! Times vary, see below.
Pastor Chuck will be holding a new member class, beginning Sunday, May 21st, Sunday School hour in the parlor. All are welcome to attend, especially any who are looking at becoming members of St. Luke's. We will meet for four sessions:
Session 1: "Why Jesus?"
Sunday, May 21st at 9:45 a.m. between services
Session 2: "Why Church?"
Sunday, May 28 at 10:45 a.m.
Session 3: "Why the United Methodist Church?" Sunday, June 4 at 10:45 a.m.
(No Meeting June 11 due to Annual Conference)
Session 4: "Why St. Luke's?"
Sunday, June 18 at 10:45 a.m.
Terrific Tuesdays
(9:30 a.m. unless otherwise noted)
May 23 8:30am Breakfast at Village Inn
10:00am Sit & Knit at St. Luke's Parlor
May 30 One Mean Bean
Jun 6
Convivium Urban Farmstead, 2811 Jackson Inspire Cafe
Jun 13
Donations for the Jesus Fund
Our "Jesus Fund" Ministry helps people in need get healthy groceries by providing them vouchers to Eagle's grocery. Donations can be given in envelopes put into the offering plate labeled "Jesus Fund."
May 18 — Kaleidoscope will gather at 7:00 p.m. in Fellowship Hall. ALL women are invited. Program: Learning about the Red Basket Project and assembling packets. Host is Marcia Young. Lynn Kerker, co-host will share devotions.
May 30 — UMW Executive meeting at 6:30 p.m.
June 5 — "Out to Lunch" at the new Perkins Restaurant & Bakery, 2785 Plaza Drive hosted by the Busy Bees at 1:00 p.m. Order off the menu. Reservations are not needed. Everyone is welcome!
"Thank You" from Gina Dowling and Tammy Bardon from Hillcrest WIC (Women, Infants, & Children) Clinic and Hillcrest Maternal Health Clinic for the donations of toothpaste, shampoo, bar and hand soap to benefit participants in their programs!!
I & W Team Invite You To... "Guess Where You'll Be Dining?" Event! Sunday, May 21st, 2017
5:00 pm — Gather in Fellowship Hall for appetizers, conversations and discover "where you'll be dining." 5:45 pm — Depart for your mystery dinner location (note: dinner is at your own expense). 6:00 pm — Enjoy dinner with your dinner companions at your "Mystery Dubuque Restaurant." 7:30 pm — Everyone returns to St. Luke's Fellowship Hall for dessert and continued conversations!
Please sign up in the South Hall.
Deadline to sign up: Friday May 19th
We look forward to seeing you there!
Your I & W Team —
Chris, Lisa, Julie, Cheryl, Alicia, Art, Darren, Keith
All Aboard the Trolley! Thursday June 22nd
Trolley Tour of Dubuque & Picnic at Arboretum.
Reservation Deadline: Monday, June 12th
Cost: $22 (transit, tour, sack lunch)
We leaveWoodlandsat9:30am
Contact: Marcia Dubbels: 582-6634
[email protected]
Information/registration packets are available in the church office.
2017 Graduates
Jenni McCann is graduating from Clarke University with a Doctorate degree in Nursing Practice and is seek- ing teaching positions, including in Henderson, Nevada.
Jenni's son Phillip Breitbach is graduating from
Clarke University with Bachelor degrees in Math and Computer Information Systems and has accepted an Information Technology position at the McCoy Group in Dubuque.
Allison Waters-Kutsch is graduating from Cornell College with majors in Biochemistry and Molecular Biology with minors in Psychology and Civic Engagement. Allison is seeking positions in Madison, Wisconsin and is planning to move in with two friends from college. Her parents are Sheila Waters and Bill Kutsch.
Morgan Johnson is graduating NICC with studies in Dental Assistance and is seeking positions at Dubuque area dental offices. Morgan's parents are Tom & Jodi Johnson, and her grandmother is Janet Busch.
Lydia Renee Johnson is graduating from Hempstead High School and will be attending the University of Northern Iowa. Lydia's parents are Tom & Jodi Johnson, and her grandmother is Janet Busch.
Douglas Austen Beisker-Olson is graduating from Hempstead High School and will be attending the University of Iowa with a creative writing major. Doug's parents are David Olson and Sandi Beisker.
Calesta (Calli) Marie Tilson is graduating from Western Dubuque High School and will be attending the University of Iowa with plans to study creative writing and linguistics. Calli's parents are Mark & Vicki Tilson.
Haley Rhoads is graduating from Senior High School. Haley's mother is Jessica DuBord.
Seamus Foley is graduating from Senior High School. Seamus's parents are Greg & Lorie Foley.
Dubuque Senior Center Now Open
Open Monday through Friday
10:30 p.m. to 12:30 p.m.
St. Matthews Church, 1780 White St.
Enter through the alley behind St. Matthews
The Dubuque Senior Center serves a hot lunch daily. To reserve a meal please call 563-543-7065 by noon the previous day. It may be possible to receive a lunch without calling; but reservations are recommended. Patrons over 60 may leave a donation; those under 60 are required to pay $8.28. For more info call: Colleen at 563-543-7065
Red Basket Project
Support the Red Basket Project with donations in an envelope marked "Red Basket Project" or donate any of the following in the red basket in the South Hallway: Tampons: Junior, Regular, Super; Pantiliners: Always Thin Pantiliners, or any brand medium or heavy absorbency pantiliner.
Items Needed for the Food Pantry
Food items
Rice, ketchup, brownie mix, sugar, graham crackers, ramen, dish soap
Items can go in the South Hall shopping cart.
Food pantry donations help stock the shelves each month at the Dubuque Food Pantry. It is through people like you that the Food Pantry is able to respond to emergency needs in our community. Each month the food pantry serves between 275-350 households. Thank you for making it possible for us to continue this ministry!
Tree of Life Memorial Service
Tuesday May 23, 2017 at 7:30 p.m. Washington Park, Dubuque
Hospice of Dubuque will host the Annual Tree of Life Memorial Service and Lighting Ceremony. The service will be held to honor and remember loved ones—both living and deceased. If you would like to remember someone with a light on the Tree of Life, please send a donation of any amount, along with the name of your loved one. All memorials, not only those served by Hospice of Dubuque, are welcome.
Please mail your tax-deductible gift to Hospice of Dubuque, 1670 JFK Road, Dubuque, IA 52002. Donations received by Friday, May 19, will appear in the printed program. Each light symbolizes a donation made in the name of a loved one. Lights will remain lit through the Memorial Day holiday.
Social Principles: The Natural World
(Part of a series from the 2016 edition of The Book of Resolutions, which contains the text of all resolutions or pronouncements on issues approved by the General Conference currently in force. These documents represent the official position of the UMC.)
6. Science and Technology — We recognize science as a legitimate interpretation of God's natural world. We affirm the validity of the claims of science in describing the natural world and in determining what is scientific. We preclude science from making authoritative claims about theological issues and theology from making authoritative claims about scientific issues. We find that science's descriptions of cosmological, geological, and biological evolution are not in conflict with theology. We recognize medical, technical, and scientific technologies as legitimate uses of God's natural world when such use enhances human life and enables all of God's children to develop their God-given creative potential without violating our ethical convictions about the relationship of humanity to the natural world. We reexamine our ethical convictions as our understanding of the natural world increases. We find that as science expands human understanding of the natural world, our understanding of the mysteries of God's creation and word are enhanced.
In acknowledging the important roles of science and technology, however, we also believe that theological understandings of human experience are crucial to a full understanding of the place of humanity in the universe. Science and theology are complementary rather than mutually incompatible. We therefore encourage dialogue between the scientific and theological communities and seek the kind of participation that will enable humanity to sustain life on earth and, by God's grace, increase the quality of our common lives together. (next issue: Food Safety & Food Justice)
Host an Exchange Student
Auditions for DBQ Children's Choir
Emerald Johnson, local coordinator for Iowa
Resources for International Service (IRIS) is looking for families in Eastern Iowa who might be interested in hosting international scholarship exchange students for the 2017-2018 school year.
Our website is www.iris-center.org We place students from Africa, the Middle East and Southeast Asia for one school (August arrival, June return). They receive an allowance for social activities and household necessities. Families include the students in all family activities while they are here. We need to place students ASAP so that we can secure their school placement.
For more information, contact Emerald at: [email protected] or 563-505-5956 (cell)
Think GREEN at the Farmers' Market
Every Saturday 7am to Noon - May-Oct Iowa Street from 11th Street to City Hall
Think about garden fresh, locally grown veggies. Plan now to attend Saturday's downtown farmers' market. The market is our neighbor located near City Hall and surrounding blocks, just a block from the church. While there, buy herb seedlings and flowering plants. Produce comes from local farms every Saturday through October, 7:00 - Noon. Look for vendors selling grass-fed meat for your table, and those who sell only organic produce. To eliminate plastic bags to carry home your purchases, be sure to bring your own cloth totes. Happy GREEN shopping!
May 20th, 2017 — 9:30 am to Noon Holy Trinity Lutheran Church, 1755 Delhi St
The Dubuque Chorale Children's Choir will hold auditions for children entering 4th, 5th, and 6th grades Aug 2017. Auditions will be 5-7 minutes; no prep necessary. Please call Lorrie Etheredge at 563-582-8633 (home) or 563-599-3222 (cell) to schedule an audition time. Info and forms are available at www.dubuquechorale.org
Volunteer for Circles Initiative
Tuesdays 5:30 to 8:30 p.m. Prescott Elementary School
Do you love working with kids? Consider volunteering with the Dubuque Circles Initiative, seeking volunteers available Tuesdays 5:30-8:30pm to help with our Kids' Corner program. Contact: Helen Bisioulis at:
[email protected]
Earth Reflection
"Love all of God's creations, the whole of it, and every grain of sand. Love every leaf, every ray of God's light! Love the animals. Love the plants; love everything. If you love everything, you will soon perceive the divine mystery in things. Once you perceive it, you will begin to comprehend it better every day. And you will come at last to love the whole world with an allembracing love."
Quote from Fyodor Dostoevshy, 1821-1881, Russian novelist, journalist, philosopher
"Music for the Mountain"
Sunday, May 28, 2017 St Luke's Fellowship Hall & Sanctuary 6:30 Dessert Bar 7:00 Music and Song by Jeremy & Craig $25 each or 2 for $40
All proceeds go to St. Luke's Mountain Top Mission Trip
Return Service Requested
fice.
To receive your Chimes via email, send a message to [email protected] . If you know someone who would like to receive The Chimes, please contact the church of- church office at 563-582-4543 to discontinue.
If you wish NOT to receive the Chimes, please contact the
St. Luke's United Methodist Church 1199 Main Street Dubuque, IA 52001
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Name: Francis Godwin
Date of birth: 1562
Date of death: 1633
Parent: Thomas Godwin
Gender: Male
Occupation: bishop and antiquary
Area of activity: History and Culture; Literature and Writing; Religion; Scholarship and Languages
Author: Glyn Roberts
Born at Hannington, Northamptonshire, 1562. He was appointed bishop of Llandaff, 1601, as a reward for his Catalogue of Bishops of England (1st ed. 1601, new ed. 1615, Latin ed. 1616). He had previously held a number of ecclesiastical appointments in the West country where his father, Thomas Godwin, was bishop of Bath and Wells (1584-90). Promoted bishop of Hereford in 1617, he was accused of simony in both dioceses. Little is recorded of his episcopate at Llandaff, where he appears to have occupied himself with the revision of his Catalogue and to have ignored almost completely the growing recusancy in his diocese. He died in April 1633.
Author
Professor Glyn Roberts, (1904 - 1962)
Sources
Oxford Dictionary of National Biography
Foster, Alumni Oxonienses
E. J. Newell, Diocesan History of Llandaff (1902)
Reports of the Historical Manuscripts Commission, Wells MSS., ii, 346-7
Further Reading
Wikipedia Article: Francis Godwin
Additional Links
VIAF: 29652713
Wikidata: Q1387711
Published date: 1959
Article Copyright: http://rightsstatements.org/page/InC-RUU/1.0/
The Dictionary of Welsh Biography is provided by The National Library of Wales and the University of Wales Centre for Advanced Welsh and Celtic Studies. It is free to use and does not receive grant support. A donation would help us maintain and improve the site so that we can continue to acknowledge Welsh men and women who have made notable contributions to life in Wales and beyond.
Find out more on our sponsorship page.
Donate
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The Secret Gardens of Essaouira
The Secret Gardens of Essaouira
Morocco is often associated with densely packed medinas in the city of Marrakesh, congested and usually overheated. And where Marrakesh has the perks of a city life flaunting Moroccan culture promising a lively getaway, the more underrated souks are left unexplored, especially in the port city of Essaouira.
She isn't a UNESCO World Heritage site for no reason. Essaouira, aptly translating to 'well designed' was renamed by the city's Sultan in 1764, due to her alluring Moroccan and European mix.
Perched on the Atlantic Coast, the 'Wind City of Africa' is a second home for surfers and avid kite surfers. You aren't too far from the famous cloven-hoofed goats that typically climb argan trees and definitely not far from freshly caught fish, wonderfully grilled to perfection.
Essaouira has a very different feel to it; you feel a little disconnected from the rest of Morocco, due to its European influence and history engraved and etched into the golden stone city walls. You can quietly enjoy the breeze on the beach or people-watch at the energetic and bubbly 'Port of Timbuktu', where gold and spices would traditionally meet the shore in order to greet foreign friends across the sea.
Explore the narrow streets and the medina packed full of art, spice and the city's cafe and practice the often underrated skill of haggling.
The Secret Gardens of Essaouira
It doesn't feel like you are at a hotel or even so close to the hustle and bustle of the Port. Yet you somehow manage to travel back to a simpler time without having to give up any of the luxuries of today, in their traditional Moroccan style rooms, with antique furnishings, traditional bejmat (terracotta-tiled floors) and tactile Berber rugs.
The botanical gardens, bursting with colour and life, are breath-taking themselves, but to admire them whilst relaxing in an infinity pool is something else. And I am sorry to say, but taking an evening stroll will never quite be the same again…listening to the quarrelling crickets when strolling across the courtyard, passing by flora and fauna along the candlelit terrace whilst sipping on some Rose? Yes please.
If you have brought your children with you, worry not. There is a separate pool area for them to splash around, as well as afternoon BBQs, where you can sit and admire the dusty pink palace under the warm African sun.
And whether you have brought your children or not, you must treat yourself to a rejuvenating and traditional hammam spa treatment. With Morocco being famous for its argan oil, the spa spoils your skin to its healing qualities in their spacious, cavern-like treatment rooms, that send you to another realm. With starry sky lights teasing you with sunlight, you feel like you are resting underneath a starry sky, when you are having a hot stone massage or a black soap exfoliation. You leave feeling like a new person.
But, not too far from the port and the main attraction, lies a secret garden, a perfect place to stay when you just want to unwind, yet be quite close to nature.
Set in the Essaouira hills, Le Jardin des Douars is a romantic, rural hotel that happily shelters you from the rough winds the coast can greet you with. The hotel is a palace in itself, and somehow manages to entwine simplicity with grandeur, relaxation with excitement, and heritage with comfort.
Whether you are looking for a family treat or a relaxing getaway, the year-round destination will undoubtedly make you feel reconnected with yourself and nature. And where the hotel itself feels like an undiscovered secret, you will be wanting to tell everyone about your stay here, as it is truly one of a kind.
Find out more about Le Jardin des Doudars here: www.jardindesdouars.com
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This Document can be made available in alternative formats upon request
State of Minnesota
Printed
Page No.
472
HOUSE OF REPRESENTATIVES H. F. No. 2341 EIGHTY-SEVENTH SESSION
02/16/2012
03/21/2012
03/26/2012
04/18/2012
Authored by Peppin, Gottwalt, Hosch, Abeler, Shimanski and others
The bill was read for the first time and referred to the Committee on Health and Human Services Reform
Adoption of Report: Pass and re-referred to the Committee on Civil Law
Adoption of Report: Pass and Read Second Time
Calendar for the Day
Read Third Time
Passed by the House and transmitted to the Senate
Section 1.
1
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9
2.10
2.11
2.12
2.13
2.14
2.15
2.16
2.17
2.18
2.19
2.20
2.21
2.22
2.23
2.24
2.25
2.26
2.27
2.28
2.29
2.30
2.31
2.32
2.33
2.34
2.35
2.36
physician who prescribed, dispensed, or otherwise provided the drug or chemical to the
i
i
Section 1.
2
i
i
Section 1.
3
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Instructions
Mobile Site Sharing
Version 1.0
Issue Date: 22 May 2008
Telecommunications Regulatory Authority (TRA) P O Box 26662, Abu Dhabi, United Arab Emirates (UAE)
www.tra.gov.ae
Mobile Site Sharing Instructions
1. Legal Reference
1.1 Article 12 of Federal Law by Decree No. 3 of 2003, as amended, stipulates that the TRA, "…is the competent body to oversee the telecommunications sector in the State and all Licensees in accordance with this Federal Law by Decree, its Executive Order and the instructions of the Supreme Committee."
1.2 Article 49 of the Executive Order to Federal Law by Decree No. 3 of 2003, as amended, specifically states that, "…[i]n performing its obligations under the Federal Law by Decree and this Executive Order in relation to network Interconnection, co-location and sharing of sites, the Authority may take any of the following procedures:
1.3
1. issue the instructions and guidelines it deems appropriate."
1.4 Article 10.1.4 of Etisalat's Telecommunications License No. 1/2006 as well as Article 10.1.4 of EITC's Telecommunications License No. 2/2006, respectively, specifically require that Etisalat and EITC accommodate all site sharing requests which are made by another Licensed Operator.
2. Instructions
2.1 For the purposes of these Instructions, any Licensee which initiates the development of any mobile site shall be referred to as the "lead Licensee".
2.2 Furthermore, for the avoidance of doubt, a new mobile site shall be any mobile site which is not fully developed and operational as of the date of issuance of these Instructions.
2.3 The Licensees shall cooperate to share any relevant information with respect to the sharing of any mobile site.
2.4 Licensees developing any new outdoor mobile site shall develop that new outdoor mobile site in accordance with the joint specifications which are to be agreed between the Licensees in order to ensure that the new outdoor mobile site is capable of accommodating the requirements of both Licensees.
2.5 Additionally, the lead Licensee shall endeavor to facilitate prompt and reasonable access to the respective new outdoor mobile site for the other Licensee to conduct an independent assessment of the new outdoor mobile site.
2.5.1. If the demand exists for a presence at the respective new outdoor mobile site, all reasonable demand shall be reasonably
- 2 -
Mobile Site Sharing Instructions
accommodated and neither Licensee shall be permitted to unreasonably hinder or delay the activities of the other Licensee.
2.6 With respect to new indoor mobile sites, prior to commencing development of a new indoor mobile site, the lead Licensee shall, within a reasonable period of time in advance of commencement, provide written notification of its intentions to the other Licensee for the purpose of promptly ascertaining if the other Licensee requests to share the new mobile site.
2.7 If an intention to share a new indoor mobile site is expressed within a reasonable time, the lead Licensee may not commercially activate its equipment at the respective new mobile site until the other Licensee is also capable of commercially activating its facilities. However, the Licensee that is requesting to share the new indoor mobile site must employ its best endeavors to install its facilities in a reasonably prompt and timely fashion.
2.8 If an intention to occupy a new mobile site is appropriately expressed and subsequently withdrawn, the Licensee requesting to share the new mobile site shall bear any relevant costs incurred by the lead Licensee (in excess of those attributable to adhering to any relevant technical specifications) in reliance on the request and prior to the delivery of the withdrawal of the request. The lead Licensee shall, however, be required to use all reasonable and efficient means to mitigate such costs.
2.9 The TRA also considers that existing mobile sites may similarly be made available for site sharing. Accordingly, a Licensee may request to share an existing mobile site of another Licensee. In this regard, the Licensees shall endeavor to cooperate in order to facilitate the prompt and efficient completion of all tasks related to establishing a joint presence at the existing mobile site.
2.10 Additionally, the Licensee which developed the existing mobile site shall endeavor to facilitate prompt and reasonable access to the respective existing mobile site for the other Licensee to conduct an independent assessment of the existing mobile site.
2.11 For the avoidance of doubt, an existing mobile site shall be any mobile site which is fully developed and operational as of the date of issuance of these Instructions.
2.12 The cost of adapting an existing mobile site to accommodate another Licensees' facilities shall be borne by the Licensee which is requesting to share the existing mobile site.
- 3 -
Mobile Site Sharing Instructions
2.13 In outdoor areas where one Licensee maintains an existing outdoor mobile site which is within approximately 200 meters of an existing outdoor mobile site occupied by the other Licensee, the Licensees may cooperate to merge their separate facilities into a single, shared outdoor mobile site.
2.13.1 The 200 meter threshold is an approximation and the TRA may, in its discretion, mandate the merging of outdoor mobile sites that are more than 200 meters apart or authorize the development and/or maintenance of independent outdoor mobile sites which are less than 200 meters apart.
2.14 In respect to the merging of both indoor and outdoor existing mobile sites, the Licensees shall cooperate to identify and employ the most cost effective manner of merging the existing sites and such costs shall be borne equally by the Licensees.
2.15 In all cases and irrespective of the circumstances underpinning mobile site sharing, all charges between Licensees shall be based on reasonable and efficiently incurred costs.
2.16 Notwithstanding the foregoing, the TRA, in its discretion, reserves the right to mandate the merger of any indoor or outdoor mobile site and, in its discretion, determine which Licensee will migrate its facilities or lead the development of a new site.
3. Reporting
3.1 The TRA may, at its discretion, require information with respect to these Instructions.
- 4 -
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50 YEARS OF CONTAINERS
PORT OF HAMBURG MAGAZINE
Dear Readers,
Deepsea shipping both powers and profits from globalization. Containerization of cargoes, especially, unlocked considerable potential. The Port of Hamburg cleared its first containership 50 years ago. This was the starting signal for a new era and has shaped change in the Port of Hamburg for good.
With ‘Industry 4.0 & Digitalization’, we are now on the threshold of another, epoch-making change. Digital technologies are increasingly impacting all areas of public infrastructure and life in general. Broadband, superfast internet, 5G and wholesale networking of the port and logistics sectors are just some of the requirements. Realtime data, bridges that open, weather monitoring, gale and flood warnings and traffic bulletins are other features.
The Port of Hamburg is a vital global logistics hub with a comprehensive network of liner services and efficient links with an immense hinterland. We aim to retain and further strengthen this position. Changes through digitalization are affecting all areas of our lives. If we are smart in our approach, this will offer great opportunities for Hamburg and the whole of Germany.
Now is the time for being pro-active. Related measures are becoming increasingly evident in the Port of Hamburg. With its smartPORT program, Hamburg Port Authority is gradually implementing various digitalization projects to direct traffic and freight flows intelligently. Both economic and ecological factors are relevant, since digital transformation must be shaped jointly with all players.
We as the state government aim to join all companies involved in ensuring that this sector successfully tackles the future and Hamburg long remains in the ‘Premier League’.
Frank Horch
Hamburg Minister of Economics,
Transport & Innovation
The Port of Hamburg cleared its first containership 50 years ago. This was the starting signal for a new era and has shaped change in the Port of Hamburg for good.
50 Jahre / Years of Containerumschlag / Container Handling in Hamburg
| Page | Title | Description |
|------|----------------------------------------------------------------------|-----------------------------------------------------------------------------|
| 02 | EDITORIAL | |
| 06 | 50 YEARS OF CONTAINERS IN HAMBURG | |
| 06 | CONTAINER TRANSPORT – WHAT WILL THE FUTURE BRING? | The sector is hitting its barriers and is ripe for innovations |
| 10 | HOW WILL TOMORROW’S PORT LOOK? | Digitalization is powering innovation |
| 14 | VESSEL SIZE GROWTH IN CONTAINER SHIPPING | Has the pain barrier arrived or will containership size growth continue? |
| 18 | NEW SLOT BOOKING PROCEDURE AT HAMBURG CONTAINER TERMINALS | ‘Port Tours 4.0’ ensures reliable truck clearance |
| 22 | HAMBURG’S PORT AND THE CONTAINER | How a box changed Germany’s largest seaport |
| 28 | THE CRUX OF EMPTY BOX LOGISTICS | An online platform aims to cut the number of costly empty box movements |
| 30 | A FORWARDER AND HIS INLAND WATERWAY CRAFT | Starting up a regular inland waterway container service between Berlin and Hamburg |
| 32 | PAPER LOGISTICS WITH THE BOX | How a traditional breakbulk cargo became containerized |
| 36 | SHORTSEA POWER | Shortsea services are an excellent alternative to trucks and trains for domestic European transport |
| 38 | A STEEL BOX FOR ALL PURPOSES | Containers are not used just for transport but for many other special jobs |
| | PORT OF HAMBURG MARKETING | |
| 40 | PETER PICKHUBEN’S PINBOARD | Tips and tales from Hamburg’s cheekiest seagull |
| 42 | PORT OF HAMBURG | Anniversary Year 2018: Plenty happening on the Elbe! |
| 42 | CREDITS | |
Ein starker Verbund von 16 Hafen- und Logistikstandorten in Norddeutschland und Skandinavien
INTERNATIONAL • UNIVERSAL • ZUVERLÄSSIG
SCHRAMM Ports & Logistics GmbH
Elbehafen, 25541 Brunsbüttel
Telefon: +49 (0) 4852 884-0
Fax: +49 (0) 4852 884-26
E-Mail: [email protected]
www.schrammgroup.de
Container shipping: Where do we go from here?
This year Hamburg celebrates fifty years of container handling in its port. The application of the container to maritime shipping has revolutionised maritime transport, propelled global trade flows and enabled international economic outsourcing on a scale that we have never seen before. Containerised maritime transport has reached its limits. What are the innovations that will make it survive the next fifty years?
The introduction of the container in maritime transport has resulted in various innovations that have realised time and cost savings. Container shipping has given rise to specialised container terminals with specific equipment for speedy handling, such as container quay cranes and yard equipment. The standardisation brought about by containerisation has increased the possibilities for economies of scale. The history of container shipping is characterised by an almost continuous race towards bigger ships. At this moment, the largest container ship in operation can carry over 20,000 standard containers, which is more than hundred times more than the first container ships. Companies with the biggest ships can transport containers with the lowest costs, so these are the ones that can offer the cheapest rates to customers – and most competitive.
More economies of scale in ships have resulted in far-reaching consolidation in the container shipping industry. Different waves of mergers and acquisitions over the last decades have resulted in a market
where the top 4 players operate more than half of the total global capacity. In addition, all the global players have grouped themselves into three global alliances that more or less act as an oligopoly on the major East-West trades. This is linked to ship size: consolidation and alliances allow firms to order and to fill bigger ships.
STRETCHED TO ITS LIMITS, RIPE FOR INNOVATION?
The container shipping industry is trapped in a “vicious circle” from which it seems impossible to escape. This is how the vicious circle works. A shipping firm can make money by being cheaper than his competitors. This can be realised by bigger ships. As soon as one firm orders bigger ships, the others follow so that they do not lose in competitiveness. The result is a massive order of bigger ships, which leads to overcapacity; too many ships for the demand (the goods that need to be transported). This overcapacity leads to lower freight rates, so less revenues for shipping firms, leading to losses and the need for new measures to restore profitability. Hence, the need for cost savings via even bigger ships, which triggers a whole new round of the effects just described.
The current business model has reached its limits. The sector is ripe for disruption: more efficiency in the maritime supply chains needs new innovations. What might these be? In my view, these could centre around new modularity, digitalisation and new business models.
CONTAINER: STILL THE RELEVANT UNIT?
While container ships simplified cargo handling in the 1960s, very large container ships have tended to complicate operations, as they result in thousands (and sometimes more than ten thousand) containers per ship to be handled at once in a terminal. In order to do this quickly, terminals need up to ten of the largest container cranes working at full speed, cranes they will not need most of the rest of the week. Moreover, the sudden arrival or departure of so many containers put severe constraints on the container yard, as these will need to be connected to a train, truck or barge. Larger
Large efficiency gains can still be realised in the interface between ship and port, and port and land transport.
Container ships require larger container terminals, but there are limits to how large container terminals can become, as most ports are located close to cities, for the obvious reason that this is where often most of the consumption and production takes place. Yet space is scarce in cities. Too many port-cities are unfortunately confronted these days with congested ports. A lot of these bottlenecks exist in a way because the standard container is still the undisputed norm.
So the question is: Would it be possible to conceive of an additional layer of standardisation, a unit that encompasses a multitude of individual containers? This is the idea behind the revolutionary idea of the Venice offshore port. In this concept, the offshore port does not handle each individual container with conventional container cranes, but facilitates the disaggregation of a mother vessel into barges (called cassettes) that each contain 384 containers. This allows the handling time of the offshore port to be very short.
A similar question on an additional layer of standardisation could be asked at a lower aggregation level: Is it possible to find a level of modularity between the container and the individual parcel that is in the container? So, some sort of a set of sub-container developed in concepts such as the “physical internet” that could improve the efficiency of freight transport.
DIGITALISATION
Whereas privatisation and globalisation of operations have increased efficiency of operations within shipping and port terminals, large efficiency gains can still be realised in the interface between ship and port, and port and land transport. This is where data become of the utmost importance, as proper data exchange can help to improve these interfaces.
Not surprisingly, various shipping firms have teamed up with data-related firms to crack this challenge; an example is the recent Maersk/IBM joint venture. Future handling of container transport might be more about handling of data and facilitating smooth interfaces than about the physical act of loading a container in a ship.
Other changes related to handling ships are also being discussed. Examples include offshore ports, drones, vertical warehouses, which could all be considered responses to the space constraints that modern container ports are increasingly confronted with.
NEW BUSINESS MODELS?
Is the Uber business model applicable to ocean shipping, and will container carriers soon be the taxi drivers of ocean transport? Chartering could, in a way, be considered a form of “uberisation”. However, there is a crucial difference with taxis: owning a car is much cheaper than owning a ship; these entry costs put ship-owners in a better position to avoid “uberisation”. Most money can be made with the supply chain design and integrator functions. This is also where most new entrants, such as high tech startups have focused their energy on: a data-rich, asset-light global platform. Yet, this will be difficult to function if ship-owners do not cooperate.
This platform paradigm competes for the limelight with a contrasting model: the global expansion of the state capitalist model, as exemplified by the Chinese Belt and Road Initiative. The same global and integrative ambitions, but a much stronger focus on hard infrastructure, including ships, overseas ports and railways that are build, owned, operated, financed and controlled by Chinese state-owned companies.
The coming years will likely see a clash of such paradigms. Outsiders will try to revolutionise container shipping by being smart, whereas the insiders will try to keep control by adopting some of that data-savviness. Internationalisation of state controlled capitalism will compete with more fragmented geopolitical responses that highlight reciprocity and focus on multilateralism.
THE AUTHOR
Olaf Merk is the Project Manager Ports and Shipping of the International Transport Forum (ITF), an intergovernmental organisation with 59 member countries affiliated with the Organisation for Economic Co-operation and Development OECD. He has directed numerous studies on ports and maritime transport, notably “The Impact of Mega-Ships” and “The Competitiveness of Global Port Cities”, as well as more than a dozen studies on port cities, including on Hamburg, Shanghai and Jakarta. His most recent report “Decarbonising Maritime Transport: The Case of Sweden” will be published in March.
The container will remain the universal benchmark in the port of the future – yet virtually everything around it is changing. Trading in freight is being joined by trading in data. So ports will become integrators for a host of different players.
“The competitiveness of German ports will vitally depend on how the maritime sector exploits digitalization as a chance for ongoing development.” This was the conclusion of an intensive exchange of ideas between Frank Horch, Hamburg Minister of Economics, and Remi Eriksen, CEO of classification society DNV GL, in Hamburg City Hall at the end of 2017.
DNV GL has long been in dialogue with Hamburg Port Authority (HPA) on a variety of sustainability and digitalization topics. “Having our maritime head office here in Hamburg means that we have the right experts on the spot for backing up the City of Hamburg on the technical challenges en route to a ‘Port 4.0’,” said Eriksen.
Internet of Things, Logistics 4.0 or Port 4.0 – these buzzwords for digitalization have determined the Port of Hamburg’s strategy for setting course for the future. “Involving dramatic consequences for Hamburg, massive changes are emerging in international freight trade,” forecasts Professor Thomas Straubhaar. The
Globalization’s future no longer lies in trading in freight alone, but in data too.
economist, a former director of the Hamburg Institute of International Economics (HWWI), warns that “It’s vital to react in good time, namely now!” Globalization’s future rests on trading of not just goods, but data: “The faster and more strongly this development advances, the more gargantuan containerships and sprawling ports will prove to be dinosaurs of economic history.”
Alongside its traditional duties to physical infrastructure in and around Germany’s largest seaport, for HPA digitalization has for years been a core topic. “Through closer cooperation, especially on data interchange, but also on staff training all along the logistics chain, in future we can achieve considerably greater efficiency on transport to the consignee,” anticipates Jens Meier, HPA’s CEO.
All the same, digitalization can also involve non-market players now offering services so far provided by established players in the maritime business. Applied by innovative start-ups and global groups alike, these disruptive business models, are spreading throughout the logistics sector. Dr. Sebastian Saxe, HPA’s Chief Digital Officer has observed this at shipping companies too: “These non-shipping providers are successfully challenging the status quo with their innovative, digital business models. It’s therefore high time to join established players in port operation in implementing digital transformation along the logistics chain.” Ports could here exploit their function as integrators of various players and pro-actively harness collected data along the transport chain to build up digital business models.
Professor Carlos Jahn is confident that “Digitalization offers seaports immense opportunities to function more effectively and efficiently.” He heads Hamburg University of Technology’s Institute for Maritime Logistics, as well as Hamburg-based CML - Fraunhofer Center for Maritime Logistics and Services, confirming Saxe’s assessment: “As soon as the possibilities for intensive data interchange are exploited in real time, digitalization will permit optimization of the entire supply chain, contributing to secure and environmentally-friendlier processes and strengthening the competitive situation.”
Visions and Ideas in b/w
To boost the digitalization process within the maritime supply chain, HPA has cooperated with the Hamburg-based Fraunhofer Center for Maritime Logistics and Services to produce an English-language publication presenting some examples of future challenges to seaports. “Digitalization of Seaports – Visions of the Future” is available as a paperback or an e-book from Fraunhofer-Verlag www.verlag.fraunhofer.de (ISBN 978-3-8396-1178-4, price: 49.00 euros). An introductory brochure – “Digitalization of Seaports – First Ideas” – is available as a gratis download on Fraunhofer CMLS’s homepage www.cmls.fraunhofer.de or via the QR-Code:
“Flexibility will become the crucial competitive factor”
Three questions on ‘Port of the Future’ to Henning Kinkhorst, CEO and Partner at Hamburg Port Consulting (HPC)
Port of Hamburg Magazine (PoHM): The topic of digitalization has now even reached the port business. Is the sector jumping on a bandwagon or is there more to it than that?
Kinkhorst: Ports confront tremendous challenges. They will not master them without digitalization. The focus is no longer on eliminating capacity bottlenecks but on boosting the efficiency of existing infrastructure. Creating high volatility in freight flows, robotics and 3D printing will also become more important. For ports, flexibility will be the crucial competitive factor.
The container will remain the universal yardstick for freight transport
PoHM: Apart from digitalization, are there other buzzwords for describing the port of the future?
Kinkhorst: They are closely related to digitalization: Electrification and automation will make ports environmentally friendlier. Even now, HHLA Container Terminal Altenwerder’s transport systems include unmanned, battery-driven vehicles. I also see plenty of opportunities for using drones. In the near future, these could take over intra-terminal container transport. Autonomous trucks and ships will also become reality and largely dictate traffic services.
PoHM: So will nothing remain of the “old” port world?
Kinkhorst: Hinterland infrastructure will long remain one of the most crucial competitive factors. And the container will remain the universal yardstick for freight transport. Yet that should not prevent us from considering the question: Apart from the container, what else is coming?
Hamburg Port Consulting
HPC Hamburg Port Consulting was founded in 1976 and is one of the world’s leading port and transport consultancies. Its customers include private companies, institutional clients, ministries and government agencies. Among the areas where HPC offers its services are port management, planning/simulation, financial analysis, privatization and engineering & IT solutions. HPC is a wholly-owned subsidiary of Hamburger Hafen und Logistik AG (HHLA).
www.hamburgportconsulting.de
Henning Kinkhorst
of HPC Hamburg Port Consulting
Fully cellular containerships are not the only vessels bringing boxes to Hamburg. Multi-purpose freighters, heavy cargo vessels and ConRo ships also often carry containers as deck cargo. The ‘Atlantic Star’ is a ConRo vessel, the world’s largest of her type. Calling regularly at the Port of Hamburg, she and her four sister-ships are deployed on the Trans-Atlantic trade by Grimaldi Group’s ACL subsidiary. They are 296 metres long and can transport 3,800 TEU (20-ft standard containers) on deck. A total of 28,900 square metres for wheeled cargo, or capacity for over 1,300 vehicles, is available below decks. The ship’s stern ramp can be used to load wheeled items weighing up to 420 tons. In the Port of Hamburg the ships are handled at Unikai’s O’Swaldkai multi-purpose terminal. Two container gantry cranes have been specially transferred from HHLA’s Tollerort Container Terminal to enable O’Swaldkai to handle the record-breaking ConRo ships.
© HHLA
Vom kaiserlichen Postdienst zum vollintegrierten Supply-Chain-Logistiker.
Friedrich A. Kruse jun.
Internationale Spedition e.K.
F.A. Kruse jun.
Internationale Spedition e.K.
Fahrstraße 49, 25541 Brunsbüttel
Tel. 04852/881-0 · Fax 04852/881-199
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[email protected]
Has the absolute limit been reached or will containership size continue to increase? Will megacarriers soon become giga-carriers? When will the cult of the big beasts end? Even among renowned bodies, opinions differ markedly. In a recent survey, the Organisation for Economic Cooperation and Development (OECD) sees the limits as already reached. This is because still larger containerships would bring no cost benefits worth mentioning, and also present ports with a series of new problems on clearing vessels. By contrast, worldwide consultants McKinsey are reckoning with deployment of 50,000-TEU containerships within the next few decades. Port of Hamburg Magazine has made enquiries from those involved with container shipping on a daily basis and sought their opinions.
Jens Meier
CEO Hamburg Port Authority
“Mega-containerships with a capacity of more than 16,000 TEU are meanwhile calling at terminals in the Port of Hamburg several times a week. This shows that Hamburg is in the thick of it and fully capable of handling these. Yet I see relating our competitiveness and progress to containership growth as the wrong course. I share the view that growth in containership sizes needs to come to an end. The shipping industry should recall the mistakes made in the tanker business. Optimized processes on the quay walls offer far higher growth and improvement potential than striving for more and more giga-vessels. If we and all participants in the maritime supply chain can further accelerate global door-to-door freight transport, then together we shall be setting the correct accents for the future. The new opportunities in digitalization give us the right framework.”
Rolf Habben Jansen
Chief Executive Officer (CEO), Hapag-Lloyd AG
“Larger ships enable liner shipowners to significantly reduce the cost per container transported. Already being deployed, the mega-ships of the latest generation therefore offer a noticeable competitive advantage compared to the vessels capable of carrying 8,000 TEU that were the world’s largest at least a decade ago. Yet with still bigger vessels, the effect of scale will once again decline. Moreover, still larger vessels present ports with logistics problems. They are not by any means suitable for all trade routes. In the next few years Hapag-Lloyd will not be investing in either newbuilds or still larger ships. By merging last year with UASC, we acquired some extremely large and efficient units for our fleet. So we have the newest fleet in the industry, with the largest average vessel size – and accordingly a highly competitive mix of cutting-edge ships for our network.”
Jens Hansen
CDO, Executive Board member, Container Marketing & Technology, Information Systems, Hamburger Hafen und Logistik (HHLA)
“I don’t think 50,000-TEU ships will be built within the foreseeable future. Yet it is important not to get lost in the detail of ever-growing ship sizes: To give no thought to further growth would be negligent. Shipyard order books currently include containership newbuilds with a breadth of about 62 metres. I can picture ship lengths still increasing to 430 metres. Apart from the technical challenges, a fresh leap in breadth and height would also intensify the challenges for loading and discharging. So the benefits of scale will be reduced by longer distances during the loading/unloading cycle.”
Søren Toft
Chief Operating Officer, Maersk Line
“In the container shipping industry, profitability is to a high degree dependant on the industry’s ability to lower costs and increase efficiency. The concentration of cargo on larger vessels rather than multiple, smaller vessels comes with advantages. That said, past years’ developments, cheap time charters and low fuel prices have somewhat faded the arguments for ultra large container vessels (ULCVs). In our view, further upscaling in vessel size would require significant investments across the supply chain that may not be meaningfully offset by declines in total cost, and reduce carriers’ flexibility to adapt to changing patterns of trade flows. A lot of value from current sized ULCVs still remains to be extracted – not least in terms of improvements in terminal productivity when accommodating ULCVs. In Maersk Line, our current focus is to explore new approaches to unlock efficiencies in port operations in cooperation with ports and terminals.”
Jan Tiedemann
Senior Analyst Liner Shipping and Ports, Alphaliner/BRS Hamburg
“For around twenty years now Alphaliner has been monitoring the development of the global container fleet in great detail. Despite the world economic crisis, in the past ten years the fleet’s total capacity has roughly doubled – most recently to over 21 million TEU. Over the same period, there has been relatively little change in the total number of containerships, currently about 5,200. The bulk of growth has been derived from the steadily increasing size of ship newbuilds. Whereas ten years ago vessels of 8,000 TEU were standard on the main trade routes; today ships can be of up to 21,000 TEU, while units of over 23,000 TEU are now under construction. Alphaliner assumes that in the long term, this new size bracket will continue to represent the upper limit of the trend. While we cannot rule out a possibility that further optimization will produce vessels of up to 25,000 TEU, we regard a further leap in size to 30,000 TEU or even more as improbable. While such ships would be technically feasible, they would offer neither ports nor shippers any further notable economies of scale or savings. Such giga-vessels also involve considerable financial and operative risks. So market growth will tend to occur through a further increase in the number of ULCVs, rather than even larger ships.”
Jan Holst
Country Head Germany, ONE Ocean Network Express, the ‘K’ Line, MOL & NYK partnership
“I am certainly sceptical on the trend towards ever-larger containerships. As ONE, we shall admittedly have a few 20,000-TEU vessels in our fleet. However, our liner structure involving numerous inner-Asian connections prevents us from deploying mega-ships to this extent because the ports lack the essential capacity. In addition, we cannot miss out on how our customers are developing. We all pay heed to costs when ordering. That means doing so more selectively, yet regularly. This means that it is important, especially on the Asia-Europe trade routes where consumer goods dominate, to ensure a constant link between the two continents. That makes cyclical use of 14,000-TEU-plus containerships appropriate for us now. Such is Ocean Network Express’s philosophy.”
Ralf Nagel
Chief Executive Officer and Member of the Presidential Committee, German Shipowners’ Association
“Will the trend toward ever-larger containerships continue? A glance into the past indicates that reality has always overtaken forecasts of maximum containership size. Even now, we have not reached any absolute limit. The effects of scale also mean that large vessels fundamentally make commercial sense. However, containerships with 30, 40 or even 50,000 slots could only be deployed on very select trade routes. The benefits of scale, namely, only apply provided that larger ships are adequately loaded with cargoes. Depending on its business plan and market segment, every shipping company will decide which ship sizes make most sense. Anybody operating a liner service on the main trade routes will plan differently from an owner also deploying tonnage in the Caribbean or in the Africa trades. Smaller vessels will therefore continue to be sailing in future on many routes.”
Norman Zurke
Chief Executive, Association of Port of Hamburg Enterprises
“Within the foreseeable future, the Port of Hamburg will have to adapt itself to ship sizes involving capacities of about 22,000 TEU. Still larger vessels are certainly technically feasible, yet commercial and nautical aspects set narrow limits on a further upturn in ship size. With the ships now in service, the potentials for savings on transport costs are already largely exhausted. Further costs benefits through still larger ships may be possible to a minimal extent, yet these assume that they are fully loaded. Since only a handful of ports can handle vessels with more than 22,000 TEU, flexible deployment of such mega-carriers is no longer possible. We therefore assume that no further quantum leap in ship size will occur. Companies in the Port of Hamburg are currently engaged in gradually adapting their handling facilities to be capable of handling ships with a capacity of more than 20,000 TEU. If a start can be made on implementing the adjustment of the navigation channel on the Lower and Outer Elbe, the Port of Hamburg will be well positioned for the future.”
Olaf Fölsch
CEO, Junge & Co., insurance brokers
“The insurance aspect plays only a minor role in the development of ship size. Should ships grow larger, then the insurance business will adjust to the new requirements. So, even larger carriers will not fail because of that. Yet not everything that is doable, makes sense commercially. Maritime infrastructure simply cannot grow at the same pace. I’m just thinking here of the Panama Canal. This has recently been enlarged for several billion dollars, but is already too small for the largest containerships. The Straits of Malacca, for example, where at some places water depth is no more than 25 metres, also constitute a natural barrier. So I don’t believe that we shall see containerships with more than 25,000 TEU in the near future. If they are to make sense commercially, such enormous ships also need to be well loaded. If we ultimately have only a few ports in China, and perhaps even fewer in Europe, that can be only to some extent be served by fully-loaded vessels, that’s no good. Enormous capital would be committed, yet cannot be flexibly utilized. That would make for a tremendous and barely calculable risk.”
‘Port Tours 4.0’ enhancing reliable truck handling
No handling at the terminal without a slot: A new procedure is transforming container transport in the Port of Hamburg. How are truckers and terminal operatives coping with the new software? Here’s an interim report.
For the fifteenth time today Samir Dedic, driver with a trucking company, has driven across the Köhlbrand Bridge in Hamburg. His job is to position containers. Several times per shift, the Bosnian, 32, thunders along aboard his tractor & trailer to one of the Port of Hamburg’s massive container terminals. On every tour he receives a container, takes it to the customer and waits for the big steel box to be emptied. “Then back to the terminal,” says Dedic. Beside him lies his co-driver: A cellphone. This buzzes busily on the passenger seat throughout the trip. Yet what he’s receiving are not personal messages but job-relevant details fed to him by app. Which warehouse is the box’s destination? When can he pick up the next one? What time will the one after that be ready? In the Port of Hamburg, all the answers are meanwhile supplied digitally, the newest IT project being the Slot Booking Procedure (SBV).
Simpler planning
HHLA’s ‘Fuhre 4.0’ port tours project was conceived in 2011 to make port container handling faster and more efficient and to enable truckers like Dedic to do as many tours as possible. Since November 2016, advance notification of a container transport run has been obligatory at all container terminals in Hamburg. Since November 2017, only trucks allocated a valid slot have been handled. Under SBV, trucker and terminal agree in advance on a time window during which the container is delivered or collected. “Previously the motto was ‘First truck there, first served,’”
Transport peaks triggered by mega-ship calls in the Port of Hamburg
EXEMPLARY PEAK PERIODS TAKING THE EXAMPLE OF A 20,000 TEU VESSEL
Handling 14,500 TEU
These are theoretical values. In reality the number of means of transport will be considerably higher.
PREVIOUSLY THE FIRST TRUCK AT THE GATE WAS HANDLED FIRST. NOW SLOTS ARE ALLOCATED BY MOVEMENTS CLERKS
says Marijo Pavlovic, Operations Manager for the transport/trucking company Container-Transport-Dienst (CTD). “Now slots are arranged by a movements clerk at our Reherdamm head office.”
**REDUCING BOTTLENECKS**
The core element in SBV is the TR02 data interface between terminal and trucker. Via various software solutions, the driver can use an app or his movements clerk to notify a planned tour. These provide all the essential data in advance. The terminal checks whether any details are missing and whether handling is possible at all with the data already communicated. Finally, via EDI (Electronic Data Interchange) the trucker receives a reliable response on his cellphone: if the container and booking numbers are correct, he is given the green light and a six-digit tour planning number – and the slot he should use to bring or collect his container.
Advance notification of data has made the process faster and more efficient. “It was by no means clear before, what data the trucker would arrive with,” says Jüll Bödicke, head of the container office at Container Terminal Tollerort (CTT). “Everything had to be recorded manually. That often involved waiting time,” reports this logistics expert.
SBV also offers a bonus by simplifying planning. For example, peak transport loads during mega-ship calls involving up to 14,500 moves – containers for discharge or loading – can be better spread over the day. “That is a tremendous advance on the previous procedure,” says Pavlovic. “We can now decide at short notice and on the basis of the actual situation which tour the driver can be used for, and notify him via push message,” adds Pavlovic.
One basic rule is that a slot comprise 60 minutes, for example from 10:00 to 11:00. However, 30 minutes are added immediately before and after this, or between 19:00 and 06:00, even 90 minutes. That adds up to either two or four hours. If a trucker cannot keep a slot, he is automatically sent an updated confirmation. The fixed time windows can be booked in advance of arrival, up to three days and a minimum of four hours in advance. Also acceptable are swaps, additional bookings, cancellations and re-bookings.
**FASTER CLEARANCE**
For some weeks SBV has been operative at all three HHLA container terminals as well as at Eurogate – and the first interim reaction is positive. “All those involved had prepared for this well. On the other hand, all of us together are in a learning phase, while the new system is settling down,”
admits Bernd Mau, Program Manager with HHLA’s HPC consultancy subsidiary. “We have received numerous constructive comments and are checking these to further improve slot booking in operation. One essential for the system is that slot utilization becomes more dependable,” says Mau.
So far, more slots have obviously been booked than were required. That has caused blockage of clearance capacities, preventing their use by other truckers. Improvement is needed on this. Mau therefore needs the earliest and most reliable possible bookings from truckers. If they observe the code of behaviour (see box), that will help all those involved.
Drivers are not out on their own here: “We monitor the system continuously, talk to some selected users and if required, will resort to suitable measures to ensure correct usage,” stresses Ingo Witte, Managing Director of Container Terminal Altenwerder (CTA) and responsible at HHLA for the introduction of slot booking.
TR02 and SBV enable truckers to avoid wasted tours, and terminal operators to plan better. Similar systems to coordinate clearance are in use at other major container ports such as Antwerp and New York. Digital solutions of this kind are simplifying the complex logistics process there. Trucker Samir Dedic confirms this: “The app is constantly running in the background and conveying relevant details to me. Previously I had to print out and present container and release numbers for each tour. Now everything runs on my cellphone, no paperwork required.” That saves time and money. And in the end both terminal operators and truckers profit.
**BOOKING DO’S AND DON’TS**
- **Be precise:** Book only for the container volumes that are really required for that day.
- **Be dutiful:** Only repeat advance bookings on the expiry of the time window, i.e., push these into the next vacant time window.
- **Keep to the plan:** Only book when a tour has been finally included in your plan.
- **Be punctual:** Book at least four hours in advance.
- **Be reliable:** Use all the slots booked—and avoid changing and cancelling bookings. But, if there’s no alternative: Do cancel and change bookings in good time.
Hamburg’s port and the container
The “American Lancer” berthed at HHLA’s Burchardkai on 31 May 1968. She was not the first cargo ship to reach the Port of Hamburg with containers on board – but the first container-only ship. That day is rightly seen as historic for Germany’s largest seaport. The container has more decisively shaped the Port of Hamburg ever since, overturning all previous technologies. It was the container that essentially led to Hamburg becoming a central world trade hub in the late Twentieth Century – and remaining one of the world’s top ports to this day.
Introduction of the standardized sea container was a new departure for sea transport and world trade generally as the arrival of 3D-printing is proving today for industrial production. Yet whereas the advantages of three-dimensional, computer-controlled manufacture are apparent immediately, in shipping and the port industry the container met massive rejection, even in Germany, even in Hamburg. US forwarder Malcolm McLean had brought the first containership into service in 1956. In the USA, the system gradually became established by the mid-1960s. Yet scepticism persisted in shipping and port industries so widely hide-bound by tradition. Shipowners and ports operators feared gigantic bad investments in the transfer from traditional general cargo vessels to containerships. Dockers and their unions believed that the new steel box would do away with thousands of jobs. They, in particular, organized massive resistance to the container.
Two personalities contributed crucially to the introduction of the new transport system in the Port of Hamburg by the end of the 1960s. Helmut Kern, a member of the governing SPD and Hamburg Minister of Economics, later head of HHLA, persuaded the government that the port needed to be revamped for the container. As a start, he had Burchardkai re-equipped as a container terminal. He also played a vital part in attracting container liner services via Hamburg from international shipping companies. During years of negotiations, entrepreneur Kurt Eckelmann, for his part, doggedly persuaded the City of Hamburg to release the land essential for building Eurokai as Hamburg’s second big container terminal. This went up opposite Burchardkai in Waltershof docks. With its fleet of barges and range of marine services, the Eckelmann family business was one of the Port of Hamburg’s leading firms. At international conferences Eckelmann, who knew McLean, also contributed to standardization of container sizes. With Eurokai, he laid the foundation for Eurogate, now one of Europe’s leading container terminal operators.
Hamburg’s entry into the container business rapidly paid off. At the beginning of the 1980s, the port reached the landmark of one million container units (TEU) handled. The era of the general cargo vessel finally ended. Since the mid-1980s, museum ship ‘Cap San Diego’ at the St. Pauli Landing Stages has supplied the evidence. In 1990, the Port of Hamburg for the first time handled around two million TEUs. China’s return to the world economy since the 1980s and the fall of the Iron Curtain in 1989 made Hamburg the leading seaport for Central Europe.
Using state-of-the-art technology, political leaders and port businesses exploited the opportunities that new-style world trade offered their city. In 2002, HHLA’s Container Terminal Altenwerder (CTA) entered service, a facility that at the time was more extensively automated than any other container terminal in the world. In addition, HHLA expanded Tollerort to become Hamburg’s fourth container terminal. The Port Railway and the port’s IT systems were, and still are, being continuously upgraded, and inland links expanded. Despite all the rationalization and modernization of handling, thanks to new job categories the number of jobs continued to increase – around 150,000 people from the Hamburg Metropolitan Region now work in and with the port.
Containers now represent about two-thirds of the Port of Hamburg’s total throughput. The port depends a great deal on the steel box – as shown by the trend of the past ten years. Container throughput has meanwhile stagnated at under ten million TEU. There are many reasons for this. Political and economic factors have brought changes in world trade flows. That has recently particularly affected trade with China and Russia, the Port of Hamburg’s most important partner countries. In recent years, new terminals have been built on the North Sea at Wilhelmshaven and on the Baltic at Gdansk. Rotterdam and Antwerp also offer new facilities. That has caused surplus capacities and increasingly tough competition. After years of percentage growth in the 2000s, nowhere in Europe had the port industry reckoned on such a downturn in container transport growth rates. Another of the reasons is that anything that can be transported in boxes will already be found in them. The ‘containerization’ process is largely over now.
Yet container terminals require a great deal of space. Infrastructure renewal, which can take years, requires political far-sightedness and commercial flair – and ultimately, also luck. In the next few years, new terminals and possibly new industrial plants will be built in the central Steinwerder area of the Port of Hamburg. During the past decade an additional, fifth container terminal was initially envisaged. Owing to the crisis on world financial markets, plans for this were not implemented. That now provides Hamburg with scope for new planning measures, quite possibly for establishing liner services on European middle-distance trades here.
Development of the right infrastructure is also critical because of the rapid growth in containership size in recent years. Vessels can meanwhile reach lengths of up to 400 metres, breadths of 60 metres and maximum drafts of 16.5 metres. Although it has not yet been possible to implement the planned, ninth deepening and widening of the Elbe fairway, shipping companies are sending their largest containerships up the Elbe. These meanwhile have capacities of more than 21,000 TEU and can load twenty times as much as the ‘Cap San Diego’ once did. That illustrates the port’s attractiveness in the international transport chain. As the logic behind liner services dictates, these latest ships may call Hamburg, but never fully loaded. For steadily growing containerships, the Elbe must for nautical reasons once again be widened and deepened in places. After a long period of planning and arguments before the courts, construction work can presumably start at the end of this year. Adjustment of the Elbe will play its part in the Port of Hamburg remaining successful in global container transport over the next 50 years.
**THE AUTHOR**
Journalist and non-fiction writer Olaf Preuss, economics correspondent on ‘Die Welt’ and ‘Die Welt am Sonntag’ newspapers in Hamburg, has reported on the maritime sector for many years. His book ‘A Box Conquers the World – Eine Kiste erobert die Welt’ (German – 2007) told the story of the shipping container from the German viewpoint, while ‘Port of Hamburg – Hamburger Hafen’ (German – 2016) is a compact portrait of Germany’s largest seaport.
1956
US forwarder Malcolm McLean invents the standardized container as a practical transport box
1967
Prompted by Helmuth Kern, Hamburg Minister of Economics, the Hamburg government decides to expand Burchardkai into a container terminal. The port’s first container gantry cranes are erected there, initially lifting containers off multi-purpose vessels
1968
On 31 May 1968 the ‘American Lancer’ is the first fully cellular containership to call in the Port of Hamburg. The first container train had been handled at Burchardkai only a few weeks earlier, on 5 February
1966
At Hamburg’s Burchardkai the first containers are discharged, then still by conventional cranes. Containers are simply additional deck cargo and attract very little attention
1969
Eurokai Container Terminal, now Eurogate, enters service in Walterhofer docks
1970
The challenges of the dawning container era cause two long-established shipping companies to merge: HAPAG - Hamburg-American Line and NDL – North German Lloyd in Bremen. Head office of the new Hapag-Lloyd AG (HLAG) is in Hamburg
1971
Later known as van carriers, the first straddle carriers for transporting and stacking containers enter service on Burchardkai
1972
First fully cellular containerships on weekly service to and from Asia cleared at Burchardkai
1974
Completion of Köhlbrand Bridge and the new Elbe Tunnel, considerably improving accessibility of Hamburg’s container terminals
1977
Opening of Container Terminal Tollerort, now owned by Hamburger Hafen und Logistik AG (HHLA)
1982
HHLA opens a container terminal at O’Swaldkai, now a multi-purpose terminal for RoRo cargo and fruit logistics
1984
At 1.073 million TEU, the one-million mark for container throughput is passed for the first time
1990
German reunification means that Hamburg recovers its natural hinterland, achieving explosive throughput growth in the following years.
1996
HHLA acquires Container Terminal Tollerort.
1999
The last adjustment of the Elbe fairway so far is completed on 14 December. In the same year, merger of Eurokai and Bremer Lagerhaus-Gesellschaft container activities leads to the foundation of Eurogate.
2002
Inauguration of the automated Container Terminal Altenwerder. In the same year, Hamburg for the first time handles over 5 million TEU.
2004
HHLA starts to expand Burchardkai to a capacity of 5.2 million TEU
2013
First tandem container gantry cranes, for loading and discharging the world’s largest containerships, reach Hamburg
2017
‘MOL Triumph’ is the first containership with a capacity of over 20,000 TEU to call Hamburg
2014
Hamburg Vessel Coordination Centre (NTK) set up to optimize mega-vessel calls
2018
Over 186 million standard containers (TEU) handled via Hamburg since 1968
The crux with empty container logistics
Positioning and handling of empty containers costs container shipping about 25 billion euros a year. In a market typified by tough competition, one interesting field is in unlocking cost savings. What opportunities do the players have of being more efficient and commercially viable with their empty container management?
Estimates put the proportion of all containers transported empty at sea at around 20 percent. On land, this is considerably higher. One investigation by Hamburg-based CML – Fraunhofer Centre for Maritime Logistics and Services – mentions 35 million empty box movements per year worldwide. These mainly arise from imbalanced trades. China, for example, exports considerably more than it imports and accordingly depends on a constant additional flow of container equipment.
A CML survey reports that almost 2.7 million empty container runs could be avoided. How? This is through online platforms, on which container shipping companies, container leasing companies, operators of empty box depots, container traders and forwarders can post supply and demand for empty containers, according to Fraunhofer CML.
xChange is a platform of this kind. It was launched in 2015 by BCG Boston Consulting Group and meanwhile trades independently from Hamburg as a separate company. Through xChange, participants can exchange details of supply and demand, make contact with each other, making free container equipment available to those interested, avoiding empty container runs. That saves money and reduces environmental pollution.
“Since we went online with xChange, an enormous increase has occurred in participant totals and transactions via our platform,” reports Christian Roeloffs, Managing Director of xChange. “We started with four or five carriers. Over 160 customers are now using the platform, and these include NVOCCs, traders, forwarders and leasing companies.”
xChange claims to be the only platform handling a global exchange of empty equipment, i.e. also covering sea transport. Other providers such as Avantida, Matchback Systems or Quick180 concentrate exclusively on specific national regions or continents such as Europe or the United States.
Thousands of transactions are handled via xChange every month. Growth is currently at 20 percent monthly. Roeloffs: “We are generating this upturn from our growth
in customer numbers. We are currently seeing between ten and 15 new ones every month.”
One of these clients is Hamburg-based iCON International Container Service. The company specializes in trading and leasing of sea containers, with about 20,000 TEU in circulation worldwide. “We have had very positive experience with xChange,” confirms CEO Achim Bunke. “The platform offers extensive access to suppliers and enquirers. Naturally we swapped experience with our partners beforehand. Through xChange, we are now coming into contact with companies that we never previously had on our radar, for example forwarders in China.”
Bunke tells of a project requiring iCON to transport 100 new containers from a plant in China to the customer in Chicago. Through xChange, a shipping line was found that had a quantity of cargo for Chicago. “That’s a win-win situation for all sides. We save ourselves dead-heading, and the carrier a costly movement of empty containers to Chicago. Such ‘one-way use’ helps a lot.”
Owing to the tremendous response, this empty container exchange is now being further developed technically. While at the start only supply and demand were displayed, the system now offers complete process backing. Opportunities exist for direct communication and contract management along with framework agreements. In addition, a ‘track & trace’ function enables users to monitor the location of their equipment.
Roeloffs is convinced that the platform still offers great potential. According to him, container shipping lines, especially, are still highly sceptical. “We often hear the argument that what should be standing at the shipper’s is a box in shipping company colours and with its own distinct branding. With such an interchangeable business as transport services, that’s one of the few distinguishing characteristics.” Yet in this xChange manager’s experience, shippers and recipients alike don’t care at all which logo is visible on the container. Carrier’s fears of a competitor being boosted by having urgently required empty containers made available are far more substantial. In addition, an exchange of site details could facilitate conclusions about its own customer structure. “It’s understandable that both are undesirable,” says Roeloffs. “Yet we can counter this. Every customer can lay down in advance just who he will not either cooperate or exchange data with.” It remains to be seen whether price and competitive pressure will in the end lead to grasping this cost-saving potential.
Further details at: www.container-xchange.com
The forwarder and his inland waterway craft
Hamburg forwarder Konrad Zippel has already tried twice to establish a regular container service using inland waterway craft between Berlin and Hamburg. Twice the firm has failed, cost pressure being too heavy. Now Joint CEOs Axel Plass and Axel Kröger are making a third attempt.
Port of Hamburg Magazine (PoHM): One can imagine that you have a soft spot for inland waterway craft. What is behind your commitment to this area?
Axel Plass: We are increasingly reaching our capacity limits by road and rail. For us, the inland waterway craft is an ideal extension to capacity that we can readily incorporate in our services. On the Berlin-Hamburg/Hamburg-Berlin route, we could transport an additional 60 TEU per week. So we have never relaxed our focus on the inland waterway vessel.
PoHM: Despite everything, however, you have twice failed to set up an inland waterway container service. What were the reasons?
Plass: The operative processes most certainly worked. In both cases we foundered on the additional handling costs levied in the Port of Hamburg.
PoHM: Has the cost situation meanwhile improved? And how about further challenges?
Plass: We are in dialogue with Hamburg’s terminals to establish an appropriate business model for the inland waterway container service. Yet one essential for the successful opening of the service is that the inland waterway craft should suit the great majority of our customers as alternative cargo space, able to be handled at every terminal in the Port of Hamburg. Our customer structure is very fragmented. For only two to three customers, the use of the inland waterway
vessel would not pay off, as the operating costs are at a similar level to those for rail. So terminal handling needs to become routine. We are currently still negotiating on that. All other conditions are now met. We have already held binding discussions with Third parties and defined our cooperation with BEHALA in Berlin as our handling terminal. We are confident that the first inland waterway craft will commence service this summer.
**PoHM:** The big vessels naturally take precedence over the ‘tiddlers’ at container terminals in the Port of Hamburg. Is that a snag for you?
**Plaß:** The shift in ship sizes of recent years has changed the situation at Hamburg container terminals. Whereas quayside traffic is hectic at specific times, certain times of day and weekdays are less crowded. During such time windows, handling an inland waterway craft can certainly be of interest. There’s no question that we need to adapt ourselves to local circumstances. With the Hamburg Vessel Coordination Center (HVCC), inland waterway shipowners undoubtedly have a competent partner in support, who can ensure dependable rotation planning for inland waterway craft at the terminals and notify reasonable time windows for handling.
**PoHM:** How will you proceed in the coming weeks and months?
**Plaß:** When we have cleared all hurdles, we shall start initially with one inland waterway vessel and one round trip per week. We’d certainly have cargo for two or three vessels. For a start, though, we must aim to gain experience once again, and check whether our new service pays. At the moment we are assuming that the inland waterway service will link terminals in Berlin and Hamburg without any stopovers. Owing to the three seasons on the Elbe – high, low water and ice drift – we plan only on a quarterly basis, giving us the chance of adapting our schedule at short notice.
---
**Axel Plaß**
Joint CEO of forwarder Konrad Zippe!
Despite increasing digitalization, paper has a future. Shipping cartons and paper carriers, especially, are growth markets.
Hamburg is one of the largest transhipment centres worldwide for paper products. This demanding cargo only found its way in large volumes into containers in the 2000s. This development was considerably influenced by Hamburg-based forwarder Fr. Meyer’s Sohn, the world’s top paper logistics company.
“Paper is not patient, but extremely sensitive,” is the word from international logistics company Fr. Meyer’s Sohn, or FMS for short. “Transporting paper in containers truly makes sense,” says Marcus Pyroth, CEO Central Europe for FMS. “A small tear or cut, of the kind that can occur so quickly with conventional handling, ensures that a paper roll weighing tons is no longer usable at the printer’s.”
Yet boxes first came into play relatively late: On into the 2000s, the two highly specialized Celipap terminals in the Port of Hamburg were still handling large volumes of paper, mainly in the form of rolls from Scandinavia. “At the time we were the largest customer for these terminals,” recalls Pyroth, who has worked for FMS ever since his trainee days. “Back then, transport and handling of individual rolls was quite simply cheaper than using a container. Yet with the closure of these handling facilities, we had to re-organize our logistics chains.”
Thanks to the Port of Hamburg’s excellent equipment for handling even conventional cargo, a move to other terminals was perfectly feasible. “Since then, we have relied almost entirely on the container,” reports Markus Panhauser, COO for FMS. “And this brings advantages for all those involved, because now we can offer our customers complete, tailormade logistics services that go far beyond the traditional break-bulk shipments, which we naturally still offer. These range from LCL shipments, or part-loaded containers, to fully loaded container shipments, or FCLs, for which prefer to use intermodal services involving rail and/or inland waterway craft.”
In addition, FMS organizes pre- and post-carriage runs, conducts cargo checks, and provides stowage advice, customs clearance, on request also warehouse stock management, on the ‘Cruise control’ customer platform developed by FMS. Panhauser mentions one impressive example: “Previously we used to drop off breakbulk shipments of up to 5,000 tons in their yards for our consignees – printing works, for example. Naturally, they then had to expend a lot of effort and money on storing these. We can now supply such companies with precisely coordinated container shipments to meet their needs and just in time.”
Yet breakbulk business has not entirely died out for FMS, since most transport chains extend from Scandinavia via ports in the North Range to destinations in the European hinterland or overseas. Many paper products, for instance, are landed non-containerized on short-sea services in Kiel or Lübeck, re-stowed there in containers and sent on by land, mainly to Hamburg.
Having a port base on the Elbe, agree Panhauser and Pyroth, is a tremendous advantage for FMS’s paper business: “For us, the large number of container liner services, as well as the great intermodal opportunities, make Hamburg an ideal hub for onward transport,” stress both of them, adding: “A dash of local patriotism certainly contributes too.”
Transport of forestry products today accounts for around 75 percent of FMS’s business, and the bulk of that share means paper. Cellulose, forestry products such as sawn timber, logs or waste paper also feature. “With around 15 million tons of forestry products per year, we are the largest player worldwide in this business,” emphasizes Marcus Pyroth, producing some more data and facts. The company has 725 staff at over 50 sites in more than 20 countries, generating annual turnover of around 750 million euros. In Europe as a whole, that makes FMS one
“For us, the large number of container liner services, as well as the great inter-modal opportunities, make Hamburg an ideal hub for on-carriage.”
Hamburg-based consultants Intakt Transportberater devised a system for loading paper rolls into containers. “Despite all precautions in implementing them, many of the existing solutions still involve a serious risk of damage, not just for the goods, but also the containers,” says Pyroth. “When paper rolls have to be stacked diagonally and vertically, our ‘JuStIn’ system keeps them securely in place.” Reusable airbags and tension straps are used, precisely exploiting the load limits of the cargo and the containers. “With ‘JuStIn’, the risk when unloading containers at the consignee, often liable to cause damage, can be substantially reduced,” says a satisfied Pyroth. The airbags used can be deflated within seconds, so cargo discharge can start immediately. This sustainable system has been tested and certified by an independent testing institute during extensive trials, and is simple to handle. This guarantees a high and uniform safety level during transport.
Yet does paper logistics have any future at all in an increasingly digitalized world? “Yes, for sure!” says Panhauser. “Even if the emphases have shifted again, 2017 was an extremely successful year for the paper industry.” For instance, paper demand for the traditional newsprint field, or for printed newspapers and magazines, was again lower. However, the continuing strength of the mail order market boosted total volume owing to heavy demand for shipping cartons. Another strongly growing market is for the paper carrier bags that are increasingly displacing plastic ones for ecological reasons. Panhauser’s outspoken verdict: “Paper has a future!”
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2018 started with the merger of two sector veterans, MacAndrews and OPDR. French shipowners CMA CGM had announced the merger of the two specialists in European shortsea trades at the end of November. Head office of the new MacAndrews brand will be in the fine Hanseatic city of Hamburg.
The merger did not come as a surprise. London-based MacAndrews & Company Ltd has formed part of CMA CGM Group since 2002, while OPDR – Oldenburg-Portugiesische Dampfschiffs-Rhederei – was acquired over a decade later, in 2015. Even before the merger, a close partnership existed between the two shipowners, who were jointly offering liner services between Northern Europe and the Iberian peninsula. Amalgamating the two companies was the next logical step for CMA CGM Group, also serving to consolidate and advance its portfolio in Europe. The new company can unquestionably claim to have amassed experience. MacAndrews is the world’s oldest still surviving shipping company. Founded in 1770, it has ever since offered customers reliable transport services connecting markets in Great Britain, the Iberian peninsula and Poland. OPDR was founded back in 1882. The company has also been specializing in European shortsea and logistics services, mainly covering markets in Central and Northern Europe, Spain, Portugal and Morocco.
Knut Sander, Managing Partner of Munich-based international forwarder Robert Kukla, takes a very positive view of the merger: “A long, businesslike friendship links us with MacAndrews and OPDR. The
merger creates structures promising even greater success on the market, from which we as customers also profit.” This entrepreneur also sees the merger from another angle. Since 2015 he has been CEO of the ShortSeaShipping Inland Waterway Promotion Center (spcl). Expansion and promotion of shortsea traffic is something close to his heart. “By both road and rail, we are fighting a growing shortage of space. Driver shortage and infrastructural deficiencies will continue to plague the sector. Yet containers and shipping space are almost invariably available. So shortsea services are a splendid complement and alternative.”
The shortsea sector was still relatively unknown 15 years ago, widely seen among forwarders as a competitor rather than a partner. Partly thanks to spc’s untiring efforts, everything is now different. This is proved by statistics from the BGV – Federal Freight Transport Office. In 2016 freight volume handled on shortsea services reached 182.8 tons, a 1.3 percent advance on 2015. “Despite the difficult background of the world shipping crisis, structural changes and various economic/political developments, in 2017 shortsea services again gained ground,” stresses Sander. “I anticipate stable volume growth again in 2018.”
Reasons for this are quickly found. To meet ecological commitments, forwarders are now looking more and more to CO2-neutral means of transport. Additional strong arguments for waterborne transport are availability of shipping space, speed and rate stability. “There are naturally also some snags,” concedes Sander. “One problem is the tendency for ports to be hit by strikes, especially in Southern Europe.” That’s a challenge that shipowners and their clients happily don’t need to consider in Hamburg.
Hamburg is very well positioned in the shortsea sector, offering numerous weekly feeder and shortsea links with Scandinavia, Poland, Finland, Russia, the Baltic states, also to the United Kingdom, Ireland and Iceland, and the Mediterranean area too. The intriguing question is whether in future there will perhaps be a terminal combining all shortsea activities. Both suitable space and a comprehensive plan are available. Hamburg-based C. Steinweg (Süd-West Terminal) entered a draft plan for a shortsea terminal with a reefer-logistics warehouse in the Hamburg Port Authority (HPA) Competition for a future-oriented use of the Steinwerder-South area of the port – and this actually took second place.
Whether on Africa’s dusty roads, amid the picturesque Chinese landscape or in the colourful world of the Port of Hamburg – city and country landscapes are no longer conceivable without the familiar steel box. In recent decades the container has experienced a real boom – not confined to the transport sector.
The container’s success remains uninterrupted to this day. Since being invented in 1956, it has revolutionized world trade and powered the success of an entire industry. Achim Bunke is somebody who has grasped the unrestricted use of containers in the transport industry. Along with his business partner Zheng Gong, in 1998 he set up iCON International Container Service. The company specializes in trading and leasing sea containers. Among his customers are companies in trade and industry, including the transport business.
In developing and building special containers, iCON rapidly built up a second line of business. “Especially in the industrial field, containers are needed for meeting special requirements,” says Achim Bunke, Managing Partner of the Hamburg company. In this context, he’s happy to tell us about a major project: “To ensure power supply on Cuba, at the time we supplied around 800 specially modified containers to a renowned German plant constructor. These were fitted with diesel engines.” The box’s contribution towards the ‘revolución energetica’ or ‘energy revolution’ can still be admired today on the reverse-side of a ten-peso banknote. “Containers have for some time no longer been used solely for traditional freight transport. We support numerous exciting projects, with these steel boxes deployed as noise barriers in the building industry, as transformer sheds in solar parks, or for post-catastrophe drinking water treatment plants.”
“As before, the great majority of containers that we have in circulation are used for transport and storage purposes,” adds Wulf Aufgebauer, General Manager for iCON. “Customers value us as reliable and service-oriented partners. In addition, we gain points with an immense product portfolio plus the permanent availability of numerous very different containers in Europe and the Americas.” With intense competition on the market, such factors are crucial. Barely a single product, after all, is
MOST ICON CONTAINERS ARE USED BY TRADE, INDUSTRY AND THE TRANSPORT SECTOR, BUT THEY ALSO HAVE THEIR UNUSUAL USES, FOR EXAMPLE IN THIS CASE AS A MOBILE PLAYGROUND
more normed and more interchangeable than a container.”
The steel box has hardly changed at all since the first container was built. The first containers were still made of aluminium, clad inside with wood waist-high, and with none of the typical corrugation of the walls. In the 1970s production switched completely to steel, and the design gradually modified, permitting optimization of the box’s unladen weight and stability. “The container is now a mature product. Nevertheless, new ideas and attempts to revolutionize the container are repeatedly coming up,” says Bunke.
In recent years there have been intriguing schemes for a great variety of container innovations. Many of these aim to reduce transport of empty boxes. The Tworty Box, for instance, consists of a special 20-ft container that can be added to another Tworty Box to form a fully functional 40-ft container offering uninterrupted interior space. Holland Container Innovations has pursued another idea. With the AFOLD, it has developed a folding 40-ft high cube container that can be shrunk into a quarter of its original volume. “In practice, as a rule these container innovations do not gain acceptance, with the disadvantages, for example of higher maintenance and repair costs, proving decisive,” says the Managing Director.
Even after 20 years, Achim Bunke remains as fascinated as ever by containers. Over and over again, he’s surprised by the host of possibilities for using them – a container can be virtually anything. A box is what you make it. Just recently an order from Stuttgart playground builders KuKuk Box demonstrated this. The company rebuilds containers as mobile and imaginative playgrounds. Yet this idea was born of an emergency. KuKuk Box was commissioned to build a playground in a crisis area in Nepal. The material for this was delivered in a container. Yet return transport of the box would have driven costs above plan and so on the spur of the moment it was integrated into the play equipment. The outcome was so persuasive that KuKuk Box then further developed and perfected the idea. And the scheme gained acceptance. These container playgrounds have now been erected in numerous European cities. “Orders from playground builders KuKuk Box are close to the hearts of the whole team and are a joy for us every time,” agree the two container professionals.
Happy Birthday IRISL
It is not only Hamburg, with the container, that has every reason to welcome a 50th anniversary in 2018. The Iranian state shipping company IRISL also celebrates its 50th birthday this year. Germany is traditionally Iran’s largest Western trading partner, and the Port of Hamburg plays a key role in relations between the two countries. For generations, close and friendly connections have existed in Hamburg with Iranian companies and organizations. Even the trade sanctions between 2009 and 2016 were unable to sever the tight bond. After relaxation of sanctions, IRISL inaugurated the ECL Europe Container Line service between Hamburg and the Persian Gulf in March 2016. Berthing at Eurogate, the ‘Azargoun’ (photo) was the first Iranian containership to call in the Port of Hamburg for ten years. A multi-purpose service followed just a month later, handled as previously by Hamburg liner agency Peter W. Lampke at C. Steineweg’s Süd-West Terminal. The volume of Iranian cargo in Hamburg has since climbed steeply again. Container volume rose from 600 to over 11,700 TEU in 2016, and indeed to over 16,000 TEU in the first three quarters of 2017.
CMA CGM CHOOSES LNG FOR ITS MEGA-CONTAINER-SHIPS
French shipowner CMA CGM has ordered nine new mega-containerships. Each of these will be capable of loading up to 22,000 TEU, a total unmatched by any previous containerships. The company’s present flagship, the ‘CMA CGM Bougainville’ (photo), transports around 18,000 TEU. Currently seen as the world record holders are OOCL newbuilds such as the 21,413-TEU ‘OOCL Hong Kong’. This order for new-builds is therefore of itself worth reporting. Yet what’s special is that the new ships will be run with Liquefied Natural Gas (LNG). That makes CMA CGM the first container liner shipping company to have its ships equipped with this environmentally friendly propulsion technology. So far the pioneering role has been played by cruise-ship operators. To operate a vessel with LNG improves her ecological footprint by at least 20 percent. Hamburg Port Authority also welcomes and promotes the environment-friendly fuel with concessions on port dues.
WITH PORT SCOUTS ON A DISCOVERY TOUR
What really goes on in port terminals? How does the interior of a container look? And what sort of things can be carried by ship? Port Scouts know the answers. Backing the project are Hamburg Port Museum, Hamburg Teacher Training & School Development Institute and Hamburger Hafen und Logistik AG (HHLA). The scheme gives fourth-grade Hamburg schoolchildren the opportunity of gaining an insight into the port. In the Port Museum they can readily experience just how work in the Port of Hamburg used to look and how it does today. One highlight is a container specially fitted out for the Scouts. This features cargo and meanwhile everyday items that first reach us in containers. The box graphically demonstrates where our track shoes, jeans, tea, bananas and much else originate. The trip continues to the automated HHLA Container Terminal Altenwerder. Here the youngsters gain a close-up view of how containers and mega-carriers are handled. This is truly a special day out for them, punctuated continuously by gasps of astonishment.
‘Home Sweet Home’ in a container
Cities lure crowds of people, yet living space is growing scarce and in many places, impossible to afford. One new trend in conurbations is towards ‘Tiny Houses’, frequently offering no more than 15 square metres of space. That can mean living in a container. Thinking initially of crude building-site containers or the like, these may sound uninviting. Yet containers as mini-dwellings have something to offer. A used 40-ft container costs about 2,000 euros, offers 26 square metres of living space and ample scope for creativity. Container houses are robust, sustainable, comparatively low-cost and rapidly erected. They save space. In Berlin, for example, containers have been used to provide a student hostel under project EBA 51. The stacked boxes offer small apartments with sleeping and living areas, kitchenettes and bathrooms, or everything necessary for living.
Anniversary Year 2018: Plenty Happening on the Elbe!
Plenty will be going on along the Elbe to mark the 50th anniversary of container handling in the Port of Hamburg. Numerous events and several broadcasting channels will be suitably celebrating this. For instance, we shall be highlighting container handling at this year’s Port Birthday. Between 10 and 13 May, Port of Hamburg Marketing will join member companies in presenting the host of career opportunities in and around the port. Venue: Sandtorkai, near Wilhelminenbrücke. Also there, displays and films will illustrate the thrilling progress of containerization in the Port of Hamburg. Without it, today’s world trade would be inconceivable. Containers are also a top feature of our popular harbour tours. Seven port companies will once again be opening their premises during this year’s Port Birthday, proving interested visitors with exclusive glimpses behind the scenes of Germany’s Gateway to the World.
For full details of the Port Birthday programme:
www.hamburg.de/hafengeburtstag-english
Containers on the World Wide Web
Over the past 50 years, the container has fundamentally changed the Port of Hamburg and much else, revolutionizing world trade and laying the foundation for globalization. The container has influenced the life of every one of us. Against the background of this year’s anniversary, a new website offers a view of the Hamburg Container Story. Included here are exciting box-related stories, historic and current film and photo material, spectacular statistics and details of the ongoing anniversary programme.
The Hamburg Container Story at www.hamburg-container.com
Or visit us on Hamburg Container Port’s new Instagram channel. This says it all about containerships, terminals, the port story, and naturally the workers who literally every day shift the world anew.
Hamburg as container port on Instagram:
instagram.com/containerhafenhamburg
Credits
Port of Hamburg Magazine is a Port of Hamburg Marketing publication
Published by: Port of Hamburg Marketing ■ Editorial supervision issue March 2018: Bengt van Beuningen, Julia Delfs, Annette Kieger, Hafen Hamburg Marketing e. V., Behrend Oldenburg, BONUM ■ Production issue March 2018: ELBREKLAME Marketing und Kommunikation EMK GmbH, Carl-Petersen-Straße 76, 20535 Hamburg, www.elbreklame.de ■ Layout issue March 2018: Jan Klaas Maehler, ELBREKLAME GmbH ■ Printers issue March 2018: Lehmann Offsetdruck GmbH ■ Advertising manager issue March 2018: Holger Grabsch, ELBREKLAME GmbH ■ English adaption issue March 2018: T + S Team
Signed articles do not necessarily reflect the editors’ views. No responsibility is accepted for unsolicited photographs or manuscripts received. Print circulation: 7,000 copies in German and 1,500 copies in English. An online version of the Magazine is available in our mediathek at www.hafen-hamburg.de/mediathek.
Please send details of any changes of address or requests for additional copies to us at:
Port of Hamburg Marketing, Tel.: +49 40 37709 0, E-Mail: [email protected]
www.hafen-hamburg.de www.portofhamburg.com
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LOGISTIKPLANUNG RUSCHE
Ganzheitliche und praxisorientierte Logistiklösungen für die Bereiche Lager, Produktion und Transport.
chemicals compliance consulting
Compliance für Stoffe, Anlagen und Prozesse entlang der chemischen Wertschöpfungskette – weltweit.
INGENIEURWERK GmbH & Co. OHG
Georg-Wilhelm-Straße 187
21107 Hamburg
Telefon: +49 (0)40 / 555 546-0
Internet: www.iw-hh.de
E-Mail: [email protected]
Der Port of Hamburg Connection Compass bietet einen Überblick über mehr als 100 Liniendienste, die Hamburg direkt mit Häfen in mehr als 100 Ländern auf sechs Kontinenten verbinden.
Neu an Bord: Über 2.000 angebotene Containerzugverbindungen sowie Binnenschiffsdienste ins Hinterland.
Weitere Informationen: hafen-hamburg.de/mediadaten
Anzeigenbuchungen: Tel. 040-25304771
[email protected]
|
a046ec60-4ca7-41a0-abf1-2cd20d0b0d79
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CC-MAIN-2024-38
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https://www.hafen-hamburg.de/site/assets/files/164745/hhm_pohh-magazin_1-18-engl-8.pdf
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2024-09-19T08:02:47+00:00
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CITY OF CARSON
ADOPTED OPERATING BUDGET
WORK GROUP SUMMARY – BY CATEGORY
FISCAL YEAR 2009/10
FUND: 01 General
WORK GROUP: 10 City Council
| CATEGORY | FY 2005/06 ACTUAL EXPENDITURES | FY 2006/07 ACTUAL EXPENDITURES | FY 2007/08 ACTUAL EXPENDITURES | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 EXPENDITURES THRU 6/30/09 | FY 2009/10 ADOPTED BUDGET |
|---------------------------------|--------------------------------|--------------------------------|--------------------------------|---------------------------|---------------------------|--------------------------------------|-------------------------------|
| Salaries and Benefits | $316,258 | $371,741 | $418,548 | $490,996 | $490,996 | $487,143 | $510,645 |
| Operations & Maintenance | 341,569 | 357,288 | 339,939 | 193,300 | 300,735 | 277,284 | 235,700 |
| Capital Outlay | 429,972 | 0 | 0 | 0 | 70,028 | 0 | 0 |
| Other Financing Uses | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| **Total Expenditures** | **$1,087,799** | **$729,029** | **$758,487** | **$684,296** | **$861,759** | **$764,427** | **$746,345** |
**WORK GROUP ACTIVITY**
The City Council is composed of the Mayor, the Mayor Pro Tem, and three Councilmembers. The Mayor serves a four year term while the Councilmembers are elected to alternating four year terms. The City Council is responsible for ensuring the delivery of the most responsive, efficient and cost-effective services possible to the citizens of Carson. In support of its legislative responsibilities, the City Council adopts appropriate ordinances, resolutions and procedures for the operations and financial affairs of the City and allocates available resources to provide necessary services, programs and activities.
| OBJECT CODE AND DESCRIPTION | FY 2005/06 ACTUAL | FY 2006/07 ACTUAL | FY 2007/08 ACTUAL | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 THR 06/30/09 EXPENDITURES | FY 2009/10 ADOPTED BUDGET |
|---------------------------|------------------|------------------|------------------|--------------------------|--------------------------|--------------------------------------|--------------------------|
| 5001 Council/Commissions | 69,426 | 78,782 | 105,409 | 105,410 | 105,410 | 105,489 | 105,410 |
| 5002 Regular | 100,018 | 134,216 | 138,755 | 185,814 | 185,814 | 181,393 | 189,526 |
| 5003 Overtime | 1,450 | 2,328 | 2,630 | 1,000 | 1,000 | 115 | 1,000 |
| 5004 Temporary/Part Time | 47,015 | 37,471 | 36,538 | 35,000 | 35,000 | 43,161 | 42,327 |
| 5501 Retirement | 40,153 | 52,158 | 54,872 | 61,627 | 61,627 | 62,691 | 62,636 |
| 5502 Medical & Associated Benefits | 24,927 | 30,251 | 33,034 | 76,307 | 76,307 | 38,145 | 56,060 |
| 5503 Dental Insurance | 3,763 | 4,117 | 6,329 | 8,091 | 8,091 | 6,930 | 8,091 |
| 5505 Group Life Insurance | 4,012 | 4,745 | 4,569 | 4,524 | 4,524 | 5,966 | 4,524 |
| 5508 Reimbursement | 975 | 1,300 | 1,425 | 1,600 | 1,600 | 1,600 | 1,600 |
| 5509 Vision Insurance | 334 | 394 | 389 | 290 | 290 | 510 | 290 |
| 5510 Medicare | 2,517 | 2,951 | 3,332 | 3,633 | 3,633 | 3,832 | 3,686 |
| 5512 Deferred Compensation Match | 877 | 681 | 722 | 1,200 | 1,200 | 4,037 | 1,200 |
| 5513 Unused Medical-Deferred Comp | 20,793 | 21,250 | 24,133 | 0 | 0 | 25,691 | 27,143 |
| 5516 Part Time Retirement | 0 | 1,096 | 6,410 | 6,500 | 6,500 | 7,583 | 7,152 |
**Salaries and Benefits**
| OBJECT CODE AND DESCRIPTION | FY 2005/06 ACTUAL | FY 2006/07 ACTUAL | FY 2007/08 ACTUAL | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 THR 06/30/09 EXPENDITURES | FY 2009/10 ADOPTED BUDGET |
|---------------------------|------------------|------------------|------------------|--------------------------|--------------------------|--------------------------------------|--------------------------|
| 6001 City Bus Use | 0 | 0 | 923 | 0 | 0 | 117 | 0 |
| 6003 Printing/Binding/Duplication | 2,254 | 0 | 82 | 0 | 0 | 2,824 | 1,000 |
| 6004 Professional Services | 8,605 | 8,550 | 11,799 | 2,500 | 2,500 | 406 | 2,500 |
| 6005 Contract Services | 30,543 | 85,502 | 51,000 | 0 | 97,500 | 90,086 | 0 |
| 6006 Membership Fees and Dues | 89,371 | 43,820 | 73,807 | 60,000 | 60,000 | 57,197 | 60,000 |
| 6008 Promotion & Publicity | 39,193 | 73,295 | 46,124 | 35,000 | 40,718 | 35,111 | 60,000 |
| 6009 Special Materials & Supplies | 4,613 | 9,080 | 6,268 | 2,500 | 2,500 | 8,668 | 5,500 |
| 6010 Office/Facilities Supp&Frnshng | 9,054 | 4,400 | 18,983 | 4,500 | 4,519 | 7,586 | 4,500 |
| 6011 Telephone | 5,877 | 4,758 | 7,178 | 5,000 | 5,000 | 2,438 | 5,000 |
| 6013 Auto Allowance/Mileage | 42,000 | 42,000 | 42,012 | 42,000 | 42,000 | 42,015 | 42,000 |
| 6014 Conference and Travel | 67,387 | 72,409 | 73,893 | 40,000 | 40,110 | 15,838 | 40,000 |
| 6015 Taxes, Licenses and Fees | 0 | 9,500 | 25 | 0 | 0 | 0 | 0 |
| 6017 Subscriptions & Publications | 1,026 | 1,242 | 2,611 | 1,000 | 1,000 | 2,916 | 3,000 |
| 6020 Comptr-Reltd LcnsE, Eqp, Acces | 648 | 1,013 | 0 | 300 | 300 | 0 | 0 |
| 6030 Other Insurance | 0 | 0 | 59 | 0 | 0 | 0 | 0 |
| 6053 Postage | 0 | 0 | (54) | 0 | 0 | (160) | 0 |
| 6097 Meetings/In-house trng/sem/wsh | 0 | 0 | 0 | 0 | 0 | 10,062 | 8,500 |
| 6098 Council Lobbying Efforts | 0 | 0 | 0 | 0 | 0 | 0 | 2,500 |
| 6154 Local Non-Profit Assistance Pr | 23,400 | 500 | (400) | 0 | 0 | 0 | 0 |
| 7003 Office & Equipment Maintenance | 394 | 394 | 95 | 500 | 500 | 673 | 200 |
| 7011 Property & Supplies Rental | 0 | 152 | 5,464 | 0 | 0 | 1,505 | 1,000 |
| 7013 Vehicle/Rolling Eqmnt Rental | 77 | 116 | 71 | 0 | 0 | 3 | 0 |
| 7038 Equipment Replacement Charges | 17,127 | 557 | 0 | 0 | 0 | 3,990 | 0 |
**Operation and Maintenance**
| OBJECT CODE AND DESCRIPTION | FY 2005/06 ACTUAL | FY 2006/07 ACTUAL | FY 2007/08 ACTUAL | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 THR 06/30/09 EXPENDITURES | FY 2009/10 ADOPTED BUDGET |
|---------------------------|------------------|------------------|------------------|--------------------------|--------------------------|--------------------------------------|--------------------------|
| 8006 Office Equipment | 429,972 | 0 | 0 | 0 | 70,028 | 0 | 0 |
**Capital Outlays**
| OBJECT CODE AND DESCRIPTION | FY 2005/06 ACTUAL | FY 2006/07 ACTUAL | FY 2007/08 ACTUAL | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 THR 06/30/09 EXPENDITURES | FY 2009/10 ADOPTED BUDGET |
|---------------------------|------------------|------------------|------------------|--------------------------|--------------------------|--------------------------------------|--------------------------|
| 429,972 | 0 | 0 | 0 | 70,028 | 0 | 0 | 0 |
| OBJECT CODE AND DESCRIPTION | FY 2005/06 | FY 2006/07 | FY 2007/08 | FY 2008/09 | FY 2008/09 | FY 2008/09 | FY 2009/10 |
|-----------------------------|------------|------------|------------|------------|------------|------------|------------|
| | ACTUAL | ACTUAL | ACTUAL | ADOPTED | AMENDED | EXPENDITURES | ADOPTED |
| TOTAL WK GP: 10 City Council | 1,087,799 | 729,029 | 758,487 | 684,296 | 861,759 | 764,427 | 746,345 |
| | THR 06/30/09 | BUDGET |
|-----------------------------|--------------|--------|
| | | |
| POSITION TITLE | FY 2006/07 ADOPTED POSITIONS | FY 2007/08 ADOPTED POSITIONS | FY 2008/09 ADOPTED POSITIONS | FY 2008/09 ADOPTED SALARIES | FY 2009/10 ADOPTED POSITIONS | FY 2009/10 ADOPTED SALARIES |
|--------------------------------------|------------------------------|------------------------------|------------------------------|-----------------------------|------------------------------|------------------------------|
| Council Field Representative * | 1.99 | 2 | 2 | 73,125 | 2 | 73,125 |
| Executive Assistant | 1 | 1 | 1 | 76,698 | 1 | 76,698 |
| Manager, Information Technology | 0 | 0.05 | 0 | 0 | 0 | 0 |
| Economic Devt. General Manager | 0 | 0.01 | 0 | 0 | 0 | 0 |
| Typist Clerk II | 0 | 1 | 1 | 35,991 | 1 | 39,703 |
| **TOTALS** | **2.99** | **4.06** | **4** | **185,814** | **4** | **189,526** |
Note:
* One position is unfunded
### SUMMARY OF SALARIES AND FRINGE BENEFITS
| | FY 2008/09 | FY 2009/10 |
|--------------------------|------------|------------|
| Council/Commissions | 105,410 | 105,410 |
| Regular | 185,814 | 189,526 |
| Overtime | 1,000 | 1,000 |
| Temporary Part-Time | 35,000 | 42,327 |
| Fringe Benefits | 163,772 | 172,382 |
| **TOTALS** | **490,996**| **510,645**|
| OBJECT CODE AND DESCRIPTION | FY 2005/06 ACTUAL | FY 2006/07 ACTUAL | FY 2007/08 ACTUAL | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 EXPENDITURES THR 06/30/09 | FY 2009/10 ADOPTED BUDGET |
|---------------------------|------------------|------------------|------------------|--------------------------|--------------------------|---------------------------------|--------------------------|
| 5001 Council/Commissions | 69,426 | 78,782 | 105,409 | 105,410 | 105,410 | 105,489 | 105,410 |
| 5002 Regular | 100,018 | 129,979 | 138,702 | 185,814 | 185,814 | 181,393 | 189,526 |
| 5003 Overtime | 1,450 | 2,247 | 2,630 | 1,000 | 1,000 | 115 | 1,000 |
| 5004 Temporary/Part Time | 47,015 | 37,457 | 36,538 | 35,000 | 35,000 | 43,161 | 42,327 |
| 5501 Retirement | 40,153 | 51,017 | 54,842 | 61,627 | 61,627 | 62,691 | 62,636 |
| 5502 Medical & Associated Benefits | 24,927 | 29,819 | 33,027 | 76,307 | 76,307 | 38,145 | 56,060 |
| 5503 Dental Insurance | 3,763 | 4,080 | 6,328 | 8,091 | 8,091 | 6,930 | 8,091 |
| 5505 Group Life Insurance | 4,012 | 4,728 | 4,568 | 4,524 | 4,524 | 5,966 | 4,524 |
| 5508 Reimbursement | 975 | 1,300 | 1,425 | 1,600 | 1,600 | 1,600 | 1,600 |
| 5509 Vision Insurance | 334 | 386 | 389 | 290 | 290 | 510 | 290 |
| 5510 Medicare | 2,517 | 2,906 | 3,332 | 3,633 | 3,633 | 3,832 | 3,686 |
| 5512 Deferred Compensation Match | 877 | 608 | 722 | 1,200 | 1,200 | 4,037 | 1,200 |
| 5513 Unused Medical-Deferred Comp | 20,793 | 21,250 | 24,133 | 0 | 0 | 25,691 | 27,143 |
| 5516 Part Time Retirement | 0 | 1,096 | 6,410 | 6,500 | 6,500 | 7,583 | 7,152 |
**Salaries and Benefits**
| OBJECT CODE AND DESCRIPTION | FY 2005/06 ACTUAL | FY 2006/07 ACTUAL | FY 2007/08 ACTUAL | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 EXPENDITURES THR 06/30/09 | FY 2009/10 ADOPTED BUDGET |
|---------------------------|------------------|------------------|------------------|--------------------------|--------------------------|---------------------------------|--------------------------|
| 6001 City Bus Use | 0 | 0 | 923 | 0 | 0 | 117 | 0 |
| 6003 Printing/Binding/Duplication | 2,254 | 0 | 82 | 0 | 0 | 2,824 | 1,000 |
| 6004 Professional Services | 8,605 | 8,550 | 11,799 | 2,500 | 2,500 | 406 | 2,500 |
| 6005 Contract Services | 30,543 | 85,502 | 51,000 | 0 | 97,500 | 90,086 | 0 |
| 6006 Membership Fees and Dues | 89,371 | 43,820 | 73,807 | 60,000 | 60,000 | 57,197 | 60,000 |
| 6008 Promotion & Publicity | 39,193 | 73,295 | 46,124 | 35,000 | 40,718 | 35,111 | 60,000 |
| 6009 Special Materials & Supplies | 4,613 | 9,080 | 6,268 | 2,500 | 2,598 | 8,668 | 5,500 |
| 6010 Office/Facilities Supp&Frnshng | 9,054 | 4,400 | 18,983 | 4,500 | 4,519 | 7,586 | 4,500 |
| 6011 Telephone | 5,877 | 4,758 | 7,178 | 5,000 | 5,000 | 2,438 | 5,000 |
| 6013 Auto Allowance/Mileage | 42,000 | 42,000 | 42,012 | 42,000 | 42,000 | 42,015 | 42,000 |
| 6014 Conference and Travel | 67,387 | 72,409 | 73,893 | 40,000 | 40,110 | 15,838 | 40,000 |
| 6015 Taxes, Licenses and Fees | 0 | 9,500 | 25 | 0 | 0 | 0 | 0 |
| 6017 Subscriptions & Publications | 1,026 | 1,242 | 2,611 | 1,000 | 1,000 | 2,916 | 3,000 |
| 6020 Compt-r-Reltd Lcnse, Eqp, Acces | 648 | 1,013 | 0 | 300 | 300 | 0 | 0 |
| 6030 Other Insurance | 0 | 0 | 59 | 0 | 0 | 0 | 0 |
| 6053 Postage | 0 | 0 | (54) | 0 | 0 | (160) | 0 |
| 6097 Meetings/In-house trng/sem/wsh | 0 | 0 | 0 | 0 | 0 | 10,062 | 8,500 |
| 6098 Council Lobbying Efforts | 0 | 0 | 0 | 0 | 0 | 0 | 2,500 |
| 6154 Local Non-Profit Assistance Pr | 23,400 | 500 | (400) | 0 | 0 | 0 | 0 |
| 7003 Office & Equipment Maintenance | 394 | 394 | 95 | 500 | 500 | 673 | 200 |
| 7011 Property & Supplies Rental | 0 | 152 | 5,464 | 0 | 0 | 1,505 | 1,000 |
| 7013 Vehicle/Rolling Equip Rental | 77 | 116 | 71 | 0 | 0 | 3 | 0 |
| 7038 Equipment Replacement Charges | 17,127 | 557 | 0 | 0 | 3,990 | 0 | 0 |
**Operation and Maintenance**
| OBJECT CODE AND DESCRIPTION | FY 2005/06 ACTUAL | FY 2006/07 ACTUAL | FY 2007/08 ACTUAL | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 EXPENDITURES THR 06/30/09 | FY 2009/10 ADOPTED BUDGET |
|---------------------------|------------------|------------------|------------------|--------------------------|--------------------------|---------------------------------|--------------------------|
| | 341,569 | 357,288 | 339,939 | 193,300 | 300,735 | 277,284 | 235,700 |
| OBJECT CODE AND DESCRIPTION | FY 2005/06 ACTUAL | FY 2006/07 ACTUAL | FY 2007/08 ACTUAL | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 EXPENDITURES THR 06/30/09 | FY 2009/10 ADOPTED BUDGET |
|-----------------------------|------------------|------------------|------------------|--------------------------|--------------------------|---------------------------------|--------------------------|
| 8006 Office Equipment | 429,972 | 0 | 0 | 0 | 70,028 | 0 | 0 |
| Capital Outlays | 429,972 | 0 | 0 | 0 | 70,028 | 0 | 0 |
| TOTAL PROG: 003 Operations | 1,087,799 | 722,942 | 758,394 | 684,296 | 861,759 | 764,427 | 746,345 |
| OBJECT CODE AND DESCRIPTION | FY 2005/06 | FY 2006/07 | FY 2007/08 | FY 2008/09 | FY 2008/09 | FY 2008/09 | FY 2009/10 |
|-----------------------------|------------|------------|------------|------------|------------|------------|------------|
| | ACTUAL | ACTUAL | ACTUAL | ADOPTED | AMENDED | EXPENDITURES | ADOPTED |
| TOTAL DIV: 000 Elected and Appntd | 1,087,799 | 722,942 | 758,394 | 684,296 | 861,759 | 764,427 | 746,345 |
10
| OBJECT CODE AND DESCRIPTION | FY 2005/06 | FY 2006/07 | FY 2007/08 | FY 2008/09 | FY 2008/09 | FY 2008/09 | FY 2009/10 |
|---------------------------------------------|------------|------------|------------|------------|------------|------------|------------|
| | ACTUAL | EXPENDITURES | EXPENDITURES | EXPENDITURES | ADOPTED | AMENDED | EXPENDITURES | THR 06/30/09 | ADOPTED |
| 5002 Regular | 0 | 4,237 | 54 | 0 | 0 | 0 | 0 |
| 5003 Overtime | 0 | 81 | 0 | 0 | 0 | 0 | 0 |
| 5004 Temporary/Part Time | 0 | 14 | 0 | 0 | 0 | 0 | 0 |
| 5501 Retirement | 0 | 1,141 | 30 | 0 | 0 | 0 | 0 |
| 5502 Medical & Associated Benefits | 0 | 433 | 8 | 0 | 0 | 0 | 0 |
| 5503 Dental Insurance | 0 | 38 | 1 | 0 | 0 | 0 | 0 |
| 5505 Group Life Insurance | 0 | 17 | 0 | 0 | 0 | 0 | 0 |
| 5509 Vision Insurance | 0 | 8 | 0 | 0 | 0 | 0 | 0 |
| 5510 Medicare | 0 | 45 | 1 | 0 | 0 | 0 | 0 |
| 5512 Deferred Compensation Match | 0 | 73 | 0 | 0 | 0 | 0 | 0 |
| Salaries and Benefits | 0 | 6,087 | 93 | 0 | 0 | 0 | 0 |
| TOTAL DIV: 005 Commssn/Brd/Cmmtt | 0 | 6,087 | 93 | 0 | 0 | 0 | 0 |
| OBJECT CODE AND DESCRIPTION | FY 2005/06 | FY 2006/07 | FY 2007/08 | FY 2008/09 | FY 2008/09 | FY 2008/09 | FY 2009/10 |
|---------------------------------------------|------------|------------|------------|------------|------------|------------|------------|
| | ACTUAL | ACTUAL | ACTUAL | ADOPTED | AMENDED | EXPENDITURES| ADOPTED |
| 5002 Regular | 0 | 232 | 0 | 0 | 0 | 0 | 0 |
| 5501 Retirement | 0 | 63 | 0 | 0 | 0 | 0 | 0 |
| 5502 Medical & Associated Benefits | 0 | 24 | 0 | 0 | 0 | 0 | 0 |
| 5503 Dental Insurance | 0 | 2 | 0 | 0 | 0 | 0 | 0 |
| 5505 Group Life Insurance | 0 | 1 | 0 | 0 | 0 | 0 | 0 |
| 5509 Vision Insurance | 0 | 1 | 0 | 0 | 0 | 0 | 0 |
| 5512 Deferred Compensation Match | 0 | 2 | 0 | 0 | 0 | 0 | 0 |
| Salaries and Benefits | 0 | 326 | 0 | 0 | 0 | 0 | 0 |
| TOTL PRG: 021 Infrmtn Tch Sbcmmtt | 0 | 326 | 0 | 0 | 0 | 0 | 0 |
| OBJECT CODE AND DESCRIPTION | FY 2005/06 ACTUAL | FY 2006/07 ACTUAL | FY 2007/08 ACTUAL | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 EXPENDITURES THR 06/30/09 | FY 2009/10 ADOPTED BUDGET |
|-----------------------------|------------------|------------------|------------------|--------------------------|--------------------------|---------------------------------|--------------------------|
| 5002 Regular | 0 | 832 | 0 | 0 | 0 | 0 | 0 |
| 5501 Retirement | 0 | 227 | 0 | 0 | 0 | 0 | 0 |
| 5502 Medical & Associated Benefits | 0 | 75 | 0 | 0 | 0 | 0 | 0 |
| 5503 Dental Insurance | 0 | 7 | 0 | 0 | 0 | 0 | 0 |
| 5505 Group Life Insurance | 0 | 4 | 0 | 0 | 0 | 0 | 0 |
| 5509 Vision Insurance | 0 | 1 | 0 | 0 | 0 | 0 | 0 |
| 5510 Medicare | 0 | 6 | 0 | 0 | 0 | 0 | 0 |
| 5512 Deferred Compensation Match | 0 | 9 | 0 | 0 | 0 | 0 | 0 |
| Salaries and Benefits | 0 | 1,162 | 0 | 0 | 0 | 0 | 0 |
| TOTAL PROG: 024 Policy Subcommitt | 0 | 1,162 | 0 | 0 | 0 | 0 | 0 |
| OBJECT CODE AND DESCRIPTION | FY 2005/06 | FY 2006/07 | FY 2007/08 | FY 2008/09 | FY 2008/09 | FY 2008/09 | FY 2009/10 |
|-----------------------------|------------|------------|------------|------------|------------|------------|------------|
| | ACTUAL | ACTUAL | ACTUAL | ADOPTED | AMENDED | EXPENDITURES | ADOPTED |
| 5002 Regular | 0 | 1,115 | 0 | 0 | 0 | 0 | 0 |
| 5003 Overtime | 0 | 81 | 0 | 0 | 0 | 0 | 0 |
| 5004 Temporary/Part Time | 0 | 14 | 0 | 0 | 0 | 0 | 0 |
| 5501 Retirement | 0 | 305 | 0 | 0 | 0 | 0 | 0 |
| 5502 Medical & Associated Benefits | 0 | 174 | 0 | 0 | 0 | 0 | 0 |
| 5503 Dental Insurance | 0 | 14 | 0 | 0 | 0 | 0 | 0 |
| 5505 Group Life Insurance | 0 | 3 | 0 | 0 | 0 | 0 | 0 |
| 5509 Vision Insurance | 0 | 2 | 0 | 0 | 0 | 0 | 0 |
| 5510 Medicare | 0 | 16 | 0 | 0 | 0 | 0 | 0 |
| 5512 Deferred Compensation Match | 0 | 11 | 0 | 0 | 0 | 0 | 0 |
| Salaries and Benefits | 0 | 1,736 | 0 | 0 | 0 | 0 | 0 |
| TTL PRG: 033 Cmmnty/Snr Ctr Sbcmm | 0 | 1,736 | 0 | 0 | 0 | 0 | 0 |
| OBJECT CODE AND DESCRIPTION | FY 2005/06 | FY 2006/07 | FY 2007/08 | FY 2008/09 | FY 2008/09 | FY 2008/09 | FY 2009/10 |
|---------------------------------------------|------------|------------|------------|------------|------------|------------|------------|
| | ACTUAL | ACTUAL | ACTUAL | ADOPTED | AMENDED | EXPENDITURES | ADOPTED |
| 5002 Regular | 0 | 1,024 | 54 | 0 | 0 | 0 | 0 |
| 5501 Retirement | 0 | 264 | 30 | 0 | 0 | 0 | 0 |
| 5502 Medical & Associated Benefits | 0 | 62 | 8 | 0 | 0 | 0 | 0 |
| 5503 Dental Insurance | 0 | 4 | 1 | 0 | 0 | 0 | 0 |
| 5505 Group Life Insurance | 0 | 4 | 0 | 0 | 0 | 0 | 0 |
| 5509 Vision Insurance | 0 | 1 | 0 | 0 | 0 | 0 | 0 |
| 5510 Medicare | 0 | 16 | 1 | 0 | 0 | 0 | 0 |
| 5512 Deferred Compensation Match | 0 | 46 | 0 | 0 | 0 | 0 | 0 |
| Salaries and Benefits | 0 | 1,420 | 93 | 0 | 0 | 0 | 0 |
| TOTAL PROG: 038 Restaurant Sbcmmtt | 0 | 1,420 | 93 | 0 | 0 | 0 | 0 |
| OBJECT CODE AND DESCRIPTION | FY 2005/06 | FY 2006/07 | FY 2007/08 | FY 2008/09 | FY 2008/09 | FY 2008/09 | FY 2009/10 |
|---------------------------------------------|------------|------------|------------|------------|------------|------------|------------|
| | ACTUAL | EXPENDITURS| EXPENDITURS| ADOPTED | AMENDED | EXPENDITURES| ADOPTED |
| 5002 Regular | 0 | 764 | 0 | 0 | 0 | 0 | 0 |
| 5501 Retirement | 0 | 209 | 0 | 0 | 0 | 0 | 0 |
| 5502 Medical & Associated Benefits | 0 | 73 | 0 | 0 | 0 | 0 | 0 |
| 5503 Dental Insurance | 0 | 8 | 0 | 0 | 0 | 0 | 0 |
| 5505 Group Life Insurance | 0 | 4 | 0 | 0 | 0 | 0 | 0 |
| 5509 Vision Insurance | 0 | 2 | 0 | 0 | 0 | 0 | 0 |
| 5510 Medicare | 0 | 5 | 0 | 0 | 0 | 0 | 0 |
| 5512 Deferred Compensation Match | 0 | 4 | 0 | 0 | 0 | 0 | 0 |
| Salaries and Benefits | 0 | 1,067 | 0 | 0 | 0 | 0 | 0 |
| TOTAL PROG: 039 Education Sbcmmtt | 0 | 1,067 | 0 | 0 | 0 | 0 | 0 |
| OBJECT CODE AND DESCRIPTION | FY 2005/06 ACTUAL | FY 2006/07 ACTUAL | FY 2007/08 ACTUAL | FY 2008/09 ADOPTED BUDGET | FY 2008/09 AMENDED BUDGET | FY 2008/09 EXPENDITURES THR 06/30/09 | FY 2009/10 ADOPTED BUDGET |
|-----------------------------|------------------|------------------|------------------|--------------------------|--------------------------|---------------------------------|--------------------------|
| 5002 Regular | 0 | 116 | 0 | 0 | 0 | 0 | 0 |
| 5501 Retirement | 0 | 32 | 0 | 0 | 0 | 0 | 0 |
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Investment Bodie Kane Marcus Mcgraw Hill Seventh Edition
Bodie, Kane, and Marcus' Investments sets the standard for graduate/MBA investments textbooks. It blends practical and theoretical coverage, while maintaining an appropriate rigor and a clear writing style. Its unifying theme is that security markets are nearly efficient, meaning that most securities are priced appropriately given their risk and return attributes. The text places greater emphasis on asset allocation and offers a much broader and deeper treatment of futures, options, and other derivative security markets than most investment texts. It is also the only graduate Investments text to offer an online homework management system, McGraw-Hill's Connect Finance. Bodie, Kane, and Marcus' Investments and Portfolio Management sets the standard for graduate/MBA investments textbooks. It blends practical and theoretical coverage, while maintaining an appropriate rigor and a clear writing style. Its unifying theme is that security markets are nearly efficient, meaning that most securities are priced appropriately given their risk and return attributes. The text places greater emphasis on asset allocation and offers a much broader and deeper treatment of futures, options, and other derivative security markets than most investment texts. It is also the only graduate Investments text to offer an online homework management system, McGraw-Hill's Connect Plus Finance.
The authors teach readers about the new rules of investing, which include investing with inflation-protected bonds, reaching retirement goals, and investing safely for college.
Bodie, Kane, and Marcus' INVESTMENTS is the leading textbook for the graduate/MBA investments market. It is recognized as the best blend of practical and theoretical coverage, while maintaining an appropriate rigor and clear writing style. Its unifying theme is that security markets are nearly efficient, meaning that most securities are usually priced appropriately given their risk and return attributes. The text places greater emphasis on asset allocation, and offers a much broader and deeper treatment of futures, options, and other derivative security markets than most investment texts.
This manual provides detailed solutions to the end-of-chapter problem sets.
Principles of Investments by Bodie, Drew, Basu, Kane and Marcus emphasises asset allocation while presenting the practical applications of investment theory. The authors concentrate on the intuition and insights that will be useful to students throughout their careers as new ideas and challenges emerge from the financial marketplace.It provides a good foundation to understand the
Investments sets the standard as a graduate (MBA) text intended primarily for courses in investment analysis. The guiding principle has been to present the material in a framework that is organized by a central core of consistent fundamental principles and will introduce students to major issues currently of concern to all investors. In an effort to link theory to practice, the authors make their approach consistent with that of the CFA Institute. Many features of this text make it consistent with and relevant to the CFA curriculum. The common unifying theme is that security markets are nearly efficient, meaning that most securities are priced appropriately given their risk and return attributes. Investments is also organized around several important themes: The central theme is the near-informational-efficiency of well-developed security markets and the general awareness that competitive markets do not offer "free lunches" to participants. A second theme is the risk–return trade-off. Also, this text places great emphasis on asset allocation. Finally, this text offers a broad and deep treatment of futures, options, and other derivative security markets.
basic types of securities and financial markets as well as how trading in those markets is conducted. The Portfolio Management section is discussed towards the end of the course and supported by a web-based portfolio simulation with a hypothetical $100,000 brokerage account to buy and sell stocks and mutual funds. Students get a chance to use real data found in the Wall Street Survivor simulation in conjunction with the chapters on investments. This site is powered by StockTrak, the leading provider of investment simulation services to the academic community.Principles of Investments includes increased attention to changes in market structure and trading technology. The theory is supported by a wide range of exercises, worksheets and problems. The integrated solutions for Bodie, Kane, and Marcus' Investments set the standard for graduate/MBA investments textbooks. The unifying theme is that security markets are nearly efficient, meaning that most securities are priced appropriately given their risk and return attributes. The content places greater emphasis on asset allocation and offers a much broader and deeper treatment of futures, options, and other derivative security markets than most investment texts. Connect is the only integrated learning system that empowers students by continuously adapting to deliver precisely what they need, when they need it, and how they need it, so that your class time is more engaging and effective.
The market leading Essentials of Investments, 7e by Bodie, Kane and Marcus is an undergraduate textbook on investment analysis, presenting the practical applications of investment theory to convey insights of practical value. The authors have eliminated unnecessary mathematical detail and concentrate on the intuition and insights that will be useful to practitioners throughout their careers as new ideas and challenges emerge from the financial marketplace. Essentials maintains the theme of asset allocation (authors discuss asset pricing and trading then apply these theories to portfolio planning in real-world securities markets that are governed by risk/return relationships).
"Investments, 8th edition, by Bodie, Kane, and Marcus keeps the best blend of practical and theoretical coverage while incorporating new and important topics in the world of investments. This text continues the tradition of an appropriate rigor and clear writing style for the MBA investments student. The unifying theme that security markets are nearly efficient, meaning that most securities are usually priced appropriately given their risk and return attributes, is continued in the 8th edition."--BOOK JACKET.
Perfect for kids parties, car journeys and icebreakers. Have fun with family and friends with this interactive game book, bursting with 200 funny scenarios, silly choices and challenging questions all about animals!
Pensions in the U.S. Economy is the fourth in a series on pensions from the National Bureau of Economic Research. For both economists and policymakers, this volume makes a valuable contribution to current research on pensions and the economics of the elderly. The contributors report on retirement saving of individuals and the saving that results from corporate funding of pension plans, and they examine particular aspects of the plans themselves from the employee's point of view. Steven F. Venti and David A. Wise offer a careful analysis of who contributes to IRAs and why. Benjamin M. Friedman and Mark Warshawsky look at the reasons more retirement saving is not used to purchase annuities. Personal saving through pension contribution is
Bookmark File PDF Investment Bodie Kane Marcus Mcgraw Hill Seventh Edition
discussed by B. Douglas Bernheim and John B. Shoven in the context of recent government and corporate pension funding changes. Michael J. Boskin and John B. Shoven analyze indicators of the economic well-being of the elderly, addressing the problem of why a large fraction of the elderly remain poor despite a general improvement in the economic status of the group as a whole. The relative merits of defined contribution versus defined benefit plans, with emphasis on the risk aspects of the two types of plans for the individual, are examined by Zvi Bodie, Alan J. Marcus, and Robert C. Merton. In the final paper, pension plans and worker turnover are the focus of the discussion by Edward P. Lazear and Robert L. Moore, who propose pension option value rather than the commonly used accrued pension wealth as a measure of pension value.
"The integrated solutions for Bodie, Kane, and Marcus' Investments set the standard for graduate/MBA investments textbooks. The unifying theme is that security markets are nearly efficient, meaning that most securities are priced appropriately given their risk and return attributes. The content places greater emphasis on asset allocation and offers a much broader and deeper treatment of futures, options, and other derivative security markets than most investment texts. Connect is the only integrated learning system that empowers students by continuously adapting to deliver precisely what they need, when they need it, and how they need it, so that your class time is more engaging and effective." --
The market leading undergraduate investments textbook, Essentials of Investments by Bodie, Kane, and Marcus, emphasizes asset allocation while presenting the practical applications of investment theory. The authors have eliminated unnecessary mathematical detail and concentrate on the intuition and insights that will be useful to practitioners throughout their careers as new ideas and challenges emerge from the financial marketplace. The Eleventh Edition includes increased attention to changes in market structure and trading technology, while continuing to be organized around one basic theme - that security markets are nearly efficient.
David G. Luenberger's Investment Science has become the dominant seller in Master of Finance programs, Senior or Masters level engineering, economics and statistics programs, as well as the programs in Financial Engineering. The author gives thorough yet highly accessible mathematical coverage of the fundamental topics of introductory investments: fixed-income securities, modern portfolio theory and capital asset pricing theory, derivatives (futures, options, and swaps), and innovations in optimal portfolio growth andvaluation of multi period risky investments. Throughout the text, Luenberger uses mathematics to present essential ideas about investments and their applications in business practice. The new edition is updated to include the significant advances in financial theory and practice. The text now includes two new chapters on Risk Measurement and Credit Risk and the expanded use of so-called real options, the characterization of volatility changes, and methods for incorporating suchbehavior in valuation. New exercise material and modifications to reflect the most recent financial changes have been made to nearly all chapters in this second edition.
For undergraduate Corporate Finance, MBA Finance course, and Financial Economics.This significant new finance text has a broader scope and greater emphasis on general principles than most other introductory finance texts, which typically focus exclusively on corporate finance. This text incorporates Corporate Finance, investments, and institutions. Acclaimed authors Bodie and Merton offer an approach balanced among the three pillars of finance--optimization over time, asset valuation, and risk management. The book encompasses all subfields of finance within a single unifying conceptual framework, and offers the big picture of resource allocation over time under conditions of uncertainty.
Financial market behavior and key trading strategies—illuminated by interviews with top hedge fund experts Efficiently Inefficient describes the key trading strategies used by hedge funds and demystifies the secret world of active investing. Leading financial economist Lasse Heje Pedersen combines the latest research with real-world examples to show how certain tactics make money—and why they sometimes don't. He explores equity strategies, macro strategies, and arbitrage strategies, and fundamental tools for portfolio choice, risk management, equity valuation, and yield curve trading. The book also features interviews with leading hedge fund managers: Lee Ainslie, Cliff Asness, Jim Chanos, Ken Griffin, David Harding, John Paulson, Myron Scholes, and George Soros. Efficiently Inefficient reveals how financial markets really work.
The integrated solutions for Bodie, Kane, and Marcus' Investments set the standard for graduate/MBA investments textbooks. The unifying theme is that security markets are nearly efficient, meaning that most securities are priced appropriately given their risk and return attributes. The content places greater emphasis on asset allocation and offers a much broader and deeper treatment of futures, options, and other derivative security markets than most investment texts. Available as a separate purchase, McGraw-Hill's adaptive learning component, LearnSmart, provides assignable modules that help students master chapter core concepts and come to class more prepared. In addition, resources within Connect help students solve financial problems and apply what they've learned. Bodie Investments' blend of practical and theoretical coverage combines with a complete digital solution to help your students achieve higher outcomes in the course. Connect is the only integrated learning system that empowers students by continuously adapting to deliver precisely what they need, when they need it, and how they need it, so that your class time is more engaging and effective.
The market leading undergraduate investments textbook, Essentials of Investments, 8e by Bodie, Kane and Marcus, emphasizes asset allocation while presenting the practical applications of investment theory. The authors have eliminated unnecessary mathematical detail and concentrate on the intuition and insights that will be useful to practitioners throughout their careers as new ideas and challenges emerge from the financial marketplace. The eighth edition has been fully updated to reflect the recent financial crisis and includes a new chapter on Hedge Funds.
In the past several decades, pension plans have become one of the most significant institutional influences on labor and financial markets in the U.S. In an effort to understand the economic effects of this growth, the National Bureau of Economic Research embarked on a major research project in 1980. Issues in Pension Economics, the third in a series of four projected volumes to result from thsi study, covers a broad range of pension issues and utilizes new and richer data sources than have been previously available. The papers in this volume cover such issues as the interaction of pensionfunding decisions and corporate finances; the role of pensions in providing adequate and secure retirement income, including the integration of pension plans with social security and significant drops in the U.S. saving rate; and the
incentive effects of pension plans on labor market behavior and the implications of plans on labor market behavior and the implications of plans for different demographic groups. Issues in Pension Economics offers important empirical studies and makes valuable theoretical contributions to current thinking in an area that will most likely continue to be a source of controversy and debate for some time to come. The volume should prove useful to academics and policymakers, as well as to members of the business and labor communities.
Revised by Fiona Chou, University of California San Diego, and Matthew Will, University of Indianapolis, this manual provides detailed solutions to the end-of-chapter problems. There is consistency between the solution approaches in the examples featured within the text and those presented in the manual.
The integrated solutions for Bodie, Kane, and Marcus' Investments set the standard for graduate/MBA investments textbooks. The unifying theme is that security markets are nearly efficient, meaning that most securities are priced appropriately given their risk and return attributes. The content places greater emphasis on asset allocation and offers a much broader and deeper treatment of futures, options, and other derivative security markets than most investment texts. Bodie Investments' blend of practical and theoretical coverage combines with a complete digital solution to help your students achieve higher outcomes in the course.
The integrated solutions for Bodie, Kane, and Marcus' Investments set the standard for graduate/MBA investments way individuals save and invest. Too often, households are drawn in by promotional suggestions masquerading as impartial investment advice. Consumers get saddled with more risk than they realize. Authors Zvi Bodie and Rachelle Taqqu understand the dilemma that today's investors face, and with Risk Less and Prosper they will help you find your financial footing. Written in an accessible style, this practical guide skillfully explains why personal investing is all about you—your goals, your values and your career path. It shows how to understand investment risk and choose the particular blend of risk and safety that is right for you. And it lays out several simple yet powerful ways for small investors to cast a
textbooks. The unifying theme is that security markets are nearly efficient, meaning that most securities are priced appropriately given their risk and return attributes. The content places greater emphasis on asset allocation and offers a much broader and deeper treatment of futures, options, and other derivative security markets than most investment texts. McGraw-Hill's adaptive learning component, LearnSmart, provides assignable modules that help students master chapter core concepts and come to class more prepared. In addition, resources within Connect help students solve financial problems and apply what they've learned. Bodie Investments' blend of practical and theoretical coverage combines with a complete digital solution to help your students achieve higher outcomes in the course. A practical guide to getting personal investing right Somewhere along the way, something has gone very wrong with the
Copyright : www.treca.org reliable safety net to achieve their financial goals and truly prosper. Coauthors Bodie and Taqqu challenge the myth that all investments require risk, then highlight some important risks that families often disregard when deciding where to put their money. Later, they connect the dots between investment and investor, showing us all how to grasp our own investment risk profiles and how we may use these insights to make more fitting investment choices. Outlines a straightforward way to invest by aligning your investments with your goals and the risk levels you can bear Provides basic investment abc's for readers who are otherwise literate Lays out a simple, actionable plan for achieving your goals Explains the role of risk-free assets and investment insurance in assuring that you reach your most essential goals Contrary to popular belief, investing doesn't have to be complicated. You can build wealth without taking great risks. Risk Less and Prosper will show you how to make investment decisions that will make your financial life less stressful and more profitable.
This textbook places greater emphasis on asset allocation, and offers a much broader and deeper treatment of futures, options, and other derivative security markets than most investment texts.
The market leading undergraduate investments textbook, Essentials of Investments by Bodie, Kane, and Marcus, emphasizes asset allocation while presenting the practical applications of investment theory. The authors have eliminated unnecessary mathematical detail and concentrate on the intuition and insights that will be useful to practitioners throughout their careers as new ideas and challenges emerge from the financial marketplace. The Tenth Edition includes increased attention to changes in market structure and trading technology, while continuing to be organized around one basic theme - that security markets are nearly efficient.
Essentials of InvestmentsMcGraw-Hill Education
"Essentials of Investments, Twelfth Edition, is intended as a textbook on investment analysis most applicable for a student's first course in investments. The chapters are written in a modular format to give instructors the flexibility to either omit certain chapters or rearrange their order. The highlights in the margins describe updates and important features in this edition"--
Offers a practical and theoretical coverage of investments market. This book places emphasis on asset allocation, and offers a treatment of futures, options, and other derivative security markets.
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Council to Vote Tuesday on Proposal For Referendum for Three-Yr. Terms
By PAUL J. PEYTON
Staff Writer, The Westfield Leader
In what is likely to be a party-line vote at the Tuesday, August 10 Town Council meeting, governing body members will consider a proposal to put a non-binding referendum before voters in November to extend Council terms from two-to-three years.
Westfield’s current form of government is based upon the Municipal Charter law established in 1967 by the State Legislature. In order to change the form of government, the Mayor-Town Council setup, the town must petition the Legislature to amend Westfield’s Charter.
The first action occurred in 1960, when voters elected members to a Special Charter Study Committee. Their report was issued in June of 1961, suggesting a change in government. That act, known as Charter Act Plan F, was defeated by a 3-2 vote in 1961.
In 1968, the Council framed out special charter legislation. The Special Charter Legislation which is known as Chapter 195 of the Laws of 1967. Voters subsequently approved a referendum this November.
The proposed resolution for three-year terms, which was initiated by Mayor Thomas C. Jardim, must be acted upon next week in order for a referendum to appear on the November’s election ballot.
Democrats on the council had originally proposed a change from two-year to four-year terms, including the mayor.
Republican Third Ward Councilman Neil F. Sullivan, Jr. said he believes the issue is “more about politics than policy.”
Mayor Jardim said his proposal was in response to a letter from Westfield Town Republican Committee Chairman Robert Cockren, published in The Westfield Leader, which was critical of four-year terms due to the fact that elections would be held every other year and not every four years.
In his letter, Mr. Cockren indicated that there are years when “national and state Democratic parties and soft money contributions are at their peak” and that “it hurts the Democrats’ chances of ‘taking control of Westfield’s government.’”
Mayor Jardim said that the three-year approach would result in elections being held in both odd and even numbered years.
Mr. Cockren told The Westfield Leader, however, that the parking issues dealt with at the meeting were not resolved during the meeting and the group probably will not be able to hear from the Planning Board until the fall. The group’s proposal was scheduled to be heard during the Planning Board meeting on August 2, but, due to a length subdivision application, there was no time to address the matter.
Mr. McCutcheon told The Westfield Leader that, while the parking issues dealt with at the meeting were not resolved during the meeting and the group probably will not be able to hear from the Planning Board until the fall. The group’s proposal was scheduled to be heard during the Planning Board meeting on August 2, but, due to a length subdivision application, there was no time to address the matter.
Mr. McCutcheon said that the former Elm Delicatessen is being classified as a restaurant, as a retail space, which requires fewer parking spaces than a restaurant does. Because of the classification, the proposed café has to provide more spaces than the former Elm Delicatessen, which did have some tables and full-service kitchen, were viewed as a restaurant.
The entire building at 37 and 39 Elm Street is being required to provide 40 parking spaces. If the café is required to provide or account for.
Meanwhile, Mr. Mortarulo has been paying rent to the owner of the building, Joe Goldman of Oakland, without receiving any income from the restaurant, Mr. McCutcheon pointed out.
Plans for the café have been approved by the town’s Architectural Review Board, but the Planning Board must consider the application because of an ordinance that requires new restaurants to pay known businesses to account for where employees and patrons will park.
Mr. McCutcheon said that plans call for removing the wall between the two former Elm Street businesses to make room for a café-style eatery that will serve Continental cuisine.
Mr. Mortarulo said the café will be open weekends for breakfast and lunch and will serve dinner during. Several times a week, the restaurant may feature the cooking of a New York chef.
The Fenwick Group LLC of Princeton has applied to the Planning Board to open a Panera Bread Co. franchise in the former Auster’s appliance store at 143 East Broad Street. The group was having to account for 64 parking spaces.
The franchise will sell fresh baked goods and coffee beverages and will also sell sandwiches, salads and soups for take-out or to eat on the premises.
The Fenwick Group LLC has the development and management rights to open 40 such franchises in northern and central New Jersey. The first
CONTINUED ON PAGE 5
Governor Issues Drought Warning as Rainfall Hits 35-Yr. Low In Local Area; Water Restrictions Could Come by September
By DEBORAH MADISON
Staff Writer, The Westfield Leader
“I haven’t seen heat waves and I have seen droughts, but in 38 years I have never seen anything like this before,” said Ray Manfra, Director of Public Works for the Borough of Fanwood.
Mr. Manfra is of course referring to the excessively long hot and dry spell that has gripped New Jersey as well as much of the Eastern Seaboard and the Ohio Valley for the past month.
Due to the continued lack of rainfall and high temperatures that have resulted in low streamflows and below normal groundwater and reservoir levels, Governor Christine Todd Whitman announced a statewide water warning Monday.
The Governor’s Office issues drought warnings based on information received from the Department of Environmental Protection (DEP), which oversees the state’s water supplies.
DEP Public Relations Officer Loretta O’Donnell said that in the past, drought warnings have given the DEP the authority to divert water from adequately supplied resources to those with lower storage capacity. The DEP will hold public hearings in the coming weeks to determine whether to allow the DEP to order water rationing, if necessary, between now and October.
Currently, New Jersey’s four major reservoir systems are at 73.5 percent capacity, when they should be at 83 percent, and Amy Collings, spokeswoman for the DEP.
Elizabethtown Water Company, which provides water to residents in the local area, draws its water supply from a variety of sources including the Raritan River, Delaware River, Hillsborough Reservoir, Long Round Valley Reservoir, Millstone Reservoir, South Valley and Spruce Run are currently at 84 percent capacity, which is normal for this time of year. The state’s southern New Jersey reservoirs are below average at 64 percent capacity. Many of New Jersey’s rivers are at all-time record lows.
Raj Daly, Professor of Biology and Director of the Environmental Teaching Center at Union County College in Cranford, which is an office of the National Oceanic and Atmospheric Administration (NOAA), reported that rainfall in the state from July 1 is forecast to five inches for each month.
According to NOAA, the state recorded only 1.4 inches of rain in June, and only 4.4 inches of rain in July, making it the driest July on record in 35 years.
“This drought really began in September of 1998,” Mr. Daly related.
CONTINUED ON PAGE 6
Wilson School Experiences Bond Projects
By MICHELLE H. LEPOIVREIN
Staff Writer, The Westfield Leader
Wilson Elementary School in Westfield recently received the go ahead to start work and local officials to begin the first phase of a $1.1 million bond referendum which was approved by voters in December.
The project is estimated to cost $1.1 million. Westfield Education has yet to receive bids from construction companies for the project. The project will be completed by January 1, 2000, according to board officials.
Flat roof sections will be replaced with metal costs $1.50 per square foot. The project will be bid on in April 2000.
Laminate renovations to the first floor security room and hallway are also expected to be worked on in 2000. The board will receive bids for the two projects in February. Each project is estimated to cost $175,000. Board officials believe that the first floor security room will be finished from July to September 2000, while the
CONTINUED ON PAGE 6
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Ground Improvement
Subsurface Constructors
Laurel/Rolling Hills Wind Farm
Together, the Rolling Hills Wind Farm in Massena, Iowa and the nearby Laurel Wind Farm provide more than 550 megawatts of power and are some the largest single-phase wind farms in the U.S. Subsurface Constructors installed 7,800 vibro stone columns across a massive, sprawling area to deliver a maximum bearing pressure of 2,500 pounds per square foot. The site consists of loess underlain by deep glacial till with a depth range of 5 to 30 feet
Project details:
Owner: MidAmerican Energy
Geotechnical Engineer: Barr Engineering
General Contractor: M.A. Mortenson
Structural Engineer: Barr Engineering
Services Provided: Ground improvement, stone columns
Year: 2011
Location: Massena, Iowa
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April 20, 1963
5 Negroes Seated
In Alabama Church
BIRMINGHAM (BP)--Five Negroes who worshipped Easter Sunday in the white First Baptist Church here got a hand-shake from the pastor as they left and were greeted by several other church members.
Three arrived about five minutes before the 11 o'clock service began and the other two about five minutes after the service had started, Pastor Earl Stallings reported.
They included four girls whom Stallings said appeared to be college coeds around 18 to 22 years old and a man whom the New York Times identified as an associate of Martin Luther King, Negro Baptist minister and leader of Negro street demonstrations here.
As the Negroes entered the church, they received visitors' cards and the five were seated together on a pew about four or five rows from the back of the church, according to Stallings. Two girls wrote on the cards they belonged to Baptist churches.
"They did not notify us they were coming. The press and television called us about 10 o'clock to advise us they were coming," the pastor commented. "We had expected about a dozen to come to each of the churches involved."
Five or six churches were visited by the Negroes. They were seated also at First Presbyterian Church but turned away at the other churches.
As they left, one of the five handed Stallings a sealed envelope. It contained a mimeographed letter of Easter greetings "to our brethren in Christ." It explained they chose to "kneel-in" on Easter Sunday "as a day of new beginnings."
Stallings said he knew of no rebuke or unkind word spoken to the Negroes by the church members. He said if they came to church again, they would have the same reception.
"We had intended to seat them for years," Stallings declared.
Just before Easter, Stallings joined with clergymen of Jewish, Roman Catholic, and Protestant denominations in Birmingham in saying of the new demonstrations by Negroes:
"We do not believe that these days of new hope are days when extreme measures are justified in Birmingham."
To the local Negro community, these clergymen said:
"We strongly urge our own Negro community to withdraw support from these demonstrations, and to unite locally in working peacefully for a better Birmingham.
"When rights are consistently denied, a cause should be pressed in the courts and negotiations among local leaders, and not in the streets."
Typhoon Karen Blows
Good Wind For SBC
By the Baptist Press
Typhoon Karen blew a windfall for the Southern Baptist Convention Cooperative Program.
When the storm raged across the Pacific island of Guam, it knocked Calvary Baptist Church off its foundation and moved the building eight feet, the church treasurer reported.
The insurance company paid the church on the basis of a total loss and said the church could have salvage rights to the building.
The man employed by the church to put the building together again said it "just seemed to fall into place as he worked," the church wrote the office of the Southern Baptist Convention Executive Committee in Nashville.
Enclosed with the letter was a check for $1216 to the SBC Cooperative Program. A small part of the money will work its way back to Baptist missions on Guam, sponsored by the Foreign Mission Board, which gets the major share of Cooperative Program funds when they are divided among SBC agencies.
Apparently the successful rebuilding of the Guam church enabled it to meet its Cooperative Program payment. Calvary Church is giving 11 per cent of its budget through the Cooperative Program, compared with 10 per cent last year.
Not only that, but the church also sent along 11 per cent of what was received from the insurance damage payment.
-30-
Fire Guts Apartment
At New Orleans School
NEW ORLEANS (BP)--A fire has gutted one efficiency apartment at New Orleans Baptist Theological Seminary here. Before it was put out, it damaged three other apartments.
The apartment occupied by Mr. and Mrs. Robin A. Thomas, Miami, Fla., was a total loss. Neither of the Thomases was at home when the fire struck. Thomas was at work and his wife was studying at the seminary library.
Couples living in the three apartments which suffered smoke and water damage include the David Hulseys, Hattiesburg, Miss.; The Dill Towns', Eunice, La., and the Victor Johnsons, Mendenhall, Miss.
Cause of the fire and total extent of damage was not immediately determined.
The couples were moved next day to other apartments. The student council is conducting a canvas of the student body to help the couples replace damaged and lost property. The faculty and administration are considering ways in which they can be of help to the affected students.
Already, some furniture and groceries have been replaced.
-30-
Folks and Facts.... (4-20-63)
.....Dr. William Marion Whiteside, 87, retired superintendent of the South Carolina Baptist Hospital, died April 15 at the hospital in Columbia. Dr. Whiteside served the hospital for 39 years beginning in December, 1916. He retired in May, 1957. (DP)
April 20, 1963
Georgia Governor
Kills Pinball Bill
ATLANTA (BP)--The governor of Georgia has vetoed here a controversial "pinball bill" which opponents said would have opened the floodgates to legalized gambling if he had signed it into law.
Governor Carl E. Sanders, a Baptist Sunday school teacher, said the proposed law "would have the effect of the state of Georgia legalizing, sanctioning and licensing a certain class of devices which would lend themselves readily to gambling, namely, pinball machines. This, in my opinion, would have harmful moral effects in our state. It would be deleterious to our youth and damaging to the general public welfare."
The bill would have legalized pinball machines which allowed up to 20 free games as prizes. It was passed in the closing hours of the state general assembly and would have become law if the governor had not vetoed it.
The governor's press secretary said a flood of mail urging Gov. Sanders to veto the bill "helped the governor to determine in his own mind that the pinball bill was not in the best interests of the general public."
Over 850 persons opposed the bill in writing, while about 100 favored letting it become law.
The governor's office said an editorial campaign by the Christian Index, Georgia Baptist weekly newspaper, was a major factor in the volume of protest against the bill.
Index Editor John J. Hurt urged Baptists to wire or write the governor to protest the bill. Over 500 protests were received within a week after the editorial was published.
-30-
Virginians Testify
On Mission Offerings (4-20-63)
RICHMOND (BP)--The Virginia Baptist General Board heard 2-1/2 hours of testimony here on whether two annual mission offerings should be churchwide or be limited to sponsorship of Woman's Missionary Union.
400 persons showed up for the board meeting at which they had been told individuals could air their views. The board allowed five minutes per person and 20 persons expressed opinions.
Observers said the testimony was about evenly divided between the two manners of taking the offerings, used to support Southern Baptist Convention foreign and home mission programs.
The testimony of the individuals was recorded for further study before the general board acts on the issue. The chairman, however, declined to release excerpts of the arguments pro and con for use in news stories.
Through the years, the Lottie Moon Christmas Offering for foreign missions and another, the Annie Armstrong Offering for home missions, have remained as promotions of the Woman's Missionary Union, a Baptist women's auxiliary.
Some form of action on the special offerings is expected at the meeting of the Baptist General Association of Virginia this fall, it was reported.
The general board also received a gift of $125,00 from Howard Sigmon, Roanoke, Va., businessman, to use in erecting a children's building at Eagle Byrie, the year-round Baptist assembly grounds near Lynchburg.
The building will have the latest facilities and equipment, the board was told.
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PART I—Orders and Notifications by the Governor of West Bengal, the High Court, Government Treasury, etc.
WEST BENGAL STATE ELECTION COMMISSION
18, SAROJINI NAI DU SARANI
KOLKATA -700 017
No. 1093-SEC/1E-85/2017
Dated the 18th August, 2017
NOTIFICATION
In exercise of the power conferred by Section 71 of the West Bengal Municipal Elections Act, 1994 (West Bengal Act XXXIV of 1994) read with rule 59 of the West Bengal Municipalities (Conduct of Elections) Rules, 1995, the West Bengal State Election Commission hereby notifies that the persons whose names are mentioned in Column (2) of the Schedule below (hereinafter referred to as the said Schedule) have been declared elected from the Constituency (Ward) shown against each of them in column (3) of the said Schedule, to be the Members of the Nalhati Municipality, District - Birbhum on the basis of the result of the Municipal General Elections, 2017 for which polls were taken on the 13th August, 2017.
SCHEDULE
| Sl. No. | Name of the Member | Constituency (Ward) No. | Sl. No. | Name of the Member | Constituency (Ward) No. |
|---------|------------------------------------|-------------------------|---------|------------------------------------|-------------------------|
| 1. | KOHINOOR BIBI | 1 | 7. | PRANATI MONDAL | 7 |
| 2. | RAKESH SINGH(PINTU) | 2 | 8. | ANIMESH MAL(BHUTAY) | 8 |
| 3. | RAJENDRA PRASAD SINGH (RAJU) | 3 | 9. | JULI FULMALI | 9 |
| 4. | ALOSRI BHATTACHARYA | 4 | 10. | DEBANDRA KUMAR PRASAD(DEBEN) | 10 |
| 5. | BISHNU PRASAD BHAKAT | 5 | 11. | AYESHA SIDDIKA KHATUN | 11 |
| 6. | RAMESH MAHESWARI | 6 | 12. | EKRAMUL HAQUE SEKH | 12 |
| Sl. No. | Name of the Member | Constituency (Ward) No. |
|--------|-----------------------------|-------------------------|
| 13. | TAHID SEKH(GUDHU) | 13 |
| 14. | SUNIL KUMAR DAS | 14 |
| Sl. No. | Name of the Member | Constituency (Ward) No. |
|--------|-----------------------------|-------------------------|
| 15. | GIRI GOBARDHAN DAS (GIRI) | 15 |
| 16. | NURANNEHAR BEGAM | 16 |
By order of the State Election Commissioner
OSMAN GANI
Secretary,
West Bengal State Election Commission
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Hammerwich Parish Council
To all Members of Hammerwich Parish Council
You are hereby summoned to attend a meeting of the Parish Council to be held
On: 17 June 2020 at 7.30pm
At: Meeting to be held virtually – please contact the Clerk for details of how to attend.
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ASH 2024
66th ASH Annual Meeting and Exposition
December 7–10, 2024 San Diego, US
TOP ABSTRACTS
To help navigate the exciting content being presented at the 66th American Society of Hematology (ASH) Annual Meeting and Exposition, December 7–10, 2024, San Diego, US, the Multiple Myeloma Hub Steering Committee have provided their recommendations for the top abstracts to look out for in multiple myeloma and other plasma cell dyscrasias.
This educational resource is supported through funds from pharmaceutical companies—a full list of our supporters can be found at multiplemyelomahub.com.
All content is developed independently by SES in collaboration with the faculty. The funders are allowed no influence on the content of this resource.
ASH 2024: Top abstracts in MM December 7–10, 2024
Newly diagnosed multiple myeloma
| 257 View | Optimal MRD-Based Endpoint in the Setting of Upfront Quadruplets (QUADs) to Support Response-Adapted Treatment Cessation in Newly Diagnosed Multiple Myeloma (NDMM) | Smith Giri |
|---|---|---|
| 362 View | Phase 3 Randomized Study of Daratumumab (DARA) + Bortezomib, Lenalidomide and Dexamethasone (VRd) Versus Alone in Patients with Transplant-Ineligible Newly Diagnosed Multiple Myeloma or for Whom Transplant Is Not Planned As Initial Therapy: Analysis of Minimal Residual Disease in the Cepheus Trial | Sonja Zweegman |
| 363 View | Implications of MRD Progression in Newly Diagnosed Multiple Myeloma (NDMM) Treated with Quadruplet Therapy and Autologous Stem Cell Transplantation | Luciano J. Costa |
| 489 View | Reevaluating the IMWG Multiple Myeloma Complete Response Criterion in the Era of Mass Spectrometry: A Critical Analysis | Noemi Puig |
| 493 View | Phase 2 Study of Teclistamab-Based Induction Regimens in Patients with Transplant-Eligible (TE) Newly Diagnosed Multiple Myeloma (NDMM): Results from the GMMG-HD10/DSMM-XX (MajesTEC-5) Trial | Marc S. Raab |
| 494 View | Phase 3 Study of Teclistamab (Tec) in Combination with Lenalidomide (Len) and Tec Alone Versus Len Alone in Newly Diagnosed Multiple Myeloma (NDMM) As Maintenance Therapy Following Autologous Stem Cell Transplantation (ASCT): Safety Run-in (SRI) Results from the Majestec-4/EMN30 Trial | Elena Zamagni |
| 497 View | Phase I Study of Belantamab Mafodotin in Combination with Standard of Care in Transplant-Ineligible Newly Diagnosed Multiple Myeloma: Dreamm-9 Updated Interim Analysis | Saad Z. Usmani |
| 675 View | Daratumumab Plus Lenalidomide (D-R) Versus Lenalidomide (R) Alone As Maintenance Therapy in Newly Diagnosed Multiple Myeloma (NDMM) afetr Transplant: Analysis of the Phase 3 Auriga Study Among Clinically Relevant Subgroups | Laahn Foster |
| Abstract | Title | Speaker |
|---|---|---|
| 769 View | Isatuximab, Lenalidomide, Bortezomib and Dexamethasone Induction Therapy for Transplant- Eligible Patients with Newly Diagnosed Multiple Myeloma: Final Progression-Free Survival Analysis of Part 1 of an Open-Label, Multicenter, Randomized, Phase 3 Trial (GMMG-HD7) | Hartmut Goldschmidt |
| 774 View | The IFM2017-03 Phase 3 Trial: A Dexamethasone Sparing-Regimen with Daratumumab and Lenalidomide for Frail Patients with Newly-Diagnosed Multiple Myeloma | Salomon Manier |
Relapsed/ refractory multiple myeloma
| Abstract | Title | Speaker |
|---|---|---|
| 79 View | Previous HDM/ASCT Adversely Impacts PFS with BCMA-Directed CAR T-Cell Therapy in Multiple Myeloma | Joshua Gustine |
| 81 View | 24-Hour Urine Testing Does Not Add Value to Multiple Myeloma Response Assessments: A Secondary Analysis of BMT CTN 0702 | Rahul Banerjee |
| 83 View | Eliminating the Need for Sequential Confirmation of Response in Multiple Myeloma | Jean- Sébastien Claveau |
| 256 View | Efefcts of Intravenous Immunoglobulin Supplementation (IVIG) on Infections in Recipients of Teclistamab Therapy for Multiple Myeloma (MM): A Multi-Institutional Study | Heloise Cheruvalath |
| 366 View | Soluble B-Cell Maturation Antigen Levels for Disease Monitoring in Oligo- and Non-Secretory Relapsed Multiple Myeloma | Daisuke Ikeda |
| 495 View | Teclistamab, Daratumumab, and Pomalidomide in Patients with Relapsed/Refractory Multiple Myeloma: Results from the Majestec-2 Cohort a and Trimm-2 Studies | Anita D’Souza |
| 677 View | Mezigdomide (MEZI) in Novel-Novel Combinations for Relapsed or Refractory Multiple Myeloma (RRMM): Preliminary Results from the CA057-003 Trial | Luciano J. Costa |
Abstract Title
Speaker
Date and time (PT)
895
Pre-Apheresis Prediction of Toxicity and Response in
Kai
Monday,
| 896 View | Comprehensive Analysis of Pre-Treatment Biomarkers Associated with Toxicity and Durable Responses in Idecabtagene Vicleucel Therapy for Relapsed/ Refractory Multiple Myeloma | Doris K. Hansen |
|---|---|---|
| 897 View | Outcomes of Teclistamab (Tec) in Patients with Relapsed/Refractory Multiple Myeloma (RRMM) with Prior Exposure to BCMA-Directed Therapy (BCMA-DT): A Multicenter Study from the U.S. Multiple Myeloma Immunotherapy Consortium | Danai Dima |
| 900 View | Biological and Clinical Significance of Endogenous and Chimeric Antigen Receptor (CAR) T Cell Immune Profiling in Relapsed/Refractory Multiple Myeloma (RRMM) Patients | Bruno Paiva |
| 922 View | Efficacy and Safety with Extended Follow-up in a Phase 1 Study of BMS-986393, a G Protein-Coupled Receptor Class C Group 5 Member D (GPRC5D)-Targeted CAR T Cell Therapy, in Patients (pts) with Heavily Pretreated Relapsed/Refractory (RR) Multiple Myeloma (MM) | Susan Bal |
| 931 View | Talquetamab Bridging: Paving the Way to B-Cell Maturation Antigen (BCMA) CAR-T Cell Therapy in Relapsed/Refractory Multiple Myeloma (RRMM) | Binod Dhakal |
| 932 View | Tocilizumab Prophylaxis for Patients with Relapsed or Refractory Multiple Myeloma Treated with Teclistamab, Elranatamab or Talquetamab | Andrew Kowalski |
| 1023 View | Tolerability and Clinical Activity of Novel First-in-Class Oral Agent, Inobrodib (CCS1477), in Combination with Pomalidomide and Dexamethasone in Relapsed/ Refractory Multiple Myeloma | Emma Searle |
| 1025 View | Mezigdomide (MEZI) Plus Dexamethasone (DEX) and Bortezomib (BORT) or Carfilzomib (CFZ) in Patients (pts) with Relapsed/Refractory Multiple Myeloma (RRMM): Updated Results from the CC-92480-MM-002 Trial | Irwindeep Sandhu |
| 1026 View | First Results of a Phase 1, First-in-Human, Dose Escalation Study of ISB 2001, a BCMAxCD38xCD3 Targeting Trispecific Antibody in Patients with Relapsed/Refractory Multiple Myeloma (RRMM) | Hang Quach |
| 1030 View | Efficacy of HBI0101, an Anti-BCMA Chimeric Antigen Receptor T-Cell (CART) for Relapsed/Refractory Multiple Myeloma | Eyal Lebel |
| Abstract | Title | Speaker |
|---|---|---|
| 1031 View | Phase 2 Registrational Study of Anitocabtagene Autoleucel for the Treatment of Patients with Relapsed and/or Refractory Multiple Myeloma: Preliminary Results from the IMMagine-1 Trial | Ciara Louise Freeman |
| 1032 View | Ciltacabtagene Autoleucel (Cilta-cel) Vs Standard of Care (SoC) in Patients with Lenalidomide (Len)- Refractory Multiple Myeloma (MM) afetr 1-3 Lines of Therapy: Minimal Residual Disease (MRD) Negativity in the Phase 3 Cartitude-4 Trial | Rakesh Popat |
| 4695 View | Frailty-Based Outcomes with Bispecific Antibodies in Older Patients with Multiple Myeloma | Nadine Abdallah |
Other plasma cell dyscrasias
| Abstract | Title | Speaker |
|---|---|---|
| 488 View | Longitudinal Single-Cell Immune Profiling Reveals Distinct Dynamics of Response to Teclistamab in Patients with High-Risk Smoldering Myeloma Compared to Relapsed-Refractory Multiple Myeloma | Nayda Bidikian |
| 773 View | Phase 3 Randomized Study of Daratumumab Monotherapy Versus Active Monitoring in Patients with High-Risk Smoldering Multiple Myeloma: Primary Results of the Aquila Study | Meletios- Athanasios Dimopoulos |
| 891 View | Subcutaneous Daratumumab (DARA) + Bortezomib, Cyclophosphamide, and Dexamethasone (VCd) in Patients with Newly Diagnosed Light Chain (AL) Amyloidosis: Overall Survival and Final Major Organ Deterioration Progression-Free Survival Results from the Phase 3 Andromeda Study | Efstathios Kastritis |
| 893 View | Venetoclax Plus Dexamethasone As First-Line Treatment for t(11; 14) Light-Chain Amyloidosis: Preliminary Result of a Phase II Prospective, Multicenter, Single-Arm Study | Kaini Shen |
| 1027 View | Early Safety and Efficacy of CAR-T Cell Therapy in Precursor Myeloma: Results of the CAR-PRISM Study Using Ciltacabtagene Autoleucel in High-Risk Smoldering Myeloma | Omar Nadeem |
#ASH24
Follow us on X to keep up to date with the latest from the congress
@MM_Hub
Brought to you by
This educational resource is supported through funds from pharmaceutical companies—a full list of our supporters can be found at multiplemyelomahub.com.
All content is developed independently by SES in collaboration with the faculty. The funders are allowed no influence on the content of this resource.
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CURRICULUM VITAE
WORK EXPERIENCE
Dates
06/2010-11/2011
Dates
June 2008
Name and address of employer
Type of business or sector
Occupation or
position held
Main activities and responsibilities
Dates
Name and address of employer
Type of business or sector
Occupation or
position held
Main activities and responsibilities
Dates
Name and address of employer
Type of business or sector
Occupation or
position held
Main activities and responsibilities
Dates
Name and address of employer
Type of business or sector
Occupation or
position held
Main activities and responsibilities
ISMECERT
Certification about agribusiness and food safety
Italian delegate in Tunisia on Food Safety
Dealing with the Ministry of Health and Tunisian professional organizations about information and training activities on food safety
June 2007
ISMECERT
Certification about agribusiness and food safety
Italian delegate on Food Safety in Morocco
Relationship Management with the Secretaries of the Ministry of Agriculture on food safety
January 2007
CCIIAA
di Napoli
Chamber of Commerce
Head of Delegation in Vietnam on Food Quality and Food Safety
Participation to the Workshops on Food Quality and Food Safety in Vietnam
April 2006
CCIIAA
di Napoli
Chamber of Commerce
Head of Delegation on Food Safety and Agriculture in Vietnam and to Thailand
Meetings with the Ministers of Agriculture of Vietnam and Thailand for the exchange of know-how and possible solutions to the problem on food security in the Mekong delta region.
Pagina 11 Curriculum vitae for Vito Amendolara
Pagina 13 Curriculum vitae for Vito Amendolara
EDUCATION AND TRAINING
CONFERENCES AND PUBLICATIONS
Conferences : from 1985 to nowadays speaker at over 200 conferences about zootechny, agroindustrial sector, health, animal health , food safety, environmental protection.
:
* "Dalla Sicurezza alimentare il buon cibo - Tracciabilità e rintracciabilità - norme e regolamenti" - Technical and scientific coordination of the publication – Author of the chapters 1 and 2.1 - Promosricerche Editore 2013.
Publications ● "Yvan e il mistero degli O.G.M." – L'Isola dei Ragazzi Editore –2005;
PERSONAL SKILLS AND COMPETENCES
Mother tongue
I
TALIAN
Other languages
E
NGLISH
Understanding
Speaking
G
OOD
GOOD
Writing
G
OOD
SOCIAL SKILLS AND COMPETENCES
Management of institutional relationships with banks and other institutional offices. In particular: Campania Region, Ministry of Agriculture, Ministry of Health, Parliamentary Commissions on Health, Agriculture and the Environment, the Commission and the European Council.
Legislative proposals on agriculture, zootechny and animal health
ORGANISATIONAL SKILLS AND COMPETENCES
In public and private organizations:
* Planning ability, activities and personnel management, external relations, budget management, coordination of the economic system under the competence of the agricultural and zootechnic sector of the provincial federations of Campania Region
* Efficient organizational skills
* Management skills in public deals
TECHNICAL/COMPUTER SKILLS AND COMPETENCES
Budgeting, database, evaluation programs, software for project schedule (Gantt and Pert).
PC software: Office, web browser, email, Microsoft project
Date
Signature
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寻找自我之途（Find Your Way）
Ke-Qin YANG 杨克勤
Follow this and additional works at: https://digital.kenyon.edu/zhoudocs
Recommended Citation
YANG 杨克勤, Ke-Qin, "寻找自我之途（Find Your Way）" (2024). Zhou Documents. 404.
https://digital.kenyon.edu/zhoudocs/404
This Review is brought to you for free and open access by Digital Kenyon: Research, Scholarship, and Creative Exchange. It has been accepted for inclusion in Zhou Documents by an authorized administrator of Digital Kenyon: Research, Scholarship, and Creative Exchange. For more information, please contact [email protected].
寻找自我之途
——杨克勤作品印象
孟禄新
前些年美术界呼唤“为作”的声音至今尚存，但已不那么理直气壮了，因为人们似乎渐渐意识到艺术更多是艺术家自身的事情，不过是一个人在这个世界上寻找自我、实现自我的一种方式而已。如果给它负载上这样、那样的重压，只会带来扭曲和偏差。杨克勤的作品呈现给我们的就是这样一个寻找自我的过程。
杨克勤一直在寻找一种更为贴近自我的艺术语言，寻求一种新的视角。她常常抓住一个兴趣点，走进画面，以一种新的知觉进行探索。从她画面的结果看，画家无疑走了很扎实的一步，她的画面中有一种最可贵的东西就是激情，在她画面背后则潜在着更为深的思考。经过一个时期的探索，无论是她画面的整体构成，色彩的运用还是笔触的衔接上，都已渐渐注入一种画家自我的意志力，画面也从过去的躁动、杂乱变得沉静、单纯。过去在画面中四处冲突的力也逐步收敛而专注。
杨克勤的一批描绘诸如石锁、水龙头的作品，是画家在通向自身艺术语言之途的又一次推进，可以看出画家已把关注点从对绘画语言中技术层面转向切人绘画语言中思想、精神的层面。画家为什么要画这些东西，出于什么样的思考，任何人都难以充分分析，但从整个视觉效应看，从绘画语言的现代性和自我性来看，对于我们目前已十分麻木的眼睛和心灵来说，肯定会有一个新的刺激，这已足够了。
|
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|
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P1
TLR-independent activation of NK cells during systemic inflammation.
O Rasid¹, J-M Cavaillon
Cytokines and Inflammation, Institut Pasteur, Paris, France
Critical Care 2014, 18(Suppl 2):P1; doi:10.1186/cc14004
Introduction: During the course of systemic inflammation, most of the immune cell types get activated to a certain degree as part of, or contributing to, the cascade of physiopathological events. Whether for some cells, classically phagocytes of the innate immune system, it is clear that direct sensing of pathogen-associated molecular patterns leads to activation initiating systemic inflammation, the picture is not so clear for natural killer (NK) cells. While NK cells have been shown to express toll-like receptors (TLR), the role of these receptors on NKs during systemic inflammation has not been directly addressed.
Methods: To directly assess the role of TLR expression on NK cells we used an adoptive transfer model in which NKs purified from the spleens of WT, TLR4KO and TLR2/4DKO mice were transferred intravenously to RAG2⁻/⁻γc⁻⁻ (devoid of T, B and NK cells). Five days after reconstitution the mice were challenged intraperitoneally with conventional or TLR-grade lipopolysaccharide (LPS). Immune cell activation and production of IFNγ by NK cells was determined after 6 hours by FACS analysis.
Results: We observed no differences in reconstitution of the recipient mice with NK cells from different backgrounds suggesting no difference in trafficking and survival of the transferred cells. At 6 hours after LPS challenge, WT, TLR4KO or TLR2/4DKO NK cells recovered from the spleen and lungs of RAG2⁻/⁻γc⁻⁻ mice showed comparable levels of CD69 activation marker expression. Intracellular labeling for IFNγ in NK cells also revealed no significant differences.
Conclusion: Whether there is a role for direct TLR signaling on NK cells remains the objective of further investigations; however, our data show that in the course of a systemic inflammatory process, like endotoxemia, the expression of TLR2 and TLR4 by NK cells makes no difference in terms of their activation and secretion of IFNγ.
P2
Role of 6-hour, 12-hour, and 24-hour lactate clearance in mortality of severe sepsis and septic shock patients.
V Herwanto¹, KC Lie², S Suwanto³, CM Rumende³
¹Department of Internal Medicine, University of Indonesia, Jakarta, Indonesia; ²Division of Tropical Medicine and Infectious Diseases, Department of Internal Medicine, University of Indonesia, Jakarta, Indonesia; ³Division of Respiriology and Critical Care, Department of Internal Medicine, University of Indonesia, Jakarta, Indonesia
Critical Care 2014, 18(Suppl 2):P2; doi:10.1186/cc14005
Introduction: Lactate is one of biomarkers used for risk stratification, resuscitation target, and death prediction in sepsis [1,2]. Interpretation of lactate clearance was proven more superior than single measurement to evaluate resuscitation adequacy and to determine prognosis [3,4]. This study aimed to find out whether mean differences of 6-hour, 12-hour, and 24-hour lactate clearance were observed between nonsurvivors and survivors of acute phase mortality in severe sepsis and septic shock patients.
Methods: The study design was prospective cohort. Subjects were collected by consecutive sampling from the emergency department, hospital ward, and ICU at Cipto Mangunkusumo Hospital, Jakarta. Lactate levels were measured at 6, 12, and 24 hours, and subjects were subsequently followed to evaluate 3-day mortality. To determine their association with mortality, we used mean difference analysis of those three lactate clearance periods between nonsurvivors and survivors. In addition, to determine the cutoff value, we used receiver operator curve analysis.
Results: Eighty-one subjects were included in this study. Eighty of 81 were followed until 12 hours, and 72 out of 80 were followed until 24 hours. Twenty-five subjects (31%) did not survive within 3 days of hospitalization. Only 24-hour lactate clearance had significant median difference (-17.0% in nonsurvivor vs. 15.2% in survivor group; P = 0.034). The best cutoff value for 24-hour lactate clearance was -6.0% (AUC 0.744, sensitivity 62.5% and specificity 87.5%, positive predictive value 58.8% and negative predictive value 89.1%, relative risk 5.39). From multivariate analysis, 24-hour lactate clearance was proven to be an independent predictor of mortality.
Conclusion: Median of 24-hour lactate clearance was significantly lower in nonsurvivors of severe sepsis and septic shock patients. Its cutoff value was -6.0%.
Acknowledgements: Gratitude to Dr Imam Subekti, head of Internal Medicine Department, Faculty of Medicine University of Indonesia, and Dr Aida Lydia, head of Internal Medicine study program, Faculty of Medicine University of Indonesia for their guidance and useful critiques of this research work. Thanks also to Dr Kuntjoro Harimurti, Dr Esthika Dewiasty, and Ms Utami for their advice and assistance in doing methodology and statistic of this study
References
1. Okorie ON, Dellinger P: Lactate: biomarker and potential therapeutic target. Crit Care Clin 2011, 27:299-326.
2. Schuetz P, Haubitz S, Mueller B: Do sepsis biomarkers in the emergency room allow transition from bundled sepsis care to personalized patient care? Curr Opin Crit Care 2012, 18:341-349.
3. Nguyen HB, Loomiba M, Yang JJ, Jacobsen G, Shah K, Otero RM: Early lactate clearance is associated with improved outcome in severe sepsis and septic shock. Crit Care Med 2004, 32:1637-1642.
4. Nichol A, Bailey M, Egi M, Pettila V, French C, Stachowski E: Dynamic lactate indices as predictors of outcome in critically ill patients. Crit Care 2011, 15:R242.
P3
High frequency of myeloid-derived suppressor cells in sepsis patients, with the granulocytic subtype dominating in Gram-positive cases.
H Janols\textsuperscript{1,2}, C Bergentzelz\textsuperscript{2}, R Allaoui\textsuperscript{2}, A-M Larsson\textsuperscript{1}, L Rydén\textsuperscript{4}, S Björnsson\textsuperscript{5}, S Janciauskienė\textsuperscript{6}, M Wullt\textsuperscript{1}, A Bredberg\textsuperscript{7}, K Leandersson\textsuperscript{2}
\textsuperscript{1}Department of Infectious Diseases, Skane University Hospital, Lund University, Malmo, Sweden; \textsuperscript{2}Center for Molecular Pathology, Skane University Hospital, Lund University, Malmo, Sweden; \textsuperscript{3}Department of Laboratory Medicine, TCR, MV, Lund University, Lund, Sweden; \textsuperscript{4}Department of Surgery, Lund University Hospital, SUS, Lund, Sweden; \textsuperscript{5}Cytometry Laboratory and Department of Laboratory Medicine, Skane University Hospital, Lund University, Malmo, Sweden; \textsuperscript{6}Department of Pulmonology, Hannover Medical School, Hannover, Germany; \textsuperscript{7}Department of Medical Microbiology, Skane University Hospital, Lund University, Malmo, Sweden
Critical Care 2014, 18(Suppl 2):P3; doi:10.1186/cc14006
**Introduction:** Myeloid-derived suppressor cells (MDSCs) constitute a heterogeneous population of immature myeloid cells that potently suppress immune responses. They were originally identified in cancer patients and have since been reported to occur also in chronic inflammation, autoimmunity and even bacterial infections. Human MDSCs are commonly divided into monocytic (Mo-MDSCs) and granulocytic (PMN-MDSCs) subtypes. To what extent the bona fide cancer MDSCs are representative of the proposed MDSCs found in other diseases is not well known. PMN-MDSCs have previously been found to be enriched among low-density granulocytes (LDGs) in density gradient centrifuged blood.
**Methods:** In this study we analyzed potential MDSCs in sepsis patients with different causative microorganisms, using total peripheral blood as compared to density gradient centrifuged blood.
**Results:** We found a high frequency of typical CD14\textsuperscript{+}HLADR\textsuperscript{low} Mo-MDSCs in all sepsis patients, whereas the typical PMN-MDSCs as well as a prominent CD14\textsuperscript{dim} PMN-MDSC-like population appeared preferentially in Gram-positive cases (Figures 1 to 3). The CD14\textsuperscript{dim} PMN-MDSC variant was demonstrated to suppress T-cell proliferation \textit{in vitro} via a ROS-dependent mechanism, to display an increased IL-10:TNF\(\alpha\) ratio, and to present with signs of immaturity: blast morphology and low cytokine levels (Figures 4 and 5).
**Conclusion:** We conclude that a spectrum of cells with MDSC features are enriched in sepsis, and that microbial origin of sepsis contributes to the substantial interindividual patient variation in MDSC pattern.
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P4
Selective decontamination using antibiotics in ICU patients: counterfactual protection versus contextual hazard toward bacteremia incidences.
JC Hurley
Melbourne Medical School, University of Melbourne and Ballarat Health Services, Ballarat, Australia
Critical Care 2014, 18(Suppl 2):P4; doi:10.1186/cc14007
**Introduction:** Among methods for preventing pneumonia and possibly also bacteremia in ICU patients, selective digestive decontamination (SDD; topical with or without protocolized parenteral antibiotic) appears most effective within randomized concurrent controlled trials (RCCTs) [1]. However, whether parenteral antibiotic is required, and whether SDD actually increases pneumonia incidences in SDD RCCTs versus the broader ICU pneumonia evidence base, remain unresolved [2,3]. The purpose of this analysis is to test for counterfactual and contextual effects of the topical and parenteral SDD components on the bacteremia incidence versus the broader evidence base related to the patient group at risk of VAP.
**Methods:** Bacteremia incidence proportion data were extracted from component (control and intervention) groups from studies investigating antibiotic (SDD) or nonantibiotic methods of VAP prevention. Both the counterfactual and the contextual effects of SDD factorized as topical or protocolized parenteral exposures were estimated using random-effects meta-analysis of study and group level data. Studies without any prevention methods under study constituted the reference category (benchmark groups).
**Results:** As a counterfactual within RCCTs, SDD when given as combined topical and parenteral antibiotic appears to halve the bacteremia incidence (odds ratio (OR) 0.59; 0.48 to 0.73; \(n = 18\) studies). As a contextual however, the mean bacteremia incidence among 27 control groups (17.1%; 13.1 to 22.1%) and 12 intervention groups receiving topical antibiotic alone (16.2%; 9.1 to 27.3%) from SDD RCCTs is double that of 36 benchmark groups (8.3; 7.0 to 10.8%) and 19 control groups from studies of nonantibiotic methods (7.7%; 5.2 to 11.1). The upward dispersion in bacteremia incidence among component groups from SDD RCCTs away from this benchmark is striking with all but two of the 27 control groups and all but two of 12 SDD intervention groups that did not receive PPAP being above this benchmark.
**Conclusion:** The major contextual hazard of SDD toward bacteremia among ICU patients is inapparent within individual studies. The apparent protection in SDD RCCTs is spurious as the SDD counterfactual is conflated by the strong contextual effect with partial mitigation by SDD.
**Mononuclear fraction**
*Low density granulocytes*
**Figure 3 (abstract P3)**
**Suppression of T cell proliferation**
**Figure 4 (abstract P3)**
**Cytokine concentrations**
**IL10:TNFα ratio**
**Figure 5 (abstract P3)**
protocolized parenteral antibiotic. Not only is the safety of SDD within the ICU environment unclear, but this SDD contextual effect may conflate the apparent SDD counterfactual effect on the incidence of bacteremia, as with VAP.
References
1. Hurley JC: Prophylaxis with enteral antibiotics in ventilated patients: selective decontamination or selective cross-infection? *Antimicrob Agents Chemother* 1995, **39**:941-947.
2. Hurley JC: Ventilator associated pneumonia prevention methods using topical antibiotics: herd protection or herd peril? *Chest* 2014 in press.
3. Hurley JC: The perfidious effect of topical placebo: Calibration of *Staphylococcus aureus* ventilator-associated pneumonia incidence within selective digestive decontamination studies versus the broader evidence base. *Antimicrob Agents Chemother* 2013, **57**:4524-4531.
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**P5**
**Thalidomide exerts protective immunomodulatory action during *Klebsiella pneumoniae* B5055-induced acute lung infection in BALB/c mice.**
V Kumar*, S Chhibber
Department of Microbiology, Panjab University, Chandigarh, India
*Critical Care* 2014, **18**(Suppl 2):P5; doi:10.1186/cc14008
**Introduction:** Thalidomide (*α*-naphthylimidoglutarimide), a psychoactive drug that readily crosses the blood-brain barrier, has been shown to exhibit anti-inflammatory, anti-angiogenic, immunomodulatory properties through a mechanism that is not fully established. Keeping these properties in mind, we have tried to find out the anti-inflammatory and immunomodulatory properties of thalidomide in mouse model of acute inflammation by introducing *Klebsiella pneumoniae* B5055 in BALB/c mice via the intranasal route.
**Methods:** Acute lung infection (ALI) or pneumonia in BALB/c mice was induced via instillation of selected dose (10^6 CFU/ml) of bacteria (that is, *K. pneumoniae* B5055) intranasally. Mice were observed for 7 days and lungs were isolated on designated days for studying difference in bacterial load and other proinflammatory mediators using standard biochemical methods and ELISA.
**Results:** The intranasal instillation of bacteria in this mouse model of acute pneumonia-induced inflammation led to significant increase in neutrophil infiltration into the lungs. This was further accompanied by an increased production of proinflammatory cytokines (that is, TNFα and IL-1α) and other mediators of inflammation (that is, malondialdehyde (MDA), myeloperoxidase (MPO) and nitric oxide (NO)) in the lung tissue. The animals, which received thalidomide alone orally or in combination with augmentin, 30 minutes prior to bacterial instillation into the lungs via intranasal route, showed significant (P ≤ 0.05) decrease in neutrophil influx into the lungs. A significant (P ≤ 0.05) decrease in the production of proinflammatory cytokines (that is, TNFα and IL-1α) and other biochemical mediators of acute inflammation (that is, MDA, MPO, and NO) was also observed in this group. But the augmentin treatment alone did not decrease these proinflammatory mediators significantly (P ≥0.05) as compared to the control group.
**Conclusion:** We therefore conclude that thalidomide ameliorates lung inflammation induced by *K. pneumoniae* B5055 without significantly (P ≤ 0.05) decreasing the bacterial load in the lung tissue whereas augmentin takes care of bacterial proliferation. Hence, it can be used as an adjunct therapy along with antibiotics as an anti-inflammatory or an immunomodulatory agent in case of acute lung infection or pneumonia.
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**P6**
**Impact of purulent complications and sepsis on cardiovascular system in patients with type 2 diabetes.**
E Shalaeva*, B Babadjanov, U Pulatov, N Dadabayeva, A Shalaeva
Republican Center of Purulent Surgery and Complications of Diabetes, Tashkent Medical Academy, Tashkent, Uzbekistan
*Critical Care* 2014, **18**(Suppl 2):P6; doi:10.1186/cc14009
**Introduction:** Purulent complications in patients with type 2 diabetes are usually severe, often complicated by sepsis and require emergency surgery. Noncardiac surgery is associated with a 7 to 11% complication rate and mortality of 0.8 to 1.5% [1], up to 42% are cardiac reasons [2]. After surgery, 2% of patients suffer major cardiac complications [3], and 8% show evidence of significant myocardial injury [2]. The aim of this study was to identify the impact of purulent complications and sepsis on cardiovascular system in patients with type 2 diabetes.
**Methods:** We analyzed 112 consecutive patients (54 men and 58 women) aged 57.2 ± 8.4 years with purulent-necrotic complications (gangrene, phlegmon, and abscess) of type 2 diabetes and sepsis in 2013. We compared laboratory and instrumental data (blood tests, ECG, echocardiography and others), which were previously obtained in the same patients receiving inpatient treatment before sepsis (2011 to 2012).
**Results:** Gangrene of lower extremities in 59 (52.7%) prevailed among purulent complications. After the development of sepsis we detected in all patients significantly increased heart rate, respiratory rate per minute, leukocytosis, anemia, worse glucose metabolism and renal function (Table 1). Congestive heart failure became more severe. This was confirmed by decrease of left ventricle ejection fraction (55.2 ± 5.1% before sepsis vs. 49.3 ± 4.1% after) and increase brain natriuretic peptide (291.4 ± 34.5 ng/ml vs. 395.2 ± 28.1 ng/ml, P < 0.001). Prior sepsis in 66 (58.9%) of patients with arterial hypertension was observed, after in 88 (78.6%). After admission to
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**Table 1 (abstract P6) Hemodynamic parameters and blood tests in patients with purulent complications of type 2 diabetes and sepsis**
| Parameter | Before sepsis (n = 112) | After sepsis (n = 112) | P value |
|------------------------------------------------|-------------------------|------------------------|---------|
| Heart rate (beats/minute) | 78.4 ± 15.2 | 112.5 ± 18.9 | < 0.001 |
| Respiratory rate (breaths/minute) | 18.0 ± 2.0 | 29.5 ± 5.5 | < 0.001 |
| Systolic BP (mmHg) | 155.7 ± 35.4 | 154.2 ± 58.5 | n.s |
| Diastolic BP (mmHg) | 90.4 ± 10.3 | 91.9 ± 8.6 | n.s |
| Left ventricle ejection fraction (%) | **55.2 ± 5.1** | **49.3 ± 4.1** | **0.033**|
| Fasting plasma glucose (mmol/l) | 8.4 ± 2.5 | 15.4 ± 4.8 | < 0.001 |
| Two-hour plasma glucose (mmol/l) | 10.2 ± 2.8 | 19.9 ± 3.3 | < 0.001 |
| HbA1c (%) | **8.4 ± 0.5** | **12.1 ± 0.5** | **< 0.001**|
| Hemoglobin (g/l) | 121.5 ± 12.5 | 105.4 ± 11.7 | 0.04 |
| White count (10^9) | 6.7 ± 1.2 | 14.4 ± 2.1 | < 0.001 |
| Fibrinogen (mg%) | 411.6 ± 103.6 | 715.4 ± 215.5 | < 0.001 |
| Blood urea (mmol/l) | 6.1 ± 2.9 | 8.8 ± 2.5 | 0.111 |
| Blood creatinine (mmol/l) | 88.4 ± 18.5 | 105.6 ± 17.3 | 0.02 |
| Brain natriuretic peptide (ng/ml) | 291.4 ± 34.5 | 395.2 ± 28.1 | < 0.001 |
BP, blood pressure; HbA1c, glycosylated hemoglobin A1c
Table 2 (abstract P6) Cardiovascular comorbidity in patients with type 2 diabetes before and after purulent-necrotic complications and sepsis
| Parameter | Before sepsis (n = 112) | After sepsis (n = 112) |
|------------------------------------------------|-------------------------|------------------------|
| **Insulin dependence** | 42 (37.5) | 112 (100) |
| Normal blood pressure (110 to 139 mmHg) | 46 (41.1) | 11 (9.8) |
| **Arterial hypertension** | 66 (58.9) | 88 (78.6) |
| First degree (140 to 159 mmHg) | 33 (29.5) | 21 (8.9) |
| Second degree (160 to 179 mmHg) | 21 (18.6) | 43 (38.4) |
| Third degree (>180 mmHg) | 12 (10.7) | 24 (21.4) |
| Arterial hypotension (<90 mmHg) | - | 13 (11.6) |
| CAD, stable angina | 108 (94.6) | 82 (73.2) |
| FC I | 18 (16.1) | - |
| FC II | 29 (25.9) | 18 (16.1) |
| FC III | 52 (46.4) | 45 (40.2) |
| FC IV | 9 (8.0) | 19 (17.0) |
| **CAD, unstable angina** | 4 (3.6) | 17 (15.2) |
| **Acute myocardial infarction** | - | 13 (11.6) |
| Postinfarction cardiosclerosis | 7 (6.3) | 7 (6.3) |
| Atrial fibrillation | 7 (6.3) | 7 (6.3) |
| Supraventricular arrhythmia | 3 (2.7) | 12 (10.7) |
| Ventricular arrhythmia | 14 (12.5) | 36 (32.1) |
| Congestive heart failure | 112 (100) | 112 (100) |
| FC II (NYHA) | 76 (67.8) | 26 (23.2) |
| FC III (NYHA) | 36 (32.1) | 65 (58) |
| FC IV (NYHA) | - | 21 (18.7) |
| Abscesses of the lower extremity | - | 22 (19.6) |
| Phlegmon of the lower extremity | - | 31 (27.7) |
| Gangrene of the lower extremity | - | 59 (52.7) |
Data presented as n (%). CAD, coronary artery disease; FC, functional class; NYHA, New York Heart Association.
the centre, patients had no signs of septic shock. In 13 (11.6%) patients, the perioperative period was complicated by acute myocardial infarction, which was accompanied by a fall in blood pressure. We detected an increase of the functional class of stable angina, congestive heart failure, 4.2 times increased incidence of unstable angina, 2.6 times ventricular and four times supraventricular extra systole after septic complications (Table 2).
Conclusion: After the development of purulent complications and sepsis in patients with type 2 diabetes, we observed increased incidence of arterial hypertension, arrhythmias, worsened severity of coronary artery disease and congestive heart failure. Perioperative risk of acute myocardial infarction amounted to 11.6%.
References
1. Haynes AB, Weiser TG, et al.: A surgical safety checklist to reduce morbidity and mortality in a global population. *N Engl J Med* 2009, 360:491-499.
2. Devereaux PJ, Chan MT, et al.: Association between post-operative troponin levels and 30-day mortality among patients undergoing noncardiac surgery. *JAMA* 2012, 307:2295-2304.
3. Devereaux PJ, Goldman L, et al.: Perioperative cardiac events in patients undergoing noncardiac surgery: a review of the magnitude of the problem, the pathophysiology of the events and methods to estimate and communicate risk. *CMAJ* 2005, 173:627-634.
P7
Severity of sepsis in patients with acute purulent destructive pulmonary disease depending on the presence of type 2 diabetes: impact on the forecast.
A Babobekov*, B Babadjanov, S Atakov, E Shalaeva
Republican Center of Purulent Surgery and Complications of Diabetes, Tashkent Medical Academy, Tashkent, Uzbekistan
*Critical Care* 2014, 18(Suppl 2):P7; doi:10.1186/cc14010
Introduction: Lung abscesses and gangrene are the most severe clinical manifestation and outcome among acute purulent destructive pulmonary disease (APDPD). Mortality ranges from 10 to 35%, and in the presence of diabetes increases up to 30 to 90% [1]. The main reason for this is the generalization of infection (sepsis), leading to the development of multiple organ failure [2,3]. The aim of this study was to identify the severity of sepsis in patients with APDPD depending on the presence of type 2 diabetes, and the impact on the forecast.
Methods: During the period 2012 to 2013, we examined 408 patients aged 48.5 ± 12.5 years (258 men/150 women) who underwent surgical treatment for APDPD. The patients were divided into two groups: 144 patients with type 2 diabetes, and controls (n = 246). We carried out computed tomography, ECG, echocardiography, laboratory biochemical testing, and bacteriological analysis of pathologic material and blood samples.
Results: Patients with type 2 diabetes had much more complications and cases of severe sepsis and septic shock (Table 1). Bacteriological analysis of the pathologic material showed Gram-positive bacteria in 35 to 45%, anaerobic association in 55 to 65%, pathological fungi in 50 to 60%. The patients with type 2 diabetes had much more time from the onset of the first symptoms of lung disease prior to admission (12.5 ± 3.5 vs. 7.5 ± 2.5 days, P = 0.002), and the duration of inpatient treatment was significantly longer (13.8 ± 5.5 vs. 7.1 ± 3.4 days, P = 0.001). Only 53 (36.8%) of patients with type 2 diabetes and 68 (29.5%) without it had bacteriological positive blood culture. The analysis of the distribution of pathogens in groups is presented in Figure 1. Patients with diabetes had more *Candida* spp.
Table 1 (abstract P7) Clinical symptoms and severity of sepsis in patients with acute purulent destructive pulmonary disease depending on the presence of type 2 diabetes
| Data | Type 2 diabetes (n = 144) | Control (n = 264) |
|-------------------------------------------|---------------------------|-------------------|
| Acute lung abscess | 59 (40.9) | 122 (46.2) |
| Necrotizing pneumonia | 47 (32.6) | 98 (37.1) |
| Lung gangrene | 38 (26.4) | 44 (16.7) |
| Empyema | 88 (61.1) | 81 (30.7) |
| Pycn pneumothorax | 16 (11.1) | 9 (3.4) |
| Mediastinitis | 34 (23.6) | 16 (6.1) |
| Body temperature >38°C/<36°C | 98 (68.1)/21 (14.6) | 261 (98.9)/3 (1.1)|
| Respiratory rate >20/minute | 144 (100) | 264 (100) |
| Heart rate >90 beats/minute | 138 (95.8) | 242 (91.7) |
| PaCO₂ <32 mmHg | 144 (100) | 264 (100) |
| Leukocytes >12,000/<4,000 cells/mm³ | 111 (77.1)/13 (9.1) | 202 (76.5)/11 (4.2)|
| Renal failure, oliguria | 42 (29.2) | 34 (12.9) |
| Increase liver enzymes | 34 (23.6) | 45 (17.1) |
| Systolic blood pressure <90 mmHg | 33 (22.9) | 51 (19.3) |
| Sepsis | 101 (70.1) | 223 (84.5) |
| Severe sepsis | 25 (17.4) | 29 (11.0) |
| Septic shock | 18 (12.5) | 12 (4.5) |
Data presented as n (%)
(Figure 1), Figures 2, Figure 3 and Figure 4 present the X-ray dynamics of a 42-year-old man with lung abscess. Clinical recovery in patients with type 2 diabetes was significantly worthy compared to controls (45 (31.2%) vs. 153 (57.9%)), mortality rate 48 (33.3%) versus 39 (14.7%), respectively.
**Conclusion:** In patients with acute purulent destructive pulmonary disease and type 2 diabetes, severe sepsis and septic shock more often prevailed, inpatient mortality rate was 2.27 times higher, compared to patients with normal glucose metabolism.
**References**
1. Defraigne JO, *et al*: Cavernostomy: an old but effective technique in the treatment of pulmonary abscess. *Rev Med Liege* 2007, **52**:498-501.
2. Refaely J, Weissberg D: Gangrene of the lung: treatment in two stages. *Ann Thorac Surg* 1997, **64**:970-973.
3. Rice TW, Ginsberg PJ, Todd TR: Tube drainage of lung abscesses. *Ann Thorac Surg* 1987, **44**:356-359.
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**P8**
**Risk factors and incidence of mediastinitis in patients with lung abscess and sepsis.**
E Shalaeva¹, B Babadjanov, B Janabaev, A Shalaeva
Republican Center of Purulent Surgery and Complications of Diabetes, Tashkent Medical Academy, Tashkent, Uzbekistan
*Critical Care* 2014, **18**(Suppl 2):P8; doi:10.1186/cc14011
**Introduction:** Mediastinitis is a life-threatening condition, which is accompanied by high rates of mortality in cases of delayed diagnosis and inadequate treatment. The aim of the study was to identify the risk factors and incidence of mediastinitis in patients with lung abscess and sepsis.
**Methods:** In 2013, 218 consecutive patients (83 women and 135 men) with lung abscess and sepsis aged 45.8 ± 13.2 years were operated. They had a full range of laboratory and instrumental examinations, including echocardiography and computed tomography.
**Results:** Aerobic-anaerobic association in sputum was revealed in all patients with lung abscess and sepsis, *Candida* spp. in 34 (15.6%). Blood culture was positive only in 59 (27%) patients, which had not previously received antibacterial therapy (polymicrobial flora including *Staphylococcus* and *Streptococcus* specimen). Empyema was diagnosed in 123 patients (56.4%), 31 (14.2%) of them were complicated by mediastinitis. The main clinical symptoms of mediastinitis were hyperthermia (100%), dysphagia (83.8%), dyspnea (80.6%), chest pain (61.3%), orthopnea
(61.3%), and tachycardia (87.1%). The computer tomography revealed an increase in mediastinum size with accumulation of fluids and fluid in the pleural cavities (100%), free gas in the mediastinum (45.1%), enlarged mediastinal lymph nodes (45.1%), and fluid in the pericardium cavity (48.4%). To analyze the risk factors, we include 31 patients with lung abscess and sepsis complicated by mediastinitis in the first group, and 187 patients without mediastinitis in the second group. Groups were similar in age (46.1 ± 8.2 years vs. 45.8 ± 13.2 years). A total 77.4% of patients with mediastinitis were women who suffered from type 2 diabetes (HbA1c = 9.7 ± 1.4%), congestive heart failure, and anemia. Significant differences in the groups according to the data of laboratory and instrumental studies are presented in Table 1.
**Conclusion:** In total, 14.2% of patients presented with lung abscess and sepsis complicated by mediastinitis, more commonly in women with diabetes mellitus, obesity, anemia and reduced ejection fraction of the left ventricle.
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**P9**
**Impact of KDO in biological activity of Re-LPS.**
I Prakharenko\(^1\), S Zubova, D Kabanov, S Grachev
Institute of Basic Biological Problems, Pushchino, Moscow Region, Russia
*Critical Care* 2014, [18(Suppl 2)]:P9; doi:10.1186/cc14012
**Introduction:** The minimal biological active structure of endotoxins (lipopolysaccharides (LPS)) is Re-LPS (KDO2-lipid A), which consist of lipid A and two (or three) molecules of 3-deoxy-D-manno-2-octulosonic acid (KDO) [1,2]. Biological activity of endotoxins is defined in general by the number and distribution of acyl residues on the lipid A backbone [3]. Recently it has been reported that KDO-treated RAW 264.7 cells exhibited a gene expression pattern similar to that in LPS-treated cells. These authors revealed that free KDO participated in crosstalk between Toll-like receptors (TLR) and G protein-coupled receptors and so that regulated activators and repressors of immune signaling [4]. LPS-dependent TLR4-triggered activation of target cells leads to specific changes in the levels of surface receptors and induces synthesis of proinflammatory cytokines [5]. However, the dependence of these processes on the structural composition of LPS is not well understood. To extend our knowledge in this field, the effects of free KDO as well as KDO as covalently linked to lipid A constituent of Re-LPS on expression of TLR4, CD11b and CD14 receptors and TNF\(\alpha\) synthesis in whole human blood have been investigated.
**Methods:** Human blood was incubated with Re-LPS from *Escherichia coli* JM103 or *Salmonella enterica sv Typhimurium* SL1181 (100 ng/ml) or with lipids A from *E. coli* F583 or *S. enterica* sv Minnesota R595 (80 ng/ml) or with ammonium salt of KDO (20 ng/ml) at 37°C in 5% CO\(_2\)-humidified atmosphere for 2 or 6 hours to determine receptor expression or TNF\(\alpha\) release, respectively. Receptor expression was monitored by EPICS XL-MCL flow cytometer using Alexa Fluor 488 anti-TLR4 (HTA125), anti-CD11b (ICRF44) and anti-CD14 (HCD14) antibodies. Human TNF-\(\alpha\) ELISA Kit II was exploited to TNF\(\alpha\) determination.
**Results:** Re-LPS *E. coli* or Re-LPS *S. enterica* differentially affected receptor expression in comparison to their respective lipids A. Free KDO in the equimolar concentration as it exists in KDO2-lipid A (Re-LPS) did not influence the level of CD14 but downregulated the expression of TLR4 and CD11b (Figure 1). Tenfold increased KDO concentration did not affect further the receptor expression. The addition of KDO2 to lipid *A E. coli* - that is, applying KDO as covalently linked constituent of Re-LPS - led to upregulation of CD14 and TLR4 but downregulated CD11b expression. The expression of TLR4 was most pronounced upregulated by Re-LPS *S. enterica* but in the case of CD14 and CD11b this Re-LPS had an opposite effect in comparison to *E. coli* endotoxins (table in Figure 1). Lipid A *S. enterica* was a less potent TNF\(\alpha\) inductor than that from *E. coli* (Figure 2). This may be explained by the differences in lipid A composition determining lipid A affinity to target receptor(s). LPS *E. coli*, as had been shown early, caused MyD88-dependent fast NF-\(\kappa\)B degradation (rapid TNF\(\alpha\) response) whereas LPS *S. enterica* induced MyD88-independent signaling (delayed TNF\(\alpha\) response) [5]. In our study, free KDO did not stimulate TNF\(\alpha\) release. KDO2 as a constituent of Re-LPS *S. enterica* increased significantly the TNF\(\alpha\)-inducing activity of lipid A *S. enterica* but this effect was not so distinguished between Re-LPS *E. coli* and lipid A *E. coli* (Figure 2).
**Conclusion:** Free KDO in the used concentration was inactive in regulation of TLR4, CD11b and CD14 expression and did not induce TNF\(\alpha\) release but its impact in biological activity was detected when KDO was applied as constituent of Re-LPS. This may be explained by the effect of KDO on the spatial conformation of Re-LPS.
**Acknowledgements:** The work was supported by Grant 16.N08.12.1014 established by the Russian Ministry of Education and Science
**References**
1. Olofsson M, Peterson B, Schlecht S, Haverkamp J, Bock K, Thomas-Oates J, Holst O: Identification of a novel core type in *Salmonella* lipopolysaccharide. *J Biol Chem* 1998, 273:3817-3829.
2. Fregolino E, Fugazzuta G, Galano E, Gargiulo V, Landini P, Lanzetta R, Lindner B, Pagani L, Parrilli M, Holst O, et al: Complete lipoooligosaccharide structure of the clinical isolate *Acinetobacter baumannii*, strain SMAL. *Eur J Org Chem* 2010, 7:1345-1352.
3. Rietschel E, Kirikae T, Schade U, Wanner U, Schmidt G, Loppnow H, Ulmer A, Zähringer U, Seydel U, Di Padova F, et al: Bacterial endotoxin: molecular
relationships of structure to activity and function. *FASEB J* 1994, 8:217-225.
4. Krishnan J, Choi S: Systems biological approaches reveal non-additive responses and multiple crosstalk mechanisms between TLR and GPCR signaling. *Genomics Inform* 2012, 10:153-166.
5. Zughaiar S, Zimmer S, Datta A, Carlson R, Stephens D: Differential induction of Toll-like receptor 4-MyD88-dependent and -independent signaling pathways by endotoxins. *Infect Immun* 2005, 73:2940-2950.
**P10**
**Two novel formulae are superior to procalcitonin for prediction of sepsis in trauma patients.**
H-p Liang, H Jin, Y Xiao, Z Liu
State Key Laboratory of Trauma, Burns and Combined Injury, Research Institute of Surgery, The Third Military Medical University, Chongqing, People's Republic of China
*Critical Care* 2014, 18(Suppl 2):P10; doi:10.1186/cc14013
**Introduction:** The purpose of this study was to verify the predictive value of two novel formulae and compare them with that of procalcitonin (PCT) for predicting sepsis in trauma patients.
**Methods:** We performed a retrospective study of trauma patients treated at Daping Hospital in Chongqing, China and Affiliated Hospital of Zunyi Medical College between 2010 and 2013. Patients ≥16 years old, admitted to hospital after injury within 24 hours and with length of hospital stay >48 hours were included. Predictive ability of two formulae based on LD$_{50}$ values of the Injury Severity Score (ISS) and New Injury Severity Score (NISS) were verified: ISS/LD$_{50}$ISS+SIIRS score and NISS/LD$_{50}$NISS+SIIRS score, and then were compared with the most common used biomarker PCT. LD$_{50}$ values for different age groups and genders were obtained in our former study. The statistical performance of the two formulae and PCT to predict sepsis was evaluated using receiver operating characteristic (ROC) curve analysis.
**Results:** Two hundred and twenty-one trauma patients' data were enrolled in the study, including 44 females and 177 males. The average age of the patients was $44.77 \pm 15.01$ years. The performance of the ISS/LD$_{50}$ISS+SIIRS score and the NISS/LD$_{50}$NISS+SIIRS score was equivalent (area under the ROC curve (AUC) = 0.816 vs. 0.819, $P > 0.05$) and both performed better than PCT (AUC = 0.592, $P < 0.05$) in predicting posttraumatic sepsis. For the ISS/LD$_{50}$ISS+SIIRS score, the cutoff value was 2.38, with a positive predictive value of 78.08%, a negative predictive value of 81.33%, a sensitivity of 89.6%, a specificity of 65.59%, a positive likelihood ratio of 2.59, a negative likelihood ratio of 0.17, a Youden index of 0.5465, an odds ratio of 15.52, and an accuracy of 79.19%. For the NISS/LD$_{50}$NISS+SIIRS score, the cutoff value was 2.4677, with a positive predictive value of 79.70%, a negative predictive value of 75.00%, a sensitivity of 82.81%, a specificity of 70.97%, a positive likelihood ratio of 2.85, a negative likelihood ratio of 0.24, a Youden index of 0.5378, an odds ratio of 11.78, and an accuracy of 77.83%.
**Conclusion:** The two novel formulae ISS/LD$_{50}$ISS+SIIRS score and NISS/LD$_{50}$NISS+SIIRS score performed well and were both better than PCT in predicting sepsis post trauma. The value of the two formulae can be easily calculated in real time and can identify the high-risk patients susceptible to sepsis. This method may become an effective way to guide the early assessment and treatment in trauma patients.
**P11**
**Inhibitory effects of evodiamine on zymosan-induced inflammation: inactivation of NF-κB by inhibiting IκBα phosphorylation.**
X Fan*, J-y Zhu, Z Liu, J Yan, Q Ma, H-p Liang
State Key Laboratory of Trauma, Burns and Combined Injury, Research Institute of Surgery, The Third Military Medical University, Chongqing, People's Republic of China
*Critical Care* 2014, 18(Suppl 2):P11; doi:10.1186/cc14014
**Introduction:** Inflammation is a host defense reaction against pathogenic infection. In this process, inflammatory cytokines contribute to combat against infection, but excess cytokines will lead to tissue damage. Nonsteroidal anti-inflammatory drugs and corticosteroids are commonly used for regulating these inflammatory mediators and treatment of inflammatory disorders. But these drugs are not sufficient for clinical practice due to their adverse effects, so new anti-inflammatory drugs are still needed. Evodiamine (EVO), an important alkaloidal component extracted from the fruit of Evodiae fructus, possesses the property of analgesia, antiemesis, and vascular dilatation. Its anti-inflammatory effect and underlying mechanism were investigated using a zymosan-induced inflammatory model.
**Methods:** *In vitro*, RAW264.7 cells and primary peritoneal macrophages were treated with different doses of EVO (25, 50 or 100 μM) for 1 hour prior to incubation with zymosan (100 μg/ml), and the effects of EVO on protein and mRNA levels of proinflammatory cytokines were determined by ELISA and qRT-PCR, respectively. *In vivo*, peritonitis was induced in C57BL/6 mice by zymosan (500 mg/kg) injection, and the effects of EVO (10 mg/kg) on plasma cytokine levels and organ injury were evaluated. Activation of the NF-κB signal pathway was investigated by ELISA-based Trans-AM transcription factor NF-κB p65 kit, immunocytochemistry and western blotting.
**Results:** EVO effectively suppressed the expression of IL-1β, IL-6 as well as TNFα in both protein and mRNA level *in vitro*. It can also attenuate zymosan-induced DNA-binding activity of NF-κB, which was achieved through the inhibitory effects on the phosphorylation of inhibitory kappa B α (IκBα) and p65 nuclear translocation, but there was little association with mitogen-activated protein kinase activation. *In vivo*, treatment with EVO could ameliorate inflammatory cell infiltration and vascular ectasia induced by zymosan in both lung and intestine tissues. EVO can markedly decrease the level of TNFα and IL-6 in plasma, and effectively downregulate expression of IL-6, TNFα and myeloperoxidase in both lung and intestine. Moreover, cell apoptosis in organs was also attenuated by treatment of EVO. The underlying mechanism that a decrease in the phosphorylation of IκBα and the subsequent transcription activity of NF-κB was also confirmed.
**Conclusion:** Taken together, our data demonstrate that EVO displays anti-inflammatory actions *in vitro* and *in vivo* by suppressing the phosphorylation of IκBα and inactivating NF-κB, which suggests that EVO is a potential therapeutic agent against inflammatory disorder.
**P12**
**Imaging in severe sepsis and septic shock: is early radiological identification of occult sources of infection needed?.**
A Creamer*, J Keep
Emergency Department, Kings College Hospital, London, UK
*Critical Care* 2014, 18(Suppl 2):P12; doi:10.1186/cc14015
**Introduction:** The importance of imaging in establishing the focus of infection is recognised in current guidelines for the management of severe sepsis [1], with decisions regarding timing and modality of imaging left to the physicians’ clinical judgement. In the emergency department (ED), clinical assessment combined with bedside investigations of chest X-ray
(CXR) and urine dip can be used to confirm the two most common sources [2]. However, they may fail to identify occult sources of infection, such as intraabdominal collections and abscesses, the treatment of which may require alteration of empirical treatment or be refractory to antibiotic therapy alone. Further imaging is necessary to confirm the focus so that optimal treatment can be achieved.
**Methods:** The study cohort was composed of 50 consecutive patients who met the criteria for severe sepsis [1] attending the ED in 2013. Electronic and paper patient records and radiology results were analysed. All radiological studies done in the first 72 hours following attendance were included in the study.
**Results:** CXR was performed as the initial investigation in 49 of the 50 patients (98%). The median time from arrival at the ED to initial imaging was 1 hour:00 minutes (range 0 hours:04 minutes to 4 hours:25 minutes). Initial investigations in the ED of CXR and urine dip identified a septic focus in 30 of 50 patients (60%). Fourteen of the remaining 20 went on to have one or more further imaging studies. Figure 1 outlines the second-line and third-line radiological investigations performed (number where a septic focus was identified in parentheses). The median time to first positive imaging was 0 hours: 50 minutes (range 0 hours:04 minutes to 40 hours), with the source remaining unidentified by imaging and urine testing in 15 of the 50 patients.
**Conclusion:** Our results indicate that simple bedside investigations are able to identify a focus of infection in 60% of patients presenting to the ED with severe sepsis. Our results support the continued use of CXR as the initial imaging modality in severe sepsis, but also demonstrate the benefit of further imaging in confirming the focus of infection and to guide definitive treatment. Instances where further imaging was delayed by several days highlight the need for guidelines detailing which investigations should be done and in what time frame.
**References**
1. Dellinger RP, Levy MM, Rhodes A, Annane D, Gerlach H, Opal SM, et al.: Surviving Sepsis Campaign: international guidelines for management of severe sepsis and septic shock, 2012. *Intensive Care Med* 2013, 39:165-228.
2. Perman SM, Goyal M, Gaieski DF: Initial emergency department diagnosis and management of adult patients with severe sepsis and septic shock. *Scand J Trauma Resusc Emergency Med* 2012, 20:41.
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**P13**
**Proinflammatory versus anti-inflammatory response in sepsis patients: looking at the cytokines.**
D Anand\textsuperscript{1,2}, S Ray\textsuperscript{2}, S Bhargava\textsuperscript{1}, S Das\textsuperscript{1}, A Garg\textsuperscript{2}, S Taneja\textsuperscript{2}, D Dhar\textsuperscript{2}, L Mohan Srivastava\textsuperscript{1}
\textsuperscript{1}Department of Biochemistry and Critical Care Medicine, Sir Ganga Ram Hospital, New Delhi, India; \textsuperscript{2}Department of Critical Care and Emergency Medicine, Sir Ganga Ram Hospital, New Delhi, India
*Critical Care* 2014, 18(Suppl 2):P13; doi:10.1186/cc14016
**Introduction:** Despite improvements in supportive care, mortality rates in sepsis remain substantially high. Sepsis exhibits phases of enhanced inflammation, alternating with immune suppression with a resultant variant time point of mortality; yet no human study has correlated levels of cytokines to the timeline of mortality. Our study attempts to analyze the association of levels of proinflammatory and anti-inflammatory cytokines in sepsis with the timeline of death in terms of early (<5 days) versus late (>5 days) mortality, and day of death. We also assessed correlation of these cytokines with length of stay.
**Methods:** The study protocol was approved by Institutional Ethics Committee. Subjects were 74 consecutive patients with community-acquired severe sepsis/septic shock admitted to the ICU of a tertiary care superspeciality hospital. Blood samples drawn on days 1, 3 and 7 of admission were analysed for proinflammatory cytokine (TNF\textsubscript{\alpha}) by chemiluminescent immunometric assay and anti-inflammatory cytokine (IL-10) by ELISA. Subjects were segregated on basis of: ratio of proinflammatory and anti-inflammatory mediators on day 1 of admission into patients with predominant proinflammatory or predominant anti-inflammatory response. Survival and time point of mortality into survivor, early mortality and late mortality groups. Statistical analyses were performed using SPSS version 17.
**Results:** There were 37 patients each in predominant proinflammatory and predominant anti-inflammatory groups. The number of deaths was 11 and 17 respectively in these groups. However, there was significantly higher early mortality in the proinflammatory group as compared to the anti-inflammatory group (7 vs. 1, $P = 0.0247$). On the contrary, late deaths were significantly higher in the anti-inflammatory group as compared to the proinflammatory (16 vs. 4, $P = 0.0017$). The ratio of proinflammatory/anti-inflammatory cytokines (TNF/IL-10) on day 1 was significantly lower in patients of late death ($n = 20$) as compared to patients of early death ($n = 8$) and survivors ($n = 46$) as shown in Table 1. Further, the median day of death...
Table 1 (abstract P13) TNF/IL-10 ratio in study groups at different time points
| Time Point | Early death (≤ 5 days) (n = 8) | Late death (>5 days) (n = 20) | Survivors (n = 46) | P value |
|------------|--------------------------------|-------------------------------|-------------------|---------|
| Day 1 | 1.81 (1.00 to 3.44) | 0.50 (0.31 to 0.90) | 1.22 (0.43 to 3.91)| 0.020* |
| Day 3 | 1.12 (0.50 to 3.91) | 1.01(0.20 to 2.21) | 2.5 (0.90 to 3.91) | 0.158 |
| Day 7 | - | 1.25 (0.59 to 2.38) | 1.79 (0.75 to 3.90)| 0.256 |
Data presented as median (IQR). Kruskal-Wallis test was performed for significance between three groups. *P < 0.05 considered significant.
Conclusion: Our preliminary data suggest that in sepsis, the ratio of proinflammatory/anti-inflammatory cytokines on day 1 is significantly associated with time point of mortality; hence, this ratio can be used to particularize management. Further studies are in progress to substantiate the role of proinflammatory and anti-inflammatory cytokines in this subset of patients. Moreover, since predominant anti-inflammatory response was associated with later death, role of immunomodulators in sepsis needs to be explored.
P14
Understanding heterogeneity in the host response to *Staphylococcus aureus* infection for prognostic biomarker discovery.
JB Dinso¹, J Gutierrez², DF Choy¹, S Kummerfeld³, A Baruch², HF Chambers⁴, CM Rosenberger¹
¹TGR Diagnostic Discovery, Genentech Inc., South San Francisco, CA, USA; ²Pharmacodynamic Biomarkers, Genentech Inc., South San Francisco, CA, USA; ³Bioinformatics, Genentech Inc., South San Francisco, CA, USA; ⁴Division of Infectious Disease, University of California San Francisco, San Francisco, CA, USA
Critical Care 2014, 18(Suppl 2):P14; doi:10.1186/cc14017
Introduction: Invasive *Staphylococcus aureus* infections remain an unmet medical need with the issues of drug resistance (MRSA) and mortality. Understanding clinical trial data in the development of antibiotics to *S. aureus* is complicated by heterogeneous clinical outcomes (that is, length of hospitalization, mortality, treatment response), which makes interpretation of drug efficacy challenging. Identification of prognostic biomarkers of different biological processes that associate with clinical outcomes would aid in clinical development of novel therapies for *S. aureus* infections.
Methods: In an effort to discover biomarkers that differentiate patient populations based on clinical outcomes following *S. aureus* infection, we retrospectively analyzed published gene expression datasets of *S. aureus* infection and sepsis.
Results: We identified a leukocyte gene expression signature that positively correlated with *S. aureus* disease severity [1]. This severity signature was enriched for genes associated with neutrophils but was not solely explained by increased percentage of neutrophils. This set of genes was also associated with severity in sepsis, with higher expression in patients with septic shock compared with sepsis [2] and in nonsurvivors compared with survivors of septic shock [3]. Our *in vitro* studies revealed that the severity signature may reflect an increase in circulating immature neutrophils or band cells which has been previously reported in the context of bacterial stimuli and sepsis [4,5]. This line of evidence is consistent with a recent report by Guerin and colleagues that demonstrated that quantification of immature neutrophils by flow cytometry was prognostic for sepsis mortality [6].
Conclusion: To extend the insight gained from our retrospective analysis and *in vitro* studies, we are conducting a longitudinal, non-interventional clinical study of patients with *S. aureus* bacteremia. The goal of the study is to associate molecular metrics (gene expression, plasma protein levels, immune cell subsets) with clinical outcomes (length of hospitalization, mortality, treatment response, readmission for recalcitrant infection). Our preliminary data show an association between grade of sepsis or infection localization and increased immature neutrophils as well as monocyte subsets that can promote inflammation or immune exhaustion. Ongoing experiments are designed to understand the impact of these cellular phenotypes on disease progression and to identify robust protein or RNA biomarkers that are prognostic for clinical outcomes.
References
1. Banchereau R, Jordan-Villegas A: Host immune transcriptional profiles reflect the variability in clinical disease manifestations in patients with *Staphylococcus aureus* infections. PLoS ONE 2012, 7:e34390.
2. Wong HR, Cvijanovich N: Genomic expression profiling across the pediatric systemic inflammatory response syndrome, sepsis, and septic shock spectrum. Crit Care Med 2009, 37:1558-1566.
3. Wynn JL, Cvijanovich NZ: The influence of developmental age on the early transcriptomic response of children with septic shock. Mol Med 2011, 17:1146-1156.
4. Taneja R, Sharma AP: Immature circulating neutrophils in sepsis have impaired phagocytosis and calcium signaling. Shock 2008, 30:618-622.
5. Pillay J, Ramakers P: Functional heterogeneity and differential priming of circulating neutrophils in human experimental endotoxemia. J Leukoc Biol 2010, 88:211-220.
6. Guerin E, Orabona M: Circulating immature granulocytes with T-cell killing functions predict sepsis deterioration. Crit Care Med 2014, 42:2007-2018.
P15
miR-20a-5p mediates hypoxia-induced autophagy by targeting ATG16L1 in acute kidney injury.
I-K Wang¹,²*, C-Y Li¹,³*
¹Graduate Institute of Clinical Medical Science, China Medical University, Taichung, Taiwan; ²Division of Nephrology, China Medical University Hospital, Taichung, Taiwan; ³Department of Anesthesiology, China Medical University Hospital, Taichung, Taiwan
Critical Care 2014, 18(Suppl 2):P15; doi:10.1186/cc14018
Introduction: Autophagy could be induced under stress conditions, including starvation, infection, and hypoxia. The microRNA (miRNA) network may be critical in the regulation of autophagy. Upregulation of autophagy may be a protective response for cell survival in ischemic kidney injury. The aim of this study was to evaluate whether miRNA regulates autophagy in ischemic kidney injury and renal proximal tubular cells under hypoxic conditions.
Methods: Ischemic kidney injury was performed by clamping bilateral renal pedicles for 60 minutes in male mice. Human kidney proximal tubular (HK2) cells are incubated in a hypoxic chamber with 0.3% O₂. Bioinformatics analyses were used to select the candidate miRNA. Gain-of-function and loss-of-function methods were employed to evaluate the effects of miRNA on autophagy. Chromatin immunoprecipitation analyses and promoter luciferase reporter assays were used to evaluate the interaction of transcriptional factors with miRNA.
Results: Increase of LC3 and ATG16L1, autophagy-related proteins, and down expression of miR-20a-5p were detected in kidneys after ischemic injury and in HK2 cells under hypoxic conditions. The 3'-untranslated region luciferase reporter assays indicated that miR-20a-5p targeted ATG16L1 messenger RNA. Overexpression of miR-20a-5p reduced the expression of LC3-II and ATG16L1 in HK2 cells under hypoxic conditions, whereas antagomiR-20a reversed the inhibition. Using RNAi against hypoxia-inducible factor-1α (HIF-1α) in HK2 cells, we confirmed the inhibitory binding of HIF-1α to miR-20a-5p.
Conclusion: The signaling axis of HIF-1α, miR-20a-5p, and ATG16L1 in autophagic process might be a critical adapting mechanism for ischemic kidney injury.
Evaluating the sensitivity and specificity of a severe sepsis tool utilized at a community hospital in Miami, FL.
J Hirigoyen
4 Tower Medical-Surgical Unit, Baptist Hospital of Miami, Miami, FL, USA
Critical Care 2014, 18(Suppl 2):P16; doi:10.1186/cc14019
**Introduction:** Since the initial development of the Surviving Sepsis Campaign guidelines outlining the management of severe sepsis, there has been an absolute discount on the management of septic patients in medical surgical units. In efforts to improve severe sepsis, a community hospital in Miami adopted a severe sepsis screening tool (SSST) to rapidly identify severe septic patients in medical surgical units. A pilot study was conducted to evaluate the sensitivity and specificity of the SSST.
**Methods:** A descriptive retrospective study. There were two phases. Phase 1 evaluated the percentage of patients with sepsis criteria utilizing the SSST. Patients admitted to 4 Tower during 2013 presenting with a diagnosis of sepsis syndrome and admitted to 4 Tower presenting without sepsis syndrome were reviewed. Phase 2 evaluated the sensitivity and specificity of SSST from August 2013 to January 2014. Total number of patients admitted to 4 Tower; of those patients, total number with discharge diagnosis of sepsis, total number who screened positive >1 time during hospital stay, and total number who screened negative during hospital stay; there were five missing cases. The receiver operating curve (Figure 1) and the respective area under the curve were calculated. Utilizing a $2 \times 2$ design, the sensitivity and specificity of the tool was calculated.
**Results:** Phase 1, a total of 220 patients records were reviewed, a frequency distribution was utilized (Table 1), demonstrating that the SSST identified those patients with sepsis criteria 76% ($n = 167$) of the time. Phase 2, a total of 1,555 patients were included during phase 2. A $2 \times 2$ design (Table 2) was utilized: 78 patients were identified as true positive and 1,233 patients were identified as true negative. The study yielded a sensitivity of 41.49% and a specificity of 90.53%. The positive predictive value of the tool was estimated at 37.68%, negative predictive value was estimated at 91.81% and disease prevalence was 12.13%. Area under the receiver operating curve (Table 3) was 0.66.
**Conclusion:** A two-phase retrospective chart review study demonstrated that the SSST utilized at a community hospital in Miami had a sensitivity value of 41.49% and a specificity value of 90.53% when evaluating medical surgical patients. These results indicate the tool is accurate in detecting patients that are not septic; however, it is not reliable in identifying patients who are truly septic. Further studies need to be conducted to validate the sensitivity and specificity of the SSST; changes will be recommended in an effort to improve sensitivity.
**Acknowledgements:** Thanks to Eve Butler and Andrea Prentiss from Baptist Research Department, 4 Tower team. Special thanks to Melanie Santos, Luz Lorenzo, Disney Granado, Katiuska Diaz, Sandra Benitez, Magdely Perez, Viviana Castillo and Ofelia Cabrera.
Surviving Sepsis Campaign 2012 3-hour bundle in the emergency department: compliance and impact of pathway of care before and after implementation.
J Masse$^1$, A Filali$^2$, O Nigeon$^1$, N Van Grunderbeek$^2$, P Gosselin$^1$, L Tronchon$^2$, J Mallat$^2$, D Thervain$^1$
$^1$Emergency Department, Hospital Center of Lens, France; $^2$Intensive Care Unit, Hospital Center of Lens, France; $^3$Emergency Department, Lille University Hospital, Lille, France
Critical Care 2014, 18(Suppl 2):P17; doi:10.1186/cc14020
**Introduction:** Compliance with the Surviving Sepsis Campaign 2012 (SSC) bundle in the emergency department (ED) is a key point to improve outcome of severe sepsis and septic shock [1,2]. Before and after education of ED staff, we registered compliance and timing of lactate dosing, blood culture sampling, empiric antibiotic therapy (ATB) and fluid resuscitation, the 3-hour (H3) bundle. Survival and compliance according to the initial pathway of care were also studied.
**Methods:** A monocentric study before and after education of ED staff about SSC bundles (courses, posters, pocket guides). We looked at compliance of the H3 bundle items in a retrospective and a prospective cohort; timing of realisation, day 28 survival, overall severity (SAPS2, SOFA and RISSCC scores), impact of prehospital medical management, and initial pathway of care. Statistical analysis was performed with Fisher exact test and Mann-Whitney test. Multivariate analysis of factors associated with survival was made through logistic regression.
**Results:** Eighty-nine patients were included in the prospective cohort, 65 in the retrospective cohort. Patterns of patients in the retrospective and prospective cohort were respectively: sex ratio M/F 29/39 and 39/47 (NS);
Table 1 (abstract P16) Frequency distribution
| Statistics | Diagnosis on admission | Sepsis tool identifies sepsis |
|------------------|------------------------|-------------------------------|
| Valid | 220 | 220 |
| Missing | 0 | 0 |
Frequency table
| Diagnosis on admission | Frequency | Percent | Valid percentage | Cumulative percentage |
|------------------------|-----------|---------|------------------|-----------------------|
| Valid | 220 | 100.0 | 100.0 | 100.0 |
| Not valid | 53 | 24.1 | 24.1 | 24.1 |
| Valid | 167 | 75.9 | 75.9 | 100.0 |
| Total | 220 | 100.0 | 100.0 | |
Table 2 (abstract P16) The 2 × 2 design
| Sepsis present | Sepsis absent |
|----------------|---------------|
| Positive | |
| 78 true positive | 129 false positive |
| Negative | |
| 110 false negative | 1,233 true negative |
Table 3 (abstract P16) Area under the curve
Test result variable(s): screen
| Area |
|------|
| 0.660|
median age 63.29/61.38 (NS); SAPS2 44/40 (P = 0.019); SOFA 4/3 (P = 0.005); RISSC 9/12.5 (P = 0.002). Compliance with the H3 bundle items before and after intervention was: lactate 72.1% vs. 81.4% (NS); blood cultures 61.8% vs. 67.4% (NS); ATB 29.3% vs. 52.3% (P = 0.005); fluids 52.9% vs. 59.3% (NS). Median delays before and after implementation were (in minutes): lactate 56 vs. 40 (P = 0.024); blood cultures 68 vs. 75 (NS); ATB 229 vs. 160 (NS); fluids 100 vs. 74 (NS). Survival was superior after intervention 67.6 vs. 81.4% (P = 0.049), and associated with a low SAPS2 score in multivariate analysis. Admission through a prehospital medical team was associated with a stronger H3 ATB compliance before intervention (P = 0.032). Within the ED, initial orientation to the acute care unit was associated with a better H3 ATB compliance compared to standard care before and after staff education (P = 0.001; P = 0.003), and with better overall compliance (P = 0.004; P = 0.026).
Conclusion: Compliance with the SSC H3 bundle was increased but still needs to be improved. There is an impact of the initial pathway of care on compliance of the bundle, and on timing of ATB injection. Differences in healthworker/patient ratio in the units of care could explain these disparities [3]. Improvement could be obtained through optimizing early screening, correct initial guidance, or with dedicated teams.
Acknowledgements: The authors would like to thank the members of the Unit of Clinical Research of the Hospital Center of Lens for their great help in data recovery.
References
1. Dellinger RP, Levy MM, Rhodes A, Annane D, Gerlach H, Opal SM, Sevransky JE, Sprung CL, Douglas IS, Jaeschke R, Osborn TM, Nunnally ME, Townsend SR, Reinhart K, Kleinpell RM, Angus DC, Deutschnan CS, Machado FR, Rubenfeld GD, Webb S, Beale RJ, Vincent JL, Moreno R; Surviving Sepsis Campaign Guidelines Committee including The Pediatric Subgroup: Surviving Sepsis Campaign: international guidelines for management of severe sepsis and septic shock, 2012. Intensive Care Med 2013, 39:165-228.
2. van Zanten AR, Brinkman S, Arbous MS, Abu-Hanna A, Levy MM, de Keizer NF, Netherlands Patient Safety Agency Sepsis Expert Group: Guideline bundles adherence and mortality in severe sepsis and septic shock. Crit Care Med 2014, 42:1890-1898.
3. Shin TG, Jo IJ, Choi DJ, Kang MJ, Jeon K, Suh GY, Sim MS, Lim SY, Song KJ, Jeong YK: The adverse effect of emergency department crowding on compliance with the resuscitation bundle in the management of severe sepsis and septic shock. Crit Care 2013, 17:R224.
P18
Benefit of achieving lactate clearance versus central venous oxygen saturation target as microcirculation end point resuscitation in severe sepsis and septic shock.
R Sinto¹, S Suwarto, KC Lie, D Widodo, HT Pohan
Division of Tropical and Infectious Disease, Department of Internal Medicine, Faculty of Medicine Universitas Indonesia, Jakarta, Indonesia
Critical Care 2014, 18(Suppl 2):P18; doi:10.1186/cc14021
Introduction: In severe sepsis and septic shock patients, lactate clearance >10% and central venous oxygen saturation (ScvO₂) >70% are accepted parameters of tissue oxygenation adequacy. There is controversy of which parameters better associate with early mortality, and thus should be implemented as the microcirculation end point resuscitation [1-3]. This study was aimed to address the association of achieving either one or two targets of microcirculatory end point resuscitation and early mortality in severe sepsis and septic shock patients.
Methods: A retrospective cohort study was conducted in severe sepsis and septic shock patients (aged 18 years and older) hospitalized in the ICU, Cipto Mangunkusumo Hospital, Indonesia. Patients’ early outcomes were observed during first 120 hours of hospitalization. Cox’s regression analysis was used to analyse risk of early mortality in subject groups achieving lactate clearance target only, ScvO₂ target only, both targets, and not achieving any target in 6 hours after onset of resuscitation.
Results: Subjects consisted of 268 patients. Early mortality developed in 70 subjects. Fifty-four subjects achieved lactate clearance target only, 16 achieved ScvO₂ target only, 138 achieved both targets, 60 did not achieve any target. Subjects who achieved both targets had a significant lowest early mortality risk (P = 0.014 compared with subjects achieved lactate clearance target only and P = 0.000 compared with remaining subject groups) (Figure 1). In subgroup analysis of subjects who achieved lactate clearance or ScvO₂ target only, failure to achieve lactate clearance target associated with higher early mortality risk (hazard ratio 5.92; 95% CI 2.18 to 16.01).
Conclusion: Achieving both lactate clearance and ScvO₂ targets in 6 hours after onset of resuscitation associates with lowest early mortality risk in severe sepsis and septic shock patients. Patients who achieve lactate clearance target only have a significant lower early mortality risk compared with those who achieve ScvO₂ target only.
References
1. Jones AE, Shapiro NI, Trzeciak S, Arnold RC, Claremont HA, Kline JA: Lactate clearance vs. central venous oxygen saturation as goals of early sepsis therapy: a randomized clinical trial. JAMA 2010, 303:739-746.
2. Jones AE: Point: should lactate clearance be substituted for central venous oxygen saturation as goals of early severe sepsis and septic shock therapy? Yes. Chest 2011, 140:1406-1408.
3. Rivers EP, Elkin R, Cannon CM: Counterpoint: should lactate clearance be substituted for central venous oxygen saturation as goals of early severe sepsis and septic shock therapy? No. Chest 2011, 140:1408-1413.
The PRESEP score: an early warning scoring system to identify septic patients in the emergency care setting.
O Bayer\textsuperscript{1}, CS Hartog\textsuperscript{1,2}, D Schwarzkopf\textsuperscript{3}, C Stumme\textsuperscript{1}, A Stacke\textsuperscript{1}, F Bloos\textsuperscript{1,2}, C Hohenstein\textsuperscript{1}, B Kabisch\textsuperscript{1}, C Weinmann\textsuperscript{1}, J Winning\textsuperscript{1}, Y Sakr\textsuperscript{1}, JK Reinhart\textsuperscript{1,2}
\textsuperscript{1}Department of Anaesthesiology and Intensive Care Medicine, Jena University Hospital, Jena, Germany; \textsuperscript{2}Center for Sepsis Control & Care, Jena University Hospital, Jena, Germany; \textsuperscript{3}Emergency Department, Jena University Hospital, Jena, Germany
Critical Care 2014, 18(Suppl 2):P19; doi:10.1186/cc14022
Introduction: Many patients present with sepsis through emergency services [1]. Their outcome could be improved if sepsis could be detected already in the prehospital setting. This study aims to develop and evaluate a score to detect prehospital early sepsis.
Methods: A retrospective study of 375 patients admitted to Jena University Hospital emergency department (ED) through emergency medical services (EMS). Sepsis was present in the ED in 93 (24.8%) patients, of which 60 (16.0%) had severe sepsis and 12 (3.2%) had septic shock. The following predictors for sepsis based on consensus criteria were extracted from the EMS protocol: body temperature (T), heart rate (HR), respiratory rate (RR), oxygen saturation (SaO$_2$), Glasgow Coma Scale, blood glucose and systolic blood pressure (BP). Sepsis predictors were determined based on inspection of loess graphs. Backward model selection was performed to select risk factors for the final model. The PRESEP score was calculated as the sum of simplified regression weights. Its predictive validity was compared to the modified Early Warning Score (MEWS) [2], the Robson screening tool [3] and the BAS 90-30-90 [4].
Results: Backward model selection identified T, HR, RR, SaO$_2$ and BP for inclusion in the PRESEP score. Its AUC was 0.93 (CI 0.89 to 0.96). The cutoff based on maximum Youden’s Index was $\geq 4$ (sensitivity 0.85, specificity 0.86, PPV 0.66, NPV 0.95). The PRESEP score had a larger AUC than the MEWS (0.93 vs. 0.77, $P < 0.001$) and surpassed MEWS and BAS 90-60-90 concerning sensitivity (0.74, 0.62), specificity (0.75, 0.83), PPV (0.45, 0.51) and NPV (0.91, 0.89). The Robson screening tool had a higher sensitivity and NPV (0.95, 0.97) was better, but its specificity and PPV lower (0.43, 0.43).
Conclusion: The PRESEP score can be easily applied in the emergency setting and could be a valuable tool to identify septic patients in the case of suspected infection.
Acknowledgements: OB was supported, in part, by an unrestricted grant of the Thuringian Ministry of Cultural Affairs (Landesprogramm ProExzellenz; PE 108-2), the Foundation of Technology, Innovation, and Research Thuringia (STIFT), and the German Sepsis Society. JKR and CSH receive CSCC research grants. DS is funded in full by the Center for Sepsis Control and Care (CSCC). The CSCC is funded by the German Federal Ministry of Ministry of Education and Research (BMBF), Germany, FKZ: 01EO1002.
References
1. Seymour CW, Rea TD, Kahn JM, Walkey AJ, Yealy DM, Angus DC: Severe sepsis in pre-hospital emergency care: analysis of incidence, care, and outcome. Am J Respir Crit Care Med 2012, 186:1264-1271.
2. Subbe CP, Kruger M, Rutherford P, Gemmel L: Validation of a modified Early Warning Score in medical admissions. QJM 2001, 94:521-526.
3. Robson W, Nutbeam T, Daniels R: Sepsis: a need for prehospital intervention? Emerg Med J 2009, 26:535-538.
4. Ljungstrom L: A challenge to doctors of infectious disease: make the management of patients with acute severe bacterial infection as good as the management of acute coronary syndromes. [http://www.mediahuset.se/infektionslakare/i405/en_utmaning.htm].
P20
Simultaneous targeting of interleukin-1 and interleukin-18 is required for protection against inflammatory and septic shock.
T Vanden Berghe\textsuperscript{1,2,*}, D Demom\textsuperscript{1,2,3}, P Bogaert\textsuperscript{1,2}, B Vandendriessche\textsuperscript{1,2}, A Goethals\textsuperscript{1,2}, B Depuydt\textsuperscript{1,2}, M Vuytskeke\textsuperscript{1,2}, R Roelandt\textsuperscript{1,2}, E Van Weteringhem\textsuperscript{1,2}, J Vandenbroecke\textsuperscript{1,2}, SM Choi\textsuperscript{1,2}, E Meyer\textsuperscript{3}, S Krautwald\textsuperscript{3}, W Declercq\textsuperscript{1,2}, N Takahashi\textsuperscript{1,2}, A Cauwels\textsuperscript{1,2}, P Vandenabeele\textsuperscript{1,2}
\textsuperscript{1}Inflammation Research Center, VIB, Ghent, Belgium; \textsuperscript{2}Department of Biomedical Molecular Biology, Ghent University, Ghent, Belgium; \textsuperscript{3}Department of Plant Systems Biology, VIB, Ghent, Belgium; \textsuperscript{4}Lab
Aquaculture & Artemia Reference Center, Faculty Bioscience Engineering, Ghent University, Belgium; 2Department of Nephrology and Hypertension, University Medical Center Schleswig-Holstein UKSH, Kiel, Germany
Critical Care 2014, 18(Suppl 2):P20; doi:10.1186/cc14023
Introduction: Sepsis is one of the leading causes of death around the world. The failure of clinical trials to treat sepsis demonstrates that the molecular mechanisms are multiple and still insufficiently understood. The objective is to clarify the long disputed hierarchical contribution of several central inflammatory mediators, namely IL-1β, IL-18, CASP7, CASP1 and CASP11, in septic shock, and to explore their therapeutic potential.
Methods: LPS-induced and TNF-induced lethal shock, as well as cecal ligation and puncture (CLP), were performed in genetically or pharmacologically targeted mice. Body temperature and survival were monitored closely, and plasma was analyzed for several markers of cellular disintegration and inflammation.
Results: Interestingly, deficiency of both IL-1β and IL-18 additively prevented LPS-induced mortality. The detrimental role of IL-1β and IL-18 was confirmed in mice subjected to a lethal dose of TNF, or to a lethal CLP procedure. Although their upstream activator, CASP1, and its amplifier, CASP11, are considered potential therapeutic targets because of their crucial involvement in endotoxin-induced toxicity. CASP11 or CASP1/11 deficient mice were not, or hardly, protected against a lethal TNF or CLP challenge. In line with our results obtained in genetically deficient mice, only the combined neutralization of IL-1 and IL-18, using the IL-1 receptor antagonist Anakinra and anti-IL-18 antibodies, conferred complete protection against endotoxin-induced lethality.
Conclusion: Our data point towards the therapeutic potential of neutralizing IL-1 and IL-18 simultaneously in sepsis, rather than inhibiting the upstream inflammatory caspases.
Acknowledgements: DD and PB contributed equally to this work. AC and PV share senior authorship. The authors are grateful to R Flavell (Howard Hughes Medical Institute, Chevy Chase, USA) and A Zychlinsky (Max Planck Institute, Berlin, Germany) for respectively the CASP1 knockout mice and the IL-1β/IL-18 double knockout mice. They thank B Lambrecht for fruitful discussions. TVB holds a postdoctoral fellowship from the FWO. PB is paid by VIB. Research in the Vandanaebele group is funded by European grants (FP6 ApopTrain, MRTN-CI-035624, FP7 EC RTD Integrated Project, Apo-Sys, FP7-200767; Euregional PACT II), Belgian grants (Interuniversity Attraction Poles, IAP 7/32), Flemish grants (Research Foundation Flanders, FWO G.0875.11, FWO G.0973.11 and FWO G.0A45.12N, FWO G.0787.13N, Methusalem), Ghent University grants (MRP, GROUP-ID consortium), a grant from the Foundation against Cancer, F49 and grants from Flanders Institute for Biotechnology (VIB). PV holds a Methusalem grant (BOF09/01/M00709) from the Flemish Government. The authors declare no conflict of interest.
P21
Sepsis electronic surveillance and clinical outcomes: impact over mortality of a sepsis early detection electronic rule implemented in the emergency department.
P Martin-Rico1*, A Valdivia-Perez2, MD Marco-Lattur1, J Chorda-Ribelles1, N Lozano-Cortell1, P Olcina-Lloret1, R Andres-Navarro1, E Mateo-Sanchis1, M Jordan-Lluch1, O Esparcia-Rodriguez2, J Magraner-Egea3, J Lacalle-Martinez4, A Barcelo-Lopez5
1Internal Medicine (Infectious D. Unit), Hospital de Denia, Denia Alicante, Spain; 2Preventive Medicine, Hospital de Denia, Denia Alicante, Spain; 3Microbiology Department, Hospital de Denia, Denia Alicante, Spain; 4IT Department, Hospital de Denia, Denia Alicante, Spain; 5Emergency Department, Hospital de Denia, Denia Alicante, Spain
Critical Care 2014, 18(Suppl 2):P21; doi:10.1186/cc14024
Introduction: Severe sepsis and septic shock (SS/SS) have a high mortality. Therapeutic guidelines can improve mortality, but early recognition and timely implementation of these requires a proactive attitude that can be electronically supported.
Methods: From May 2013 our hospital implemented a Sepsis Code (SC) based on an early detection electronic rule developed by our multiprofessional sepsis team: clinicians and IT engineers (EMR Cerner Millennium platform) and a standardized order set plus systematic follow-up by our sepsis team. We performed a before-after study to assess the impact over mortality of this strategy. Time-series analysis of sepsis admissions and mortality from January 2011 to December 2013, before and after SC implementation. (Analysis by STATA.) All urgent admissions recorded in the minimum basic data set in patients over 14 years from 1 January 2011 to 31 December 2013 were included. Inclusion criteria: patients with ICD-9 sepsis-associated codes in the principal diagnosis or patients with infection-associated codes in the principal diagnosis together with sepsis-associated codes in secondary diagnosis. Medical records were manually reviewed by clinicians to confirm SS/SS diagnosis. Temporal series analysis (Poisson regression). First analysis: sepsis admissions in relation to total urgent admissions. Second analysis: deaths due to SS/SS related to admissions in this group. In both cases we compared results before SC activation (28 months) and after that (first 2 transitional months and 6 consolidated months). The multivariate adjustment in both analyses included year, month of the year, and months with activated rule. Graphic analysis estimated predictions for the last 8 months based on the previous 28 months, comparing both observed and predicted sepsis and deaths.
Results: A total of 24,118 urgent admissions were included, 5,657 in the postalert period. Mean monthly admissions: 652 (SD 47) (570 to 740). In total, 408 and 178 SS/SS were identified in the prealert and postalert period, respectively. After SC implementation we observed no significant changes in sepsis admission risk but a clear downward trend in sepsis mortality: in the first 2 transitional months we did not observe major changes, while in the last 6 months the risk of death does fall 36% reaching statistical significance (IRR 0.64 (95% CI 0.43 to 0.97, P = 0.036)) (Table 1 Figures 1 and Figure 2). Both antibiotic door-to-needle time and adequacy significantly improved in sepsis cases where the alert was triggered.
Conclusion: Implementation of a SC triggered by an electronic detection alert, compared to the prealert period, decreased mortality risk by 36% (IRR 0.64 (95% CI 0.43 to 0.97, P = 0.036)) with the rule fully implemented.
P22
Assessing the value of a real-time electronic screening algorithm for early detection of severe sepsis in the emergency department.
P Martin-Rico1*, A Valdivia-Perez2, JM Lacalle-Martinez3, J Chorda-Ribelles1, MD Marco-Lattur1, N Lozano-Cortell1, M Jordan-Lluch1, E Mateo-Sanchis1, R Andres-Navarro1, P Olcina-Lloret1, JD Garcia-Pedro1, O Esparcia-Rodriguez2, J Magraner-Egea3, A Barcelo-Lopez5
1Internal Medicine (Infectious D. Unit), Hospital de Denia, Denia Alicante, Spain; 2Preventive Medicine, Hospital de Denia, Denia Alicante, Spain; 3IT Department, Hospital de Denia, Denia Alicante, Spain; 4Microbiology Department, Hospital de Denia, Denia Alicante, Spain; 5Emergency Department, Hospital de Denia, Denia Alicante, Spain
Critical Care 2014, 18(Suppl 2):P22; doi:10.1186/cc14025
Introduction: In severe sepsis/septic shock (SS/SS), early recognition and timely implementation of treatment is critical for survival, and this could be electronically supported. We assess the value of an electronic automatic algorithm based on EMR data as a screening tool for early detection of sepsis.
Methods: Our multiprofessional sepsis team (clinicians and IT engineers) developed an electronic algorithm using data from our EMR (Cerner Millennium platform) aimed at the automatic, real-time recognition of two or more systemic inflammatory response syndrome components + one or more organ failure parameter (according to sepsis definition) in every patient attended in the ER. The firing of this sepsis rule issues an alert to the responsible clinician to confirm an infectious etiology and opens an electronic standardized order set according to sepsis bundles. The alert database (from its start in May 2013 to December 2013) was cross-matched with the minimum basic data set for urgent admissions (>14 years) during this same period. We selected, based on an ad hoc syntaxes, those admissions due to sepsis. Medical records were manually reviewed for confirmation of SS/SS. We assessed sensibility, specificity, negative and positive predictive value of the electronic rule, considering the confirmed clinical diagnosis at discharge as the gold standard.
Results: In total, 37,323 patients were seen in the ER, 5,657 emergency admissions took place and 178 were due to SS/SS. Alert fired in 1,190 (3.2%) total emergencies and in 754 emergency admissions (13.3%). Data analysis after alert implementation identifies a global sensitivity of 80%, which improved after the first 2 months of transition. In the last 6 months (consolidated period) it was between 85 and 90%. Global specificity 89%, NPV of 99% and PPV of 19% for a global prevalence at admission of 3.2 cases/100 (Table 1). The mean door-to-alert time was 167 minutes (SD 193).
Median door to needle (antibiotic) time in the alert-sepsis group was 259 minutes vs. 417 minutes in the group where alert did not fire. In the alert + order set group, antibiotic treatment was adequate in 70% vs. 35% in the nonalert sepsis group (Fisher’s exact = 0.001). Overall mortality among alert-fired admissions not due to sepsis was 15% (RR for death during admission: 5.33, 95% CI: 3.73 to 7.59; P < 0.0001).
**Conclusion:** This pioneering sepsis algorithm identified 80% of S/S/SS. The alert prompted adequate antibiotic treatment and shortened door to needle time from 7 to 4 hours. Furthermore, in patients without sepsis the algorithm identifies a poor-prognosis subset (RR for death 4.75 (95% CI: 3.72 to 6.07).
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**P23**
**Histidine-rich glycoprotein prevents septic lethality through neutrophil regulation.**
M Nishibori\textsuperscript{1}, H Wake\textsuperscript{1}, S Mori\textsuperscript{2}, K Liu\textsuperscript{1}, Y Morioka\textsuperscript{1}, K Teshigawara\textsuperscript{1}, M Sakaguchi\textsuperscript{3}, K Kuroda\textsuperscript{4}, H Takahashi\textsuperscript{5}, A Ohtsuka\textsuperscript{5}, T Yoshino\textsuperscript{5}, H Morimatsu\textsuperscript{4}
\textsuperscript{1}Department of Pharmacology, Okayama University Graduate School of Medicine, Dentistry, and Pharmaceutical Sciences, Okayama, Japan; \textsuperscript{2}Department of Pharmacology, Faculty of Pharmaceutical Science, Shujitsu University, Okayama, Japan; \textsuperscript{3}Department of Molecular Biology, Okayama University Graduate School of Medicine, Dentistry, and Pharmaceutical Sciences, Okayama, Japan; \textsuperscript{4}Department of Anesthesiology, Okayama University Graduate School of Medicine, Dentistry, and Pharmaceutical Sciences, Okayama, Japan; \textsuperscript{5}Department of Pharmacology, Faculty of Medicine, Kinki University, Osakasayama, Japan; \textsuperscript{6}Department of Human Morphology, Okayama University Graduate School of Medicine, Dentistry, and Pharmaceutical Sciences, Okayama, Japan; \textsuperscript{7}Department of Pathology, Okayama University Graduate School of Medicine, Dentistry, and Pharmaceutical Sciences, Okayama, Japan
*Critical Care* 2014, 18(Suppl 2):P23; doi:10.1186/cc14026
**Introduction:** Although there have been many clinical trials for treatment of sepsis, no drugs are available at present. Sepsis is thought to be complex disorders: activation/lesion of vascular endothelial cells, accelerated coagulation and platelet aggregation, leukocyte activation or paralysis, and hypercytokinemia. To treat the pathological status of sepsis, it must be necessary to control these plural disorders simultaneously or sequentially. In the present study, we identified and characterized a plasma protein histidine-rich glycoprotein (HRG) as a factor that decreases dramatically in septic condition and maintains neutrophil’s shape and functional quiescence. We clarified the involvement of HRG in septic pathogenesis and propose a novel therapy for sepsis based on that.
**Methods:** Sepsis was induced in mice by cecal ligation and puncture. The mice were treated with HRG purified from human plasma after confirming the marked decrease in plasma HRG. We evaluated the beneficial effects of HRG administration on survival rate, lung inflammation, and the state of circulating neutrophils using *in vivo* imaging. Purified neutrophils from human blood were treated with HRG and analyzed with respect to neutrophil shape, adhesiveness to vascular endothelial cells, passage through microcapillaries, production of reactive oxygen species, and cytoskeleton rearrangement with relevant signal transduction.
**Results:** Supplementary treatment of septic mice with exogenous HRG for the decrease in plasma HRG improved the survival of mice remarkably. HRG treatment reduced the number of neutrophils in the lung, on which platelet aggregation and fibrin deposit were observed. HRG also inhibited the expression of mRNAs of IL-6, TNFα, iNOS, and PAI-1 in the lung. In contrast, knockdown of HRG by siRNA exacerbated lethality. Purified human HRG reversibly induced morphological changes in human neutrophils *in vitro*; induction of spherical shape with reduced microvilli and adhesiveness to vascular endothelial cells. HRG maintained the passage of neutrophils through microcapillaries and abolished the production of reactive oxygen species whereas HRG had no effect on the expression of adhesion molecules including CD11b and CD62L.
**Conclusion:** We show that plasma protein HRG is a crucial factor that keeps the circulating neutrophils quiescent and prevents unnecessary activation in bloodstream using a cecal ligation and puncture model in...
mice and human neutrophils. The attachment of neutrophils on the vascular wall under reduced concentration of HRG was accompanied by microthrombus formation in the lung, leading to ARDS. Supplementary therapy with HRG may thus provide a novel strategy for the treatment of septic patients through neutrophil regulation.
Acknowledgements: This work was supported by grants from the Scientific Research from the Ministry of Health, Labor and Welfare of Japan (WAKF2547) and from the Japan Society for the Promotion of Science (No. 256704605).
P24
Usefulness of intravenous immunoglobulin administration to sepsis-induced coagulopathy in ICU patients.
N Matsumoto*, H Ishikura, Y Nakamura, J Tanaka, M Mizunuma, Y Kawano, S Morimoto, H Kaneyama, A Murai
Department of Emergency and Critical Care Medicine, Faculty of Medicine, Fukuoka University, Fukuoka, Japan
Critical Care 2014, 18(Suppl 2):P24; doi:10.1186/cc14027
Introduction: Intravenous immunoglobulin (IVIG) has been used as adjuvant therapy for severe sepsis patients expecting the anti-inflammatory effect. However, the effects of IVIG have been controversial. The majority of ill patients with SIRS had coagulation abnormalities. In addition, inflammation and coagulation play pivotal roles in the pathogenesis of sepsis. Moreover, the evidence of extensive cross-talk between these two systems has been increasing. The aim of this study is to investigate the effects of IVIG treatment for inflammation and hemostatic abnormality in sepsis patients.
Methods: This prospective single-center observational study was conducted in our ICU between January and July 2013. We enrolled 41 patients (>18 years, admitted to the ICU diagnosed for sepsis, and more than 7 days of ICU stay) and divided them into two groups: IVIG-treated group (IVIG group) and non-IVIG-treated group (non-IVIG group). After that, we compared inflammatory molecule markers (WBC, CRP, procalcitonin (PCT), and interleukin-6 (IL-6)), coagulation/fibrinolysis markers (platelet counts, PT-INR, APTT, D-dimer, TAT, PIC, soluble fibrin (SF), and plasminogen activator inhibitor-1 (PAI-1)), and Japanese Association for Acute Medicine Disseminated Intravascular Coagulation (JAAM DIC) score and positive rate at the admission period (day 1) and days 4 to 7 between two groups. Moreover, the 28-day mortality rate was investigated.
Results: Nineteen patients were treated with IVIG (IVIG group) and 22 patients were without (non-IVIG group). In the IVIG group, PCT and IL-6 were significantly higher than that in the non-IVIG group at day 1 ($P < 0.01$, and $P < 0.01$). In this group, CRP, PCT, and IL-6 were significantly decreased at days 4 to 7 rather than that at day 1 ($P < 0.01$, $P < 0.01$, $P < 0.01$, respectively). Moreover, the JAAM DIC score was decreased at days 4 to 7 than that at day 1 significantly ($P < 0.05$) in this group. We also confirmed that PT-INR, APTT, TAT, SF, and PAI-1 were significantly improved between day 1 and days 4 to 7. On the other hand, in the non-IVIG group there was significantly decreased IL-6 and TAT only, but not CRP, PCT, PT-INR, APTT, SF, PAI-1 and JAAM DIC score between day 1 and days 4 to 7. For the 28-day mortality rate, the IVIG group was lower than that of the non-IVIG group (IVIG group, 5.3%; non-IVIG group, 18.2%).
Conclusion: Our study demonstrated that IVIG treatment significantly improved the inflammatory and hemostatic abnormalities in sepsis patients.
P25
Impact of fluid management during the three ICU days after admission in patients with ARDS.
A Murali\textsuperscript{1}, H Ishikura, N Matsumoto, Y Nakamura, D Ohta, K Muranishi, Y Izutani, T Nishida
Department of Emergency and Critical Care Medicine, Faculty of Medicine, Fukuoka University, Fukuoka, Japan
Critical Care 2014, 18(Suppl 2):P25; doi:10.1186/cc14028
Introduction: The optimal evaluation of fluid resuscitation in patients with acute respiratory distress syndrome (ARDS) remains to be clearly elucidated. The purpose of this study was to clarify the influence of fluid overload in patients with ARDS.
Methods: Two hundred and seven ARDS patients admitted to the ICUs of 23 tertiary referral hospitals in Japan were enrolled in this study. These patients were divided into survivor (survival group, \( n = 137 \)) or nonsurvivor (nonsurvival group, \( n = 70 \)) groups according to the 28-day mortality. All patients received mechanical ventilation and also underwent transpulmonary thermodilution monitoring. The data for analysis were collected for three consecutive days from time of admission.
Results: On the second hospital day, the extravascular lung water index of the nonsurvival group was significantly higher than that of the survival group (\( 18.6 \pm 9.4 \) ml/kg vs. \( 15.4 \pm 6.3 \) ml/kg, \( P = 0.03 \)). Moreover, regarding the first 3-day cumulative fluid balance, the nonsurvival group was significantly higher than survival group (\( 5.1 \pm 4.3 \) l vs. \( 3.5 \pm 0.4 \) l, \( P = 0.015 \)). We suspected that these results might be related to the cardiovascular and/or renal function. We therefore excluded any patients with a score of three or more regarding the cardiovascular and/or renal criteria about the Sequential Organ Failure Assessment score. Thereafter, we confirmed the results to be similar for the first 3-day cumulative fluid balance between the two groups (\( 3.8 \pm 1.6 \) l vs. \( 2.2 \pm 4.0 \) l, \( P = 0.0339 \)). A stepwise logistic regression analysis identified the 3-day cumulative fluid balance to be an independent risk factor for the 28-day mortality (adjusted odds ratio: 1.0001, 95% CI: 1.000017 to 1.000217, \( P = 0.0252 \)).
Conclusion: Our findings suggest that excessive fluid resuscitation may therefore have a negative impact on the 28-day mortality for patients with ARDS.
Acknowledgements: In this study, we retrospectively analyzed the database of a multicenter observational study (The PiCCO Pulmonary Edema Study)
P26
Candida albicans versus Mycobacterium tuberculosis: infection-specific human immune responses.
JPLF Saravia\textsuperscript{1,2*}, R König\textsuperscript{1}
\textsuperscript{1}Network Modelling, Hans-Knöll-Institut, Jena, Germany; \textsuperscript{2}Centre for Sepsis Control and Care, Jena University Hospital, Jena, Germany
Critical Care 2014, 18(Suppl 2):P26; doi:10.1186/cc14029
Introduction: Systemic infection of the human host can arise from several pathogenic bacteria as well as from fungal species, and it is of high clinical relevance to trace back the nature of infection from the host response. Amongst these systemic infections are sepsis inducers Candida albicans and Mycobacterium tuberculosis, responsible for a great amount of worldwide deaths [1]. Sepsis, however, does not necessarily originate from infection. Traumas and non-infection-based injuries can also trigger an unbound inflammatory response from the human host most commonly known as systemic inflammatory response syndrome. Both cases, infection and non-infection, nevertheless display similar clinical symptoms with significantly better recovery times of patients included in the latter. Despite the clinical similarities, studies have suggested that distinct infection-induced host responses from different pathogens occur, namely at the signalling pathway level [2].
Methods: Studies have been performed focused on common gene expression profiles between several pathogens [3]. However, understanding the difference in immune responses between these two pathogens, but not exclusively, might lead to better diagnostic tools and treatment decision-making. Relying on systems biology concepts and bioinformatics tools, we use gene expression data to distinguish C. albicans and M. tuberculosis infections in the human host; for example, cellular regulation and communication between host immune cells and pathogens [4,5].
Results: We have, in a first analysis, focused on the cytokine-cytokine signalling pathway due to its role in inflammation response towards infections. Genes belonging to the IL-2 cytokine family are only expressed when facing infection by C. albicans in comparison to M. tuberculosis suggesting a tendency towards B-cell proliferation and production of antibodies. However, during infection caused by M. tuberculosis, no significant changes in gene expression occur in this pathway that indicates a specific immune response for this pathogen. Further analysis of additional signalling pathways might highlight other human infection-specific immune responses in regards to the pathogens considered.
Conclusion: Next we will focus on developing a mathematical model capable of simulating such immune responses and possibly identifying genes and pathways which might clarify how these inflammation responses can be targeted, countered and moderated [6].
References
1. Angus , et al: Epidemiology of severe sepsis in the United States: analysis of incidence, outcome, and associated costs of care. Crit Care Med 2001, 29:1303.
2. Smeekens SP, et al: Functional genomics identifies type I interferon pathway as central for host defense against Candida albicans. Nat Commun 2013, 4:1342.
3. Jenner RG, Young RA: Insights into host responses against pathogens from transcriptional profiling. Nat Rev Microbiol 2005, 3:281-294.
4. Varemo L, Nielsen J, Nooraevi I: Enriching the gene set analysis of genome-wide data by incorporating directionality of gene expression and combining statistical hypotheses and methods. Nucleic Acids Res 2013, 41:4378-4391.
5. Luo W, Brouwer C: Pathview: an R/Bioconductor package for pathway-based data integration and visualization. Bioinformatics 2013, 29:1830-1831.
6. Mogensen TH: Pathogen recognition and inflammatory signaling in innate immune defenses. Clin Microbiol Rev 2009, 22:240-273.
P27
Vasoactive intestinal peptide inhibits the production of Salmonella-induced inflammatory cytokines by human monocytes.
B Askar\textsuperscript{1}, P Barrow, N Foster
Animal Infection and Immunity, School of Veterinary Medicine and Science, University of Nottingham, UK
Critical Care 2014, 18(Suppl 2):P27; doi:10.1186/cc14030
Introduction: Systemic salmonella infection is a frequent cause of Gram-negative sepsis. Bacterial lipopolysaccharide in blood triggers immune response by monocytes, which results in overwhelming production of proinflammatory cytokines and pathology in peripheral organs such as the liver, heart and lungs. The mortality rate due to sepsis remains high even after chemotherapeutic clearance of pathogens, due to sustained production of inflammatory mediators. Therefore, anti-inflammatory therapy as an adjunct to antibiotics could reduce the mortality from sepsis.
Methods: To date, several studies have evaluated the role of vasoactive intestinal peptide (VIP) as a therapeutic agent in sepsis both in vivo and in vitro since it possesses several desirable biological properties. The peptide, acting via VIP cell receptors, mediates effects by altering production and secretion of inflammatory mediators such as cytokines. VIP has been shown to decrease production of proinflammatory cytokines, ameliorate histopathological changes and inhibit mortality in mice rendered septic by LPS administration. Nothing is known about the effect of VIP on production of proinflammatory cytokines in human monocytes infected by virulent Salmonella.
The aim of the current study, therefore, was to investigate the effect of vasoactive intestinal peptide on the production of inflammatory cytokines in human monocytes exposed to S. Typhimurium 4/74.
Results: Our finding demonstrates that freshly isolated human monocytes produce proinflammatory cytokines such as TNF\(\alpha\), IL-6, IL-1\(\beta\) and also anti-inflammatory cytokines such as IL-4 and IL-10 following bacterial challenge.
Conclusion: However, co-culture of infected monocytes with VIP (10–7 M) significantly reduced (\( P < 0.05 \)) production of TNF\(\alpha\), IL-6, IL-1\(\beta\) but significantly increased (\( P < 0.05 \)) concomitant production of anti-inflammatory IL-10.
Mortality reduction in patients with severe sepsis and septic shock through a comprehensive sepsis initiative.
K Nguyen\textsuperscript{1,2}, L Cook\textsuperscript{2}, EP Greenlee\textsuperscript{3}
\textsuperscript{1}Performance Improvement Department, El Camino Hospital, Mountain View, CA, USA; \textsuperscript{2}Emergency Department, El Camino Hospital, Mountain View, CA, USA; \textsuperscript{3}Clinical Effectiveness, El Camino Hospital, Mountain View, CA, USA
Critical Care 2014, 18(Suppl 2):P28; doi:10.1186/cc14031
Introduction: The Integrated Nurse Leadership Program (INLP), a regional quality improvement initiative to reduce deaths from sepsis, began in 2008. Nine participating hospitals were provided networking opportunities and training on: care of the septic patient, program and leadership development, and data collection and analysis. El Camino Hospital (ECH) applied these concepts during implementation of the early goal-directed therapy bundle as recommended by the Surviving Sepsis Campaign and the Institute for Healthcare Improvement. This paper describes the implementation process and presents data analysis from the 22-month project, focusing on severe sepsis and septic shock mortality.
Methods: A multidisciplinary team approach guided the sepsis initiative. Lean methodologies such as: root cause analysis, process mapping, data collection and direct observation were applied. Frequent meetings with executive personnel, frontline staff and physician leaders occurred to evaluate current practices. Policies and procedures were created, including standardized screening tools and order sets for early identification and management. Training materials (modules, lectures, handouts and simulations) were developed. Extensive training occurred at all levels, with experts presenting to large groups of clinicians. Ongoing data analysis included screening tool and bundle element compliance as well as ICD-9-based mortality among patients with severe sepsis and septic shock (excluding patients <18 years old, pregnant, or designated ‘Do Not Resuscitate’ within 24 hours of presentation). Length of stay (LOS) data were compared with data from a large healthcare collaborate quality alliance (Premier) using US Medicare Severity Diagnosis-Related Group sepsis codes (MSDRG 870, 871, 872).
Results: Prior to implementation of the program (April 2009) through April 2014, ECH achieved a relative reduction of 68% in the mortality rate among those with severe sepsis and septic shock ($p = 0.03$). This equates to 1,456 lives saved (Figure 1) [1-3]. During the initiative ECH maintained a lower than expected average LOS compared to other hospitals within the Premier database (Figure 2).
Conclusion: The significant and sustained decrease in mortality among those with severe sepsis and septic shock was achieved through the structure and support of multisite collaboration with the INLP and robust internal operations [1,3]. The focus is now on sustainability; including key elements pertaining to accountability, affordability, compassionate care and systematic excellence [4].
References
1. Agency for Research Healthcare and Quality: Nine-hospital collaborative uses patient screening criteria, fast-track diagnosis, and treatment protocols to reduce sepsis mortality by approximately 50 percent. 2014 [http://www.innovations.ahrq.gov/content.aspx?id = 3424], Retrieved June 30.
2. Coliver V: Sepsis: Bay Area hospitals sharply cut death rates. SF Gate 2014 [http://www.sfgate.com/bayarea/article/Sepsis-Bay-Area-hospitals-sharply-cut-death-rates-2374402.php], Retrieved June 30.
3. Nguyen K: How a great team can save 900 lives. Center for the Health Professions 2014 [https://www.futurehealth.ucsf.edu/Public/Publications-and-Resources/Content.aspx?topic=Kelly_Nguyen_MS__RN__How_a_Great_Team_Can_Save_900_Lives], Retrieved June 30.
4. Mullins JM: The performance imperative. The Public Manager 2010, Summer: 60-65.
Figure 1 (abstract P28) Mortality among patients with severe sepsis and septic shock; excluding patients <18 years of age, pregnant females and patients designated ‘Do Not Resuscitate’ within 24 hours of presentation
**P29**
**Presence of bacterial infection and duration of antibiotic therapy in patients with standardized sepsis detection in the emergency department.**
TC Minderhoud\textsuperscript{1,2}, C Spruyt\textsuperscript{1}, M Lomax\textsuperscript{1}, S Huisman\textsuperscript{1}, SCE Schuit\textsuperscript{2}, M-D Levin\textsuperscript{1}
\textsuperscript{1}Department of Internal Medicine, Albert Schweitzer Ziekenhuis, Dordrecht, the Netherlands; \textsuperscript{2}Department of Internal Medicine and Emergency Medicine, Erasmus University Medical Center, Rotterdam, the Netherlands
*Critical Care* 2014, 18(Suppl 2):P29; doi:10.1186/cc14032
**Introduction:** In 2002 the international Surviving Sepsis Campaign was initiated. Following this, Dutch authorities introduced a nationwide safety campaign, encouraging screening for sepsis and advocating early treatment. In 2010, the Albert Schweitzer hospital, a large community hospital, introduced a screening program for sepsis in the emergency department (ED) [1]. The goal of this study was to evaluate the bacterial outcome in patients targeted with this campaign.
**Methods:** All patients 18 years and older visiting the ED were screened using the criteria of systemic inflammatory response syndrome (SIRS). Patients with more than two SIRS criteria and a clinical suspicion for infection were eligible for prompt antibiotic administration, after a short assessment by an ED physician. Patient data were collected prospectively, but a retrospective analysis was conducted using a cohort of patients presenting in the ED in the first 6 months of 2011. The definitions for sepsis severity were derived from the guidelines of the Surviving Sepsis Campaign in 2008 and criteria to define bacterial infection were derived from an article by Limper and colleagues [2].
**Results:** A total of 269 patients were included in the study. Review of infectious outcomes showed no evidence of bacterial disease in 79 (29.4%) patients. Of these patients, 70.9% were in the lowest category of sepsis (SIRS and clinical suspicion of infectious disease). Patients in the lowest category were less likely to suffer from bacterial infection than patients ($P = 0.046$, see Table 1). In the patients without objective bacterial infection, the median duration of antibiotic treatment was 7 days (IQR 4 to 10). Overall mortality was 7.8%, which is low compared to current literature regarding (severe) sepsis [3,4], but comparable to literature addressing SIRS and fever in the ED settings [5-8].
**Conclusion:** Much effort has been put into promoting early antibiotic treatment for (bacterial) sepsis. However, overtreatment has hardly been addressed and no optimal screening strategy has been identified. Evaluation of our screening protocol using SIRS criteria showed that almost 30% of patients did not suffer from bacterial infection but did receive antibiotic treatment for a median duration of 7 days. Future investigations should address the possible negative effects of overtreatment.
**References**
1. Rivers E, Nguyen B, Havstad S, Early goal-Directed Therapy Collaborative Group, et al: Early goal-directed therapy in the treatment of severe sepsis and septic shock. *N Engl J Med* 2001, 345:1368-1377.
2. Limper M, Eeftink Schattenkerk D, de Kruif MD, van Wissen M, Brandjes DP, Duits AJ, van Gorp EC: One year epidemiology of fever at the emergency department. *Neth J Med* 2011, 69:124-128.
3. Angus DC, Linde-Zwirble WT, Lidicker J: Epidemiology of severe sepsis in the United States: analysis of incidence, outcome, and associated costs of care. *Crit Care Med* 2001, 29:1303-1310.
4. Pittet D, Rangel-Fausto MS, Li N: Systemic inflammatory response syndrome, sepsis, severe sepsis and septic shock: incidence, morbidities and outcomes in surgical ICU patients. *Int Care Med* 1995, 21:302-309.
5. Cornstedt P, Storgaard M, Lassen AT: The systemic inflammatory response syndrome (SIRS) in acutely hospitalised medical patients: a cohort study. *Scand J Trauma Resusc Emerg Med* 2009, 17:67.
6. Shapiro N, Howell MD, Bates DW: The association of sepsis syndrome and organ dysfunction with mortality in emergency department patients with suspected infection. *Ann Emerg Med* 2006, 48:583-590.
7. Heffner AC, Horton JM, Marchick MR, Jones AE: Etiology of illness in patients with severe sepsis admitted to the hospital from the emergency department. *Clin Infect Dis* 2010, 50:814-820.
**Table 1 (abstract P29)**
| | No bacterial infection ($n = 79$) | Bacterial infection proven/probable ($n = 190$) | $P$ value |
|--------------------------------|----------------------------------|-----------------------------------------------|-----------|
| Culture-proven infection | - | 97 (51.1%) | - |
| Positive blood cultures | - | 51 (26.8%) | - |
| Probable bacterial infection | - | 93 (48.9 %) | - |
| Sepsis category | | | |
| Sepsis | 56 (70.9%) | 110 (57.9%) | 0.046\textsuperscript{a,b} |
| Severe sepsis | 20 (26.3%) | 57 (30.0%) | 0.549\textsuperscript{a} |
| Sepsis-induced hypotension | 2 (2.6%) | 18 (9.5%) | 0.053\textsuperscript{a,b} |
| Septic shock | 1 (1.3%) | 5 (2.6%) | 0.506\textsuperscript{a} |
| Antibiotic treatment duration (days)\textsuperscript{c} | 7 (4 to 10) | 10 (7 to 14) | 0.000\textsuperscript{b,d} |
\textsuperscript{a}Chi-square test. \textsuperscript{b}Test reached statistical significance. \textsuperscript{c}Data provided as median (IQR). \textsuperscript{d}Mann-Whitney U test
8. Rangel-Fausto MS, Pittet D, Costigan M: The natural history of the systemic inflammatory response syndrome (SIRS). A prospective study. *JAMA* 1995, 273:117-123.
**P30**
**Clinical audit system in implementing Surviving Sepsis Campaign guidelines in patients with peritonitis.**
RC Valveru\textsuperscript{1}, NK Maraju\textsuperscript{1}, K Srinivasan\textsuperscript{1}, A Cherian\textsuperscript{2}
\textsuperscript{1}Department of Surgery, Jawaharlal Institute of Postgraduate Medical Education and Research, Dhanvantari Nagar, Pondicherry, India; \textsuperscript{2}Department of Anesthesiology and Critical Care, Jawaharlal Institute of Postgraduate Medical Education and Research, Dhanvantari Nagar, Pondicherry, India
*Critical Care* 2014, 18(Suppl 2):P30; doi:10.1186/cc14033
**Introduction:** Sepsis is the predominant cause of morbidity and mortality in patients with peritonitis [1-6]. The Surviving Sepsis Campaign (SSC) is an international effort in reducing mortality based on evidence-based guidelines [7-13]. This study aims to assess the impact of audit-based feedback in a Plan-Do-Study-Act (PDSA) format on improving implementation of the SSC guidelines in patients with generalised peritonitis at our centre.
**Methods:** This prospective observational study was conducted in four audit cycles in PDSA format. Multidepartmental inputs were taken to suggest modifications in practice. A questionnaire-based analysis of reasons for noncompliance was done to find out the opinions and reasons for noncompliance. Morbidity, mortality, the ICU and hospital stay among these patients were also analysed.
**Results:** The baseline compliance with i.v. bolus administration, CVP-guided fluids and inotrope supports when indicated were 100%. Over the course of the three audit cycles, statistically significant improvement in compliance was noted for antibiotic administration within 3 hours of presentation (46% to 90%) (Table 1 Figure 1), obtaining blood cultures before antibiotics (13.8% to 72.5%) (Table 1 Figure 2) and serum lactate measurement (0% to 78.2%) (Figure 3). Overall bundle compliance improved from 9.2% to 64.7% (Table 2 Figure 4) by the end of Audit III. The mortality rate decreased from 32.3% to 20% (Table 2 Figure 5).
**Conclusion:** This study demonstrates that audit-based feedback is a dependable means of improving compliance with SSC guidelines. It brings about improvement by educating users, by modifying their behaviour through feedback and also enhances process improvement by identifying and correcting systemic deficiencies in the organisation.
**References**
1. Afzadi SP, Malik F, Ur-Rahman S, Shamim S, Samo KA: Spectrum of perforation peritonitis in Pakistan: 300 cases Eastern experience. *World J Emerg Surg* 2008, 3:31.
2. Chakma SM, Singh RL, Parmekar MV, Singh KHG, Kapa B, Sharatchandra KH, Longkumer AT, Rudrappa S: Spectrum of perforation peritonitis. *J Clin Diagn Res* 2013, 7:2518-2520.
3. Jimenez MF, Marshall JC: International Sepsis Forum: source control in the management of sepsis. *Intensive Care Med* 2001, 27(Suppl 1):S49-S62.
4. Ball RS, Verma S, Agarwal PN, Singh R, Talwar N: Perforation peritonitis and the developing world. *ISRN Surg* 2014, 2014:105492.
5. Søreide K, Thorsen K, Søreide JA: Strategies to improve the outcome of emergency surgery for perforated peptic ulcer. *Br J Surg* 2014, 101:e51-e64.
6. Noquiera C, Silva AS, Santos JN, Silva AG, Ferreira J, Matos E, Vilaça H: Perforated peptic ulcer: main factors of morbidity and mortality. *World J Surg* 2003, 27:782-787.
7. Dellinger RP, Levy MM, Rhodes A, Annane D, Gerlach H, Opal SM, Sevransky JE, Sprung CL, Douglas IS, Jaeschke R, Osborn TM, Nunnally ME, Townsend SR, Reinhart K, Kleinpell RM, Angus DC, Deutschman CS, Machado FR, Rubenfeld GD, Webb S, Beale RJ, Vincent JL, Moreno R: Surviving sepsis Campaign Guidelines Committee including The Pediatric Subgroup: Surviving Sepsis Campaign: international guidelines for management of severe sepsis and septic shock, 2012. *Intensive Care Med* 2013, 39:165-228.
8. Marshall JC, Dellinger RP, Levy M: The Surviving Sepsis Campaign: a history and a perspective. *Surg Infect* 2010, 11:275-281.
9. Castellanos-Ortega A, Suberviola B, García-Astudillo LA, Holanda MS, Ortiz F, Llorca J, Delgado-Rodriguez M: Impact of the Surviving Sepsis Campaign protocols on hospital length of stay and mortality in septic shock patients: results of a three-year follow-up quasi-experimental study. *Crit Care Med* 2010, 38:1036-1043.
10. Zambon M, Ceola M, Almeida-de-Castro R, Gullo A, Vincent JL: Implementation of the Surviving Sepsis Campaign guidelines for severe sepsis and septic shock: we could go faster. *J Crit Care* 2008, 23:455-460.
11. Kang MJ, Shin TG, Jo JU, Jeon K, Suh GY, Sim MS, Lim SY, Song KJ, Jeong YK: Factors influencing compliance with early resuscitation bundle in the management of severe sepsis and septic shock. *Shock* 2012, 38:474-479.
12. Wang Z, Xiong Y, Schorr C, Dellinger RP: Impact of sepsis bundle strategy on outcomes of patients suffering from severe sepsis and septic shock in china. *J Emerg Med* 2013, 44:735-741.
13. Li Z-Q, Xi X-M, Luo X, Li J, Jiang L: Implementing surviving sepsis campaign bundles in China: a prospective cohort study. *Chin Med J (Engl)* 2013, 126:1819-1825.
**P31**
**Introduction of bundle of care and effect on surgical site infections in patients taken for elective surgical procedures.**
A Waheed\textsuperscript{1}, S Bhat\textsuperscript{2}, M Parvez\textsuperscript{2}
\textsuperscript{1}Department of Anesthesia, District Hospital Doda (Deemed Medical College), Jammu and Kashmir, India; \textsuperscript{2}Department of Gynecology, District Hospital Doda (Deemed Medical College), Jammu and Kashmir, India; \textsuperscript{3}Department of Surgery, District Hospital Doda (Deemed Medical College), Jammu and Kashmir, India
*Critical Care* 2014, 18(Suppl 2):P31; doi:10.1186/cc14034
**Introduction:** Surgical site infection (SSI) previously termed postoperative wound infection is defined as that infection presenting up to 30 days after a surgical procedure if no prosthetic is placed and up to 1 year if a prosthetic is implanted in the patient. Several recommendations have been published (skin preparation, surgical antibiotic prophylaxis, control of the OR environment and improvements in the surgical technique) to improve the patient safety and quality of care in the OR. Use of the bundle of care to improve patient outcomes is becoming more widespread; however, their use is more common internationally than in India.
**Methods:** A surveillance study for SSI after routine surgical procedures was conducted from September 2012 until August 2014. A bundle of care consisting of five elements covering the surgical process was introduced in September 2013. The elements of the bundle were perioperative antibiotic prophylaxis, hair removal before surgery, perioperative normothermia, perioperative euglycemia and operating room discipline. Normothermia was defined as a temperature between 36.0 and 38.0°C. Euglycemia was defined as blood glucose <180 mg/dL. Antibiotic prophylaxis was given 15 minutes before the incision. Hair removal whenever needed was done with clippers. Theatre discipline was counted for following points: permanent wearing of scrub suits, surgical cap and mask covering the nose and mouth by all persons in the OR during the surgical procedure. The incidence of SSI was studied as a primary outcome. Morbidity/mortality for next 3 months was studied as the secondary outcome.
**Results:** Implementing the bundle of care led to a decline in infection rate from 15% before the intervention to 11.4% after the introduction of bundle of care, a fall of 27%, which is significant ($P < 0.001$). No significant difference in 3-month mortality was found. The compliance to this bundle of care also steadily increased from 10% in September 2013 to 55% in August.
**Table 1 (abstract P30)** Compliance with obtaining blood cultures before antibiotics and antibiotic administration within 3 hours
| Number of patients | Pre audit ($n = 65$) | Audit I ($n = 55$) | Audit II ($n = 50$) | Audit III ($n = 51$) |
|--------------------|----------------------|-------------------|---------------------|---------------------|
| Blood cultures obtained before antibiotics | 9 (13.6%) | 18 (32.7%)\textsuperscript{a} | 30 (60%)\textsuperscript{b} | 37 (72.54%)\textsuperscript{b} |
| Antibiotics given within 3 hours | 30 (46.1%) | 30 (67.2%)\textsuperscript{c} | 40 (80%)\textsuperscript{d} | 46 (90.19%)\textsuperscript{b} |
\textsuperscript{a} $P = 0.016$, \textsuperscript{b} $P < 0.0001$. \textsuperscript{c} $P = 0.463$. \textsuperscript{d} $P = 0.0002$
Figure 1 (abstract P30) Compliance with antibiotic administration within 3 hours of presentation
Figure 2 (abstract P30) Compliance with obtaining blood cultures before antibiotic administration
Figure 3 (abstract P30) Compliance with measurement of serum lactate
Table 2 (abstract P30) Total bundle compliance
| Total number of bundle components performed | Pre audit ($n = 65$) | Audit I ($n = 55$) | Audit II ($n = 50$) | Audit III ($n = 51$) |
|--------------------------------------------|---------------------|--------------------|--------------------|---------------------|
| 6 | 0 | 0 | 0 | 33* (64.7%) |
| 5 | 6 (9.2%) | 13 (23.6%) | 27 (54%) | 3 (5.8%) |
| 4 | 26 (40%) | 29 (52.7%) | 16 (32%) | 11 (21.5%) |
| 3 | 33 (50.7%) | 13 (23.6%) | 7 (14%) | 4 (7.8%) |
| 2 | 0 | 0 | 0 | 0 |
| 1 | 0 | 0 | 0 | 0 |
*Serum lactate was available in the hospital only during audit cycle III
Figure 4 (abstract P30) Overall bundle compliance
Figure 5 (abstract P30)
Table 3 (abstract P30) Overall mortality
| | Pre audit ($n = 65$) | Audit I ($n = 55$) | Audit II ($n = 50$) | Audit III ($n = 51$) |
|--------------------------------------|---------------------|--------------------|--------------------|---------------------|
| Overall mortality in percentage | 21 (32.3%) | 16 (29%) | 12 (24%) | 11 (20%) |
| $P$ value (compared with the initial cycle) | 0.843 | 0.407 | 0.143 | |
2014, For 542 surgical procedures during the study period, 62 SSI (11.4%) occurred as compared to 102 cases for 680 in the control period (15%). The adjusted odds ratio of the SSI rate was 0.7319 and was found to be 27% lower post intervention.
**Conclusion:** The implementation of the bundle was associated with improved compliance over time and a significant reduction of the SSI rate. This makes the bundle an important tool to improve patient safety.
---
**P32**
**More effective use of polymyxin-B hemoperfusion for nonoperation cases.**
M Yahata\textsuperscript{1}, Y Sakamoto\textsuperscript{1}, S Inoue\textsuperscript{1}, T Iwamura\textsuperscript{1}, R Fujita\textsuperscript{1}, H Koami\textsuperscript{1}, T Milke\textsuperscript{1}, H Imahase\textsuperscript{1}, S Narumi\textsuperscript{1}, A Goto\textsuperscript{1}, M Ohta\textsuperscript{1}
Emergency and Critical Care Medicine, Saga University, Saga City, Japan
*Critical Care* 2014, 18(Suppl 2):P32; doi:10.1186/cc14035
**Introduction:** Direct hemoperfusion with polymyxin-B has been reported to improve hemodynamics in post surgical patients. In 2012, the Japanese Guidelines for the Management of Sepsis were published and mention the efficacy of polymyxin-B direct hemoperfusion. But how to use and the target patients are varied by facilities. We investigated the effective use of polymyxin-B direct hemoperfusion in nonsurgical patients.
**Methods:** We analyzed retrospectively all septic shock patients who were treated with polymyxin-B hemoperfusion between January 2008 and December 2012. We checked their mean arterial pressure (MAP), and vasopressor requirement every 30 minutes until stopping treatment.
**Results:** There were 32 patients under treatment and 11 patients did not need surgical treatment. Even in the nonsurgical group, hemodynamic states and vasopressor requirement was improved after polymyxin-B hemoperfusion started. And the effects were continued over 120 minutes. A second polymyxin-B hemoperfusion treatment underwent in nine patients. In second treatment, MAP increased in the nonsurgical group greater than in the post surgical group.
**Conclusion:** Polymyxin-B direct hemoperfusion improves hemodynamic status even in nonsurgical patients. A second polymyxin-B direct hemoperfusion is effective especially in nonsurgical septic shock patients. And if its hemodynamic effect was significantly, long-time treatment should be considered.
---
**P33**
**Sepsis modulates the human hematopoietic stem cell compartment in peripheral blood and bone marrow.**
T Skrecki\textsuperscript{1,2,*}, U Zielińska-Borkowska\textsuperscript{1}, J Kawiak\textsuperscript{1}, G Hoser\textsuperscript{1}
\textsuperscript{1}Laboratory of Flow Cytometry, The Center of Postgraduate Medical Education, Warsaw, Poland; \textsuperscript{2}Department of Anesthesiology and Intensive Care, The Center of Postgraduate Medical Education, Warsaw, Poland
*Critical Care* 2014, 18(Suppl 2):P33; doi:10.1186/cc14036
**Introduction:** Efficient fight with infection requires robust production of immunocompetent cells. This response is called emergency hematopoiesis and depends on the proliferation of progenitor cells and awakening dormant hematopoietic stem cells (HSCs) into cycling. As during sepsis an altered immune system is often observed, it seems important to reveal the impact of this syndrome on HSCs. Recent discoveries have shown that HSCs circulate in the peripheral blood and may boost local immune response via paracrine mechanisms and differentiation into myeloid cells. Altogether, these rationales led us to investigate the circulating HSCs in septic patients and in the bone marrow (BM) of septic ‘humanized mice’ transplanted earlier with human HSCs.
**Methods:** Samples of peripheral blood were collected from 23 patients with sepsis (on days 1 and 3) and 20 healthy volunteers. The following antigens were analyzed by flow cytometry: CD34, CD38, Ki-67, CD133, Lin and CD45. In order to investigate HSCs in their microenvironment, a model of cecum ligation and puncture (CLP) was performed on the NOD.Cg-Prkdc/scidIl2rg\textsuperscript{m18}/J mice that were transplanted with human cord blood CD34\textsuperscript{+} cells 8 weeks earlier. BM cells were analyzed 24 hours after CLP by colony-forming unit assay with medium supporting growth of human cells.
**Results:** Septic patients had a significantly increased (threefold, $P < 0.01$) number of CD34\textsuperscript{+}CD38\textsuperscript{-} HSCs on the third day of the disease. Also, the CD133\textsuperscript{+} HSC number was increased in septic patients, while CD34\textsuperscript{+}CD45\textsuperscript{-}Lin\textsuperscript{-} progenitors were detected at much lower level than in controls. Interestingly, Ki-67\textsuperscript{+}CD34\textsuperscript{+}Lin\textsuperscript{-} cells were fourfold higher in septic patients. Patients with higher number of CD133\textsuperscript{+} HSCs had significantly lower likelihood of 60-day survival ($P < 0.05$). Analysis of human HSCs from BM of septic mice revealed significantly compromised hematopoietic colonies output (248 vs. 125 in sham animals). CLP caused also expansion of CD34\textsuperscript{+}CD38\textsuperscript{-} HSCs in BM and absolute increase of Ki-67\textsuperscript{+}CD34\textsuperscript{+}Lin\textsuperscript{-} cells (1.5-fold).
**Conclusion:** In this work we have observed significant changes in circulating HSCs during sepsis. During the disease, dormant HSCs enter the cell cycle (measured by Ki-67 expression) and are mobilized to the peripheral blood. However, the progenitor cells disappear from circulation. Novel use of humanized mice confirmed expansion of early human HSCs in BM during the sepsis model. Despite expansion of the HSC pool, the amount of functional progenitors in BM is decreased in this model. We suggest that HSCs play a significant role in the course of sepsis and may become a new prognostic and therapeutic target.
**Acknowledgements:** Supported by ‘Innovative Methods of Stem Cell Applications in Medicine’, EU Innovative Economy Operational Program, POIG 01.02-00-109/09.
---
**P34**
**Physiological changes after fluid bolus therapy in sepsis: a systematic review of the contemporary literature.**
NJ Glassford\textsuperscript{1,2,*}, GM Eastwood\textsuperscript{1,3}, R Bellomo\textsuperscript{1,2}
\textsuperscript{1}Department of Intensive Care, Austin Hospital, Heidelberg, VIC, Australia; \textsuperscript{2}ANZICS Research Centre, School of Public Health and Preventative Medicine, Monash University, Melbourne, VIC, Australia; \textsuperscript{3}School of Nursing and Midwifery, Faculty of Health, Deakin University, Burwood, VIC, Australia
*Critical Care* 2014, 18(Suppl 2):P34; doi:10.1186/cc14037
**Introduction:** Fluid bolus therapy (FBT) is a ubiquitous intervention in intensive care. However, the physiological effects in the critically ill are poorly understood. Therefore, we systematically reviewed the contemporary literature to determine the current practice and effect of FBT in the management of severe sepsis and septic shock.
**Methods:** We interrogated the MEDLINE, CENTRAL and EMBASE electronic reference databases using a combination of terms to define a set of records of studies of fluid administration in patients with severe sepsis or septic shock. To achieve contemporary relevance, results were limited to English-language studies in adults between 2010 and 2013.
**Results:** We identified 22 prospective observational studies, four retrospective observational studies, two quasi-experimental studies, and five randomised controlled trials (RCTs), 41 boluses in total. No RCT compared FBT with alternative interventions. The median fluid bolus was 500 ml (range: 100 to 1,000 ml) administered over 30 minutes (range: 10 to 60 minutes) and 0.9% sodium chloride solution was the most commonly administered. Although 17 studies describe the temporal course of physiological changes after FBT in 31 patient groups, only three studies describe the physiological changes at 60 minutes, and only one study beyond this point (Figure 1). No studies related the physiological changes after FBT with clinically relevant outcomes.
**Conclusion:** There is a need for obtaining randomised controlled evidence for the physiological effects of FBT in patients with severe sepsis and septic shock beyond the period immediately following its administration.
---
**P35**
**Forty percent of hospitalizations after severe sepsis are potentially preventable.**
HC Prescott\textsuperscript{1,*}, KM Langa\textsuperscript{1,2,3}, TJ Iwashyna\textsuperscript{1,2,3}
\textsuperscript{1}University of Michigan, Department of Medicine and Institute of Healthcare Policy and Innovation, Ann Arbor, MI, USA; \textsuperscript{2}VA Center for Clinical
Management and Research, Ann Arbor, MI, USA; 3Institute of Social Research, Ann Arbor, MI, USA
Critical Care 2014, 18(Suppl 2):P35; doi:10.1186/cc14038
Introduction: Patients are frequently rehospitalized in the 90 days after severe sepsis. The rate of readmission exceeds patients’ baseline rate of hospitalization, and also exceeds the rate after matched nonsepsis hospitalizations [1]. We sought to determine the most common readmission diagnoses after severe sepsis, the extent to which readmissions may be preventable, and whether the pattern of readmission diagnoses differs from that of nonsepsis hospitalizations.
Methods: We studied participants in the US Health and Retirement Study with linked Medicare claims (1998 to 2010) [2]. Using validated methods [3,4], we identified severe sepsis and nonsepsis hospitalizations, then measured 90-day readmissions in each cohort. Using Healthcare Cost & Utilization Project’s Clinical Classification Software [5], we determined the 10 most common readmission diagnoses after severe sepsis. We measured rates of ‘potentially preventable’ readmissions using published definitions [6]. We compared rates of all-cause, potentially preventable, and cause-specific hospitalizations between survivors of severe sepsis and nonsepsis hospitalizations using chi-squared tests.
Results: We identified 3,703 severe sepsis and 44,840 nonsepsis hospitalizations, of which 3,036 (82.0%) and 43,539 (93.1%) survived to discharge, respectively. In the next 90 days, 43.6% of severe sepsis survivors were rehospitalized, compared to 34.8% of nonsepsis survivors, $P < 0.001$. The top readmission diagnoses following severe sepsis (Table 1) included several recognized potentially preventable diagnoses: heart failure, pneumonia, exacerbation of chronic obstructive pulmonary disease (COPD), and urinary infection. Also common were readmissions for sepsis, acute renal failure, and aspiration pneumonitis, diagnoses that could plausibly be prevented or treated early to prevent hospitalization. Patterns of readmission differed in severe sepsis survivors; rates of readmission for sepsis, renal failure, respiratory failure, device complication, and aspiration pneumonitis were higher and accounted for a greater proportion of the total readmissions. Potentially preventable hospitalizations - infection (sepsis, pneumonia, urinary tract, and skin or soft tissue), heart failure, COPD exacerbation, acute renal failure, and aspiration pneumonitis - accounted for 40.5% of all readmissions after severe sepsis (compared to 25.8% following nonsepsis admission, $P < 0.001$), and 19.6% of severe sepsis survivors experienced a readmission for one of these diagnoses (compared to 9.5% following a nonsepsis admission, $P < 0.001$).
Conclusion: Forty percent of hospitalizations after severe sepsis occur for diagnoses that may be preventable. A few disease categories account for a relatively large proportion of the hospitalizations after severe sepsis, suggesting the feasibility of tailoring postdischarge interventions to patient’s personalized risk for these common postsepsis diagnoses.
Acknowledgements: The authors declare financial support from the US National Institutes of Health and the US Department of Veteran’s Affairs. There are no potential conflicts of interest. The views expressed in this article are those of the authors and do not necessarily reflect the position or policy of the Department of Veterans Affairs or the US government.
References
1. Prescott HC, Langa KM, Liu V, Escobar GJ, Iwashyna TJ: Increased 1-year healthcare use in survivors of severe sepsis. Am J Respir Crit Care Med 2014, 190:62-69.
2. Sonnegård A, Faul JD, Ofstedal MB, Langa KM, Phillips JWR, Weir DR: Cohort profile: the Health and Retirement Study (HRS). Int J Epidemiol 2014, 43:576-585.
Table 1(abstract P35) Top ten hospitalization diagnoses in the 90 days following severe sepsis
| Rank | Diagnosis category | Proportion of all 90-day admissions (%) | Survivors with 90-day admission (%) |
|------|--------------------------------------------------------|-----------------------------------------|-------------------------------------|
| 1 | Congestive heart failure, nonhypertensive | 10.4 | 5.7* |
| 2 | Septicemia | 9.5* | 6.5* |
| 3 | Pneumonia | 5.4 | 3.5* |
| 4 | Rehabilitation care | 5.1 | 3.2 |
| 5 | Acute and unspecified renal failure | 4.6* | 3.2* |
| 6 | Respiratory failure | 4.1* | 2.5* |
| 7 | Complication of device, implant, or graft | 3.5* | 2.3* |
| 8 | COPD and bronchiectasis | 3.1 | 1.8 |
| 9 | Urinary tract infection | 3.1 | 1.8* |
| 10 | Aspiration pneumonitis | 2.8* | 1.8* |
*Value greater than that of nonsepsis survivors, $P \leq 0.001$ for each comparison
3. Angus DC, Linde-Zwirble WT, Lidicker J, Clermont G, Carcillo J, Pinsky MR: Epidemiology of severe sepsis in the United States: analysis of incidence, outcome, and associated costs of care. *Crit Care Med* 2001, 29:1303-1310.
4. Iwashyna TJ, Odden A, Rohde J, Bonham C, Kuhn L, Malani P, Chen L, Flanders S: Identifying patients with severe sepsis using administrative claims: patient-level validation of the angus implementation of the international consensus conference definition of severe sepsis. *Med Care* 2014, 52:e39-e43.
5. Elixhauser A, Steiner C, Palmer L: Clinical Classifications Software (CCS), 2013. US Agency for Healthcare Research and Quality [http://www.hcup-us.ahrq.gov/toolssoftware/ccs/ccs.jsp], (Accessed 29 June 2014).
6. Culler SD, Parchman ML, Przybylski M: Factors related to potentially preventable hospitalizations among the elderly. *Med Care* 1998, 36:804-817.
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**P36**
**Aryl hydrocarbon receptor activation increases survival in polymicrobial sepsis.**
A de Freitas\(^1\), P Barbim Donate, F Vargas e Silva Castanheira, V Borges, D Carvalho Nascimento, J Talbot, JC Alves-Filho, F de Queiróz Cunha
Department of Pharmacology, Faculty of Medicine of Ribeirão Preto, University of São Paulo, Ribeirão Preto, Brazil
*Critical Care* 2014, 18(Suppl 2):P36; doi:10.1186/cc14039
**Introduction:** Sepsis is a systemic inflammatory response resulting from the inability of the host to restrict the infection locally. Studies realized in our laboratory demonstrated that the high mortality observed in severe sepsis (S-CLP) correlates with the failure of the neutrophil migration to infectious focus and infection dissemination. However, animals subjected to a model of local infection (NS-CLP) present an efficient neutrophil recruitment that constrains the spreading of infection. In this context, we demonstrated a direct action of IL-17 mediating the neutrophil recruitment [1]. Recently, it was demonstrated that aryl hydrocarbon receptor (AhR) activation has a role in immune response. The AhR is expressed by Th17 cells and also by innate immune system cells and is important for their effectors functions, including IL-17 and IL-22 production [2]. However, the function of the AhR in sepsis remains uncertain. Herein, we investigate the role of AhR in polymicrobial sepsis induced by cecal ligation and puncture (CLP).
**Methods:** C57BL/6 mice were subjected to NS-CLP or S-CLP sepsis. The protein expressions of AhR, CYP1A1 (indicator of AhR activation) and AhnR (AhR repressor) were determined in the spleen, liver and lung by western blot. 18 hours after sepsis. AhR and CYP1A1 were also evaluated, 6 hours after surgery, by RT-PCR in peripheral blood mononuclear cells (PBMC). Mice were pretreated subcutaneously with 30 μg/kg FICZ, high-affinity AhR agonist, 12 hours and 1 hour before the induction of moderate sepsis (M-CLP). Intraperitoneal neutrophil migration, bacteremia, kidney function and AhR activation were determined 6 hours after surgery. The survival rate was assessed every 12 hours up to 120 hours.
**Results:** We observed reduced expression of AhR, CYP1A1 and increased AhnR expression in all analyzed organs of the S-CLP group compared with the NS-CLP group. Moreover, AhR and CYP1A1 were not detected in PBMC after S-CLP. Our results also demonstrated that activation of Ahr, through FICZ pretreatment, increased the neutrophil recruitment to the peritoneal cavity of mice subjected to M-CLP. Consequently, these animals presented reduced bacteremia and kidney injury, resulting in increased survival rate.
**Conclusion:** These data suggest that during severe infection the AhR expression and activity is reduced and can contribute to the mortality observed in this process.
**Acknowledgements:** Financial support by #2012/04076-9 and 2013/08216-2 from FAPESP
**References**
1. Freitas A, Alves-Filho JC, Victori T, Secher T, Lemos HP, Sónego F, Cunha FQ, Ryffel B: IL-17 receptor signaling is required to control polymicrobial sepsis. *J Immunol* 2009, 182:7846-7854.
2. Esser C, Rannug A, Stockinger B: The aryl hydrocarbon receptor in immunity. *Trends Immunol* 2009, 30:447-454.
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**P37**
**Epidemiology, management and clinical outcomes of ICU-acquired enterococcal bacteraemias.**
DSY Ong\(^{1,2,3}\), K Safdar\(^1\), PMC Klein Klouwenberg\(^{1,2,3}\), C Spitoni\(^{1,4}\), JF Frencken\(^{2,3}\), E Witteveen\(^2\), J Horn\(^2\), MJM Bonten\(^{1,3}\), OL Cremer\(^2\)
\(^1\)Department of Medical Microbiology, University Medical Center Utrecht, the Netherlands; \(^2\)Department of Intensive Care Medicine, University Medical Center Utrecht, the Netherlands; \(^3\)Julius Center for Health Sciences and Primary Care, University Medical Center Utrecht, the Netherlands; \(^4\)Department of Mathematics, Utrecht University, the Netherlands; \(^5\)Department of Intensive Care, Academic Medical Center, University of Amsterdam, the Netherlands
*Critical Care* 2014, 18(Suppl 2):P37; doi:10.1186/cc14040
**Introduction:** Enterococcal bacteraemias are associated with high mortality rates, ranging from 23 to 48% in critically ill patients. However, it remains uncertain whether these events are causes or merely markers of disease severity and mortality. Our aim was to describe the epidemiology, management and clinical outcomes of ICU-acquired enterococcal bacteraemia in comparison to other frequently isolated pathogens. Furthermore, we aimed to estimate the population attributable fraction of ICU mortality caused by enterococcal bacteraemia.
**Methods:** Between January 2011 and March 2013 we included consecutive patients with an ICU length of stay of at least 3 days in two tertiary care centres in the Netherlands. ICU-acquired bacteraemia was defined as a first positive blood culture occurring at least 3 days after ICU admission. Enterococcal bacteraemias were compared to other frequently isolated pathogens with respect to patient characteristics, their management and outcomes. We used competing risk survival regression, a multistate model and cumulative incidence functions to estimate the population attributable fraction of ICU mortality due to enterococcal bacteraemia.
**Results:** Out of a total of 3,108 patients, 222 (7.1%) patients were responsible for 272 events of ICU-acquired bacteraemia, of which 76 were due to enterococci, 124 to coagulase-negative staphylococci and 40 to Gram-negative bacteria. Patients with enterococcal bacteraemia were more severely ill compared to patients with bacteraemia caused by other pathogens. In comparison to patients with coagulase-negative staphylococci, those with enterococci were more frequently managed with renal replacement therapy and also had more intravascular or orthopaedic hardware. Although crude ICU mortality was higher in patients with bacteraemias due to enterococci compared to coagulase-negative staphylococci, this association disappeared after adjustment for confounders (subdistribution hazard ratio 1.04, 95% confidence interval 0.65 to 1.68). The population attributable fraction of ICU mortality due to enterococcal bacteraemia was 4.7%.
**Conclusion:** Bacteraemias with enterococci occur in more severely ill patients, but their virulence seems comparable to that of coagulase-negative staphylococci. Furthermore, the population attributable fraction of ICU mortality due to enterococcal bacteraemia is low. Therefore, enterococcal bacteraemias are more likely to be markers than causes of increased disease severity and mortality.
**Acknowledgements:** This research was performed within the framework of CTMM, the Center for Translational Molecular Medicine ([http://www.ctmm.nl](http://www.ctmm.nl)), project MARIS (grant 04I-201).
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**P38**
**Systemic inflammatory response syndrome in the pediatric emergency department: a common phenomenon that does not predict severe illness.**
CPZ Foo\(^1\), G Sangha\(^{1,2}\), J Seabrook\(^{2,3}\), J Foster\(^{1,2}\)
\(^1\)Department of Paediatrics, Western University, London, Canada; \(^2\)Children's Health Research Institute, London Health Sciences Centre, London, Canada; \(^3\)Division of Food and Nutritional Sciences, Brescia University College, London, Canada
*Critical Care* 2014, 18(Suppl 2):P38; doi:10.1186/cc14041
**Introduction:** Systemic inflammatory response syndrome (SIRS) was defined in pediatrics primarily to aid in research subject identification. There is a paucity of data on the clinical utility of SIRS in the pediatric population. We aimed to determine the incidence of SIRS in children presenting to the pediatric emergency department (PED) of a mid-sized Canadian tertiary care...
center and, secondarily, to examine the sensitivity and specificity of SIRS for predicting infection, the range of clinical entities presenting with SIRS, and outcomes of children with SIRS.
**Methods:** We conducted a prospective cohort study of all children from birth to 18 years presenting to the PED on 16 days distributed evenly over 1 year. Charts of all patients presenting to the PED on study days were reviewed to determine the presence of SIRS and sepsis. Three pediatricians adjudicated all cases of presumed infection. All patients were followed for 1 week to determine outcomes.
**Results:** The incidence of SIRS was 14.3% (n = 202 of 1,416). The rate of documented or presumed infection in the entire population was 37.1% (n = 525), and in SIRS patients was 81.2% (n = 164). Therefore, 11.6% of the population (n = 164) met criteria for sepsis, one patient had severe sepsis, and there were no cases of septic shock. Sensitivity and specificity of SIRS for predicting infection was 31.2% (95% CI: 27.3 to 35.4%) and 95.7% (95% CI: 94.2 to 97.0%) respectively. No difference in sensitivity or specificity was seen when cases were separated by age. Patients with SIRS had a higher risk of requiring hospital admission with a relative risk of 2.8 (95% CI: 2.0 to 4.1, P < 0.0001). Although children with SIRS stayed in hospital statistically longer (P < 0.001), the median length of stay for both groups was ≤1 day. However, 28.7% (n = 47) of patients meeting definition of sepsis had nonsevere infection types (for example, acute otitis media, viral upper respiratory tract infection); 72.3% of patients with SIRS and 75% of patients meeting sepsis criteria were discharged home from the PED without return visits.
**Conclusion:** While SIRS has a high specificity for infection, its poor sensitivity suggests a risk of missing infection if used as a screening tool. Although patients with SIRS have an increased risk of admission, the current definition of sepsis may result in over-inclusion of patients with nonsevere disease.
**Acknowledgements:** JF received a New Investigator grant, Children’s Health Foundation, LHSC. CF received a Resident research grant, Department of Paediatrics, Western University.
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**P40**
**Effects of splenectomy and GTS-21, a selective α7 nicotinic acetylcholine receptor agonist, on the development of septic ileus in mice**
S Nulens\textsuperscript{1*}, JG De Man\textsuperscript{1}, PA Pelckmans\textsuperscript{1,2}, BY De Winter\textsuperscript{1}
\textsuperscript{1}Laboratory for Experimental Medicine and Pediatrics, Division of Gastroenterology and Hepatology, University of Antwerp, Belgium; \textsuperscript{2}Department of Gastroenterology and Hepatology, Antwerp University Hospital, Antwerp, Belgium
*Critical Care* 2014, 18(Suppl 2):P40; doi:10.1186/cc14043
**Introduction:** Sepsis remains a leading cause of mortality in our ICUs. Ileus, defined as the inhibition of the propulsive motility in the gastrointestinal (GI) tract, together with mucosal barrier dysfunction will maintain sepsis by the translocation of intestinal bacteria. Preliminary data in our group showed that the administration of GTS-21, a selective alpha7 nicotinic acetylcholine receptor (α7nAChR) agonist, ameliorates inflammation and GI motility disturbances during sepsis [1]. Activation of the α7nAChR is the final step in the vagal anti-inflammatory pathway, a spleen-dependent and macrophage-dependent pathway that dampens inflammation. We aimed to study the effects of splenectomy (SPLX) combined with GTS-21 on GI motility and on local colonic and systemic inflammation, as the role of the spleen in the vagal anti-inflammatory pathway is currently under debate.
**Methods:** Septic ileus was induced in Swiss-OF 1 mice by cecal ligation and puncture (CLP). One week prior to CLP, mice underwent SPLX or sham surgical incision (sham), GTS-21 (8 mg/kg) or vehicle was administered intraperitoneally 1 hour before CLP, and once every 24 hours after the procedure. Mice were sacrificed 48 hours following CLP. Motility was assessed by measurement of GI transit of beads, with calculation of percentage of gastric emptying (%GE) and geometric center (GC). Serum samples were analyzed with cytometric bead array (CBA) for the proinflammatory cytokines IL-6 and TNFα. Supernatants of centrifuged homogenized colonic samples were assessed with CBA for IL-6 and TNFα.
**Results:** Administration of GTS-21 resulted in a significant improvement in GI motility in septic mice, as was demonstrated by an increase in the %GE and GC (Table 1). GTS-21 significantly decreased the serum concentration of IL-6, but not TNFα, in septic mice treated with GTS-21 compared to vehicle-treated mice. Prior SPLX protected mice from developing ileus following CLP. SPLX + vehicle mice demonstrated a significantly lower serum concentration of IL-6 and TNFα compared to sham + vehicle, and colonic TNFα levels declined significantly following SPLX. Administering GTS-21 in SPLX mice did not result in an additional benefit on GI motility, nor on systemic or local colonic inflammation (Table 1).
**Conclusion:** Splenectomy protects mice from developing ileus following CLP, an animal model of polymicrobial sepsis, as does the preventive administration of the selective α7nAChR agonist GTS-21. Splenectomy resulted in a reduction of systemic TNFα and IL-6 levels, indicating that the spleen is a major source of proinflammatory cytokines. GTS-21 ameliorates CLP-induced septic ileus, but did not lead to a complimentary benefit in addition to splenectomy.
Table 1 (abstract P40) %GE, GC, serum cytokine levels (pg/ml) and colonic cytokine levels (pg/g colon) in mice that underwent splenectomy or sham surgery, followed by the CLP procedure and administration of vehicle or 8 mg/kg GTS-21
| GI transit study (n = 11) | %GE | GC |
|--------------------------|--------------|--------------|
| Nonseptic animals | | |
| Sham + vehicle + CLP | 88.96 ± 8.13 | 4.86 ± 0.45 |
| Sham + GTS-21 8 mg/kg + CLP | 53.27 ± 10.32 | 2.53 ± 0.42 |
| SPLX + vehicle + CLP | 83.62 ± 5.91*| 4.26 ± 0.35* |
| SPLX + GTS-21 8 mg/kg + CLP | 79.49 ± 8.98* | 3.86 ± 0.44* |
| Cytokine level in serum (n = 8 to 11) | IL-6 | TNFα |
|--------------------------------------|--------------|--------------|
| Nonseptic animals | | |
| Sham + vehicle + CLP | 2.57 ± 0.48 | 4.95 ± 0.29 |
| Sham + GTS-21 8 mg/kg + CLP | 243.56 ± 54.89 | 63.72 ± 21.25 |
| SPLX + vehicle + CLP | 90.26 ± 31.31*| 54.23 ± 25.14 |
| SPLX + GTS-21 8 mg/kg + CLP | 74.31 ± 17.45*| 11.52 ± 1.99*|
| Cytokine levels in colonic tissue (n = 5 to 11) | IL-6 | TNFα |
|-------------------------------------------------|--------------|--------------|
| Nonseptic animals | | |
| Sham + vehicle + CLP | 20.43 ± 4.87 | 41.30 ± 4.47 |
| Sham + GTS-21 8 mg/kg + CLP | 1281.85 ± 932.10 | 137.15 ± 61.36 |
| SPLX + vehicle + CLP | 134.88 ± 36.15 | 46.46 ± 5.03*|
| SPLX + GTS-21 8 mg/kg + CLP | 214.22 ± 75.88 | 29.97 ± 8.60*|
| | 487.49 ± 343.87 | 46.03 ± 17.22*|
Data presented as mean ± SEM. Two-way ANOVA or one-way ANOVA as appropriate with SNK post hoc testing; *P ≤ 0.05 versus sham + vehicle, #P ≤ 0.05 significant effect of splenectomy (SPLX)
Reference
1. Nullens S, et al: GTS-21, a selective alpha7 nicotinic acetylcholine receptor agonist, ameliorates septic ileus in a mouse model of cecal ligation and puncture [abstract]. Presented at the First Neurogastroenterology and Motility Meeting 2014. *Neurogastroenterol Motil* 2014 in press.
P41
Biobanking in the emergency department: implementation of the Mayo Clinic Emergency Department Sepsis Biorepository.
CM Clements*, JR Anderson, J Uhl, ML Rudis, FR Cockerill
Department of Emergency Medicine, Mayo Clinic, Rochester, MN, USA
*Critical Care* 2014, 18(Suppl 2):P41; doi:10.1186/cc14044
Introduction: Biomarker discovery research has not focused on the emergency department (ED) due to perceived lack of access to ED patients for study, difficult patient identification, and preemption by time-critical clinical needs. The aim of this study was to use an automated process to accrue, within the ED, a biobank of patients presenting at risk for severe sepsis.
Methods: Our group has previously derived an algorithm for identification of at-risk patients of which about 45% will be severely septic [1]. Here, we utilize that algorithm to identify a prospective cohort to be included in our ED sepsis biobank. Patients are excluded if they are pregnant, <18 years old, a vulnerable adult, or imprisoned. An electronic notification system identifies patients and automatically pages phlebotomy and laboratory processing personnel directly. Blood draws occur immediately after patient identification and at 6 and 24 hours into hospitalization. We use an IRB-approved delayed consent model that minimizes the time between identification and blood draw. Plasma extracts and cellular isolates are processed and stored immediately. Clinical data are extracted for relevant patient outcomes, severe sepsis, and indicators of critical illness.
Results: In 1 year of accrual, the alert algorithm identified 1,773 eligible patients for screening. Blood was drawn from 873 patients based on phlebotomy availability and laboratory processing staffing. A total of 642 patients completed blood draws and consented for inclusion, with the balance of patients having been discharged, transferred, or deceased with no identifiable legally authorized representative for consent. The median time from alert to first blood draw was 25 minutes (range 5 to 60 minutes). In an observation period, during which 227 consecutive patients had blood drawn, only 12 patients or families (5.2%) declined consent after the initial blood draw.
Conclusion: We have successfully developed and implemented a biobank in the ED that functions within practice limitations and has high patient accrual. Automation is key for efficient implementation in the ED. Using automated design improvements, we obtain blood samples from sepsis patients presenting to the ED faster than previous studies. Prompt biobank collection within the ED allows research into mechanisms of sepsis earlier in a patient’s hospital course than has heretofore been possible and enables biomarker discovery for testing development directly relevant to emergency providers.
Reference
1. Attwood RJ, Smith VD, Russi CS, Hess EP, Escalante P, Baudoin MR, Frazee EN, Rudis ML: An automated electronic notification system as a screening tool for severe sepsis and septic shock. *Ann Emerg Med* 2010, 56:S64-S65.
P42
Defining fever: likelihood of infection diagnosis as a function of body temperature in the emergency department.
E Small*, CM Clements
Department of Emergency Medicine, Mayo Clinic, Rochester, MN, USA
*Critical Care* 2014, 18(Suppl 2):P42; doi:10.1186/cc14045
Introduction: Fever predicts an infection cause of SIRS/sepsis more specifically than other commonly used hemodynamic criteria. Traditionally, a body temperature of 38.0°C has been used to define fever, but this cutoff is based on limited research. Furthermore, it has been proposed that fever responses are blunted in older adults, limiting the utility of fever in infection. This study determines the likelihood that a body temperature will predict diagnosis of infection in the emergency department (ED).
Methods: This was a retrospective cohort analysis of adult patients (>18 years old) presenting to a large academic emergency department from September 2010 to December 2012. Patient age, emergency physician diagnosis, final disposition, and initial body temperature were examined for each patient. Likelihood of a diagnosis of infection was calculated for all temperature ranges. Sensitivity and specificity of fever thresholds for a
diagnosis of infection were calculated and receiver operating characteristic (ROC) curves were generated. Confidence intervals were determined using Newcombe-Wilson hybrid scoring with continuity correction.
**Results:** We identified and analyzed records from 121,587 patients, including 37,933 persons >65 years old. Overall, 15.9% of patients received a diagnosis of infection in the ED with those >65 years old having a higher rate of infection at 18.3%. Likelihood of infection varied by temperature in a nonlinear relationship (see Figure 1). In adults of all ages, temperature >38.0°C had a specificity >99% for a diagnosis of infection in the ED although sensitivity was relatively poor. Specificity decreases only slightly with lower fever cutoffs (37.2 to 37.9°C) while sensitivity is increased to a greater degree (see Table 1).
**Conclusion:** The likelihood of a diagnosis of infection increases at the extremes of body temperature and is higher overall among older adults (>65 years old). In our population, elevated temperature was at least as sensitive for a diagnosis of infection in older people as in younger adults. The use of body temperature for predicting diagnosis of infection has an overall low sensitivity but high specificity. Changing the current practical definition of fever from ≥38.0°C to ≥37.5°C significantly increases sensitivity of predicting infection without greatly impacting the specificity. Only 2.3% of all patients had a temperature between 37.5 and 37.9°C, and these patients were four times more likely to have a diagnosis of infection than those with temperature of 36.0 to 36.9°C.
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**P43**
**Ghrelin: an anti-inflammatory therapeutic agent in septic rats.**
GA Ulucay\textsuperscript{1}, E Ozkok\textsuperscript{2}, H Yorulmaz\textsuperscript{3}, I Aydin\textsuperscript{4}, Ş Tamer\textsuperscript{1}
\textsuperscript{1}Department of Physiology, Faculty of Medicine, University of Istanbul, Turkey; \textsuperscript{2}Institute of Experimental Medicine Research, Department of Neuroscience, University of Istanbul, Turkey; \textsuperscript{3}Faculty of Health Science, University of Halic, Turkey; \textsuperscript{4}Department of Histology, Faculty of Medicine, University of Istanbul, Istanbul, Turkey
*Critical Care* 2014, 18(Suppl 2):P43; doi:10.1186/cc14046
**Introduction:** Sepsis is a life-threatening systemic inflammatory syndrome (SIRS), which affects many organ systems, that leads to hemodynamic changes in the presence of suspected or proven infection, advancing to organ dysfunction and failure [1-3]. In recent studies, 377 out of 100,000 cases of sepsis were observed while $14,600,000,000$ has been determined as the average annual hospital costs. Although there are many studies, the molecular mechanism is not yet clearly elucidated [2,3]. Lipopolysaccharide (LPS) is the lipid molecule which the outer membrane of Gram-negative bacteria used in designing the experimental sepsis model [4]. Ghrelin was discovered in 1999 as a specific ligand for growth hormone secretagogue receptor and then pleiotropic effects such as anti-inflammatory, antioxidant, and so forth were found. Ghrelin was released in many tissues and organs in which there also was its receptor. The liver is an organ which has ghrelin receptors and was affected by sepsis primary [5,6].
**Methods:** In our study, male Wistar albino rats of average body mass 200 to 250 g were separated into four groups including: Control ($n = 10$), LPS (\textit{E. coli} 055:B5, 5 mg/kg, $n = 10$), ghrelin (10 nmol/kg i.v., $n = 10$), LPS + ghrelin LPS
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**Table 1(abstract P42) Sensitivity and specificity of body temperature for a diagnosis of infection**
| Initial Body Temperature | 18 to 64 years of age | ≥65 years of age |
|--------------------------|----------------------|------------------|
| | Sensitivity (95% CI) | Specificity (95% CI) | Sensitivity (95% CI) | Specificity (95% CI) |
| ≥37.0 | 33.5% (32.6 to 34.3) | 81.9% (81.6 to 82.2) | 33.3% (32.2 to 34.4) | 85.7% (85.3 to 86.1) |
| ≥37.1 | 25.8% (25.0 to 26.6) | 89.4% (89.1 to 89.6) | 27.9% (26.8 to 29.0) | 91.2% (90.8 to 91.5) |
| ≥37.2 | 20.4% (19.7 to 21.2) | 93.4% (93.2 to 93.5) | 23.4% (22.4 to 24.4) | 94.0% (93.7 to 94.3) |
| ≥37.3 | 17.1% (16.4 to 17.8) | 95.6% (95.5 to 95.8) | 20.3% (19.3 to 21.2) | 95.7% (95.5 to 95.9) |
| ≥37.4 | 14.6% (14.0 to 15.3) | 96.9% (96.8 to 97.0) | 17.8% (16.9 to 18.7) | 96.6% (96.4 to 96.8) |
| ≥37.5 | 12.6% (12.0 to 13.2) | 97.8% (97.7 to 97.9) | 15.9% (15.0 to 16.7) | 97.4% (97.2 to 97.6) |
| ≥38.0 | 6.48% (6.06 to 6.93) | 99.3% (99.2 to 99.3) | 8.77% (8.12 to 9.47) | 99.0% (98.9 to 99.1) |
(5 mg/kg, ghrelin 10 nmol/kg i.v., n = 10). Rats were decapitated 24 hours after first injection. We aimed in this study to investigate effects of ghrelin in sepsis which is created by LPS with sepsis descriptive parameters such as body temperature and leukocyte count with proinflammatory cytokine TNFα and anti-inflammatory cytokines IL-10 by ELISA, and hematoxylin and eosin stain for observed morphological changes.
**Results:** We detected the increase of leukocyte number, hypothermia, proinflammatory and anti-inflammatory cytokines such as TNFα and IL-10 as developing inflammatory reactions, resulting in hemodynamic and metabolic changes in rats treated with LPS. Also in groups with ghrelin treatment, ghrelin affects leukocyte numbers, body temperature, proinflammatory and anti-inflammatory cytokine levels and histological changes in controls and the LPS group (Figures 1 to 4). As a result of histologic examination, the curative effect of ghrelin partially on liver tissue damage is observed (Figure 5).
**Conclusion:** We think the results of ghrelin may be affected depending on the dose and duration. Also partial healing effects of ghrelin in our results on this topic at the molecular level will contribute to other studies.
**References**
1. Angus DC, van der Poll T: *Severe sepsis and septic shock.* N Engl J Med 2013, 369:2063.
2. Levy MM, Fink MP, Marshall JC, Abraham E, Angus D, Cook D, Cohen J, Opal SM, Vincent JL, Ramsay G, SCCM/ESICM/ACCP/ATS/SIS. 2001 SCCM/ESICM/ACCP/ATS/SIS International Sepsis Definitions Conference. Crit Care Med 2003, 31:1250-1256.
3. Schorr CA, Zanotti S, Dellinger RP: Severe sepsis and septic shock: management and performance improvement. Virulence 2014, 1:190-199.
4. Ramachandran G: Gram-positive and gram-negative bacterial toxins in sepsis: a brief review. Virulence 2014, 5:213-218.
5. Kojima M, Hosoda H, Date Y, Nakazato M, Matsuo H, Kangawa K: Ghrelin is a growth-hormone-releasing acylated peptide from stomach. Nature 1999, 402:656-660.
6. Chang L, Zhao J, Yang J, Zhang Z, Du J, Tang C: Therapeutic effects of ghrelin on endotoxic shock in rats. Eur J Pharmacol 2003, 473:171-176.
P44
Restrictive parenteral fluid therapy in infants and children presenting with acute severe viral pneumonia in the PICU: a single-center experience.
S Kandasamy*, N Vijayakumar, T Sankaralingam, V Varadarajan, N Krishnamoorthy
Division of Pediatric Intensive Care, Department of Pediatrics, Mehta Children's Hospital Pvt Ltd, Chennai, India
Critical Care 2014, 18(Suppl 2):P44; doi:10.1186/cc14047
Introduction: Acute viral (RSV and non-RSV) pneumonia is one of the most common causes of lower respiratory tract infection in infants and children. Although only 2 to 3% of infants with bronchiolitis require hospitalized management based on published literature, in recent years we see more children requiring hospitalization in high-dependency units. Most of these children require intravenous fluid therapy and some form of oxygen supplementation. As there is no standardized evidence-based parenteral fluid therapy protocol specific for acute severe viral pneumonia available, we decided to retrospectively analyze the result of our restrictive fluid therapy protocol.
Methods: All children less than 5 years age admitted to our PICU from June 2013 to December 2013 with etiological evaluation confirmed acute severe viral (RSV and non-RSV) pneumonia who received a minimum 48 hours of parenteral fluid therapy were enrolled and the data retrieved from the case sheet. The data analyzed were duration of PICU stay, hospital stay, oxygen therapy requirement, duration of oxygen therapy and their relationship to fluid balance on restrictive fluid regimen.
Results: A total of 32 children met the criteria for inclusion in the study period, 23 boys (71.9%) and nine girls (28.1%). The median age of children was 9.5 months (IQR 3.3 to 27.3). Of 32 children, 4/32 (12.5%) required invasive mechanical ventilation; 5/32 (15.6%) required NP-CPAP; 12/32 (37.5%) were on HHFNC; and nasal prong oxygen supplementation in 26 (81.3%) children. The median duration of ICU stay was 68.9 hours (IQR 39.2 to 80.2), that of hospital stay was 116.5 (IQR 92 to 179.2). Fluid balance at the end of 72 hours of ICU stay did not significantly differ the need for ventilation ($P = 0.45$) or the duration of ventilation ($P = 0.60$). Fluid balance in the first 72 hours correlated positively with change in serum sodium...
levels indicating a fall in sodium levels with more positive fluid balance (Spearman coefficient of 0.452 ($P = 0.16$)). There was no significant correlation between fluid balance and duration of PICU/hospital stay ($P = 0.58/0.75$). eGFR calculated using modified Schwartz formula did not correlate with treatment parameters like duration of ICU/hospital stay, mechanical ventilation, and CPAP.
**Conclusion:** Positive fluid balance may not influence the duration of PICU stay, hospital stay, or oxygen therapy in children with severe viral pneumonia when initiated on restrictive (70% of Holliday Segar calculation) parenteral fluid therapy. eGFR at admission did not influence the fluid balance when they were uniformly initiated on restrictive parenteral fluids. Further studies with calculated sample size may help to confirm the observations.
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**P45**
**Blood sugar variation during the first 48 hours of hospitalization for patients with sepsis was associated with in-hospital mortality.**
K-F Chen¹, C-C Wu²
¹Chang Gung University, Taoyuan, Taiwan and ²Chang Gung Memorial Hospital at Keelung and Linkou, Taiwan
*Critical Care* 2014, 18(Suppl 2):P45; doi:10.1186/cc14048
**Introduction:** Blood sugar control for patients with sepsis remains controversial. We aimed to test the hypothesis that the variation of blood sugar level is associated with patient outcome in this study.
**Methods:** A retrospective cohort study on nontraumatic adult patients who visited the ED of a tertiary hospital in 2010 and had a clinical diagnosis of severe sepsis was conducted. Patients with two sets of blood culture ordered by emergency physicians and at least two blood sugar tests results available during the first 48 hours of hospitalization were included. The coefficients of variation (CoV, the ratio of the standard deviation to the mean) of the blood sugar level were analyzed with multivariate logistic regression models to test the association between in-hospital mortality.
**Results:** Of the 1,537 patients included, most were older than 70 years of age (median; 71, IQR; 59 to 80), male (54%), without a diagnosis of severe sepsis (63%) and had a previous diagnosis of diabetes (84%). The initial blood sugar levels of patients with and without previously diagnosed diabetes were $259 \pm 9.9$ and $154 \pm 5.7$, respectively (mean ± SEM). The CoV of the consecutively monitored blood sugar level during the first 48 hours of admission for patients with and without previously diagnosed diabetes were $29.4 \pm 0.5\%$ and $21.0 \pm 0.5\%$, respectively. Patients with CoV lower than 10% and higher than 30% tended to have higher mortality rate, compared to patients with 10 to 30% CoV level (11% vs. 12% and 7%, respectively, Figure 1). In the multivariate logistic regression model adjusting for age, initial blood sugar level, severity of sepsis, previous diagnosis of diabetes, and diagnosis of severe sepsis, the higher CoV level (>30%) was found to be associated with 60% increased odds of in-hospital mortality (aOR: $1.61 \pm 0.34$); while the previous diagnosis of diabetes was found to be associated with 45% lower odds of in-hospital mortality (aOR $0.55 \pm 0.13$, Table 1).
**Figure 1**(abstract P45) Lowess smoother plot for mortality versus coefficient of variation
| | Odds ratio | Standard error | $P$ value | 95% CI |
|--------------------------|------------|----------------|-----------|------------|
| Sugar CoV <10% | 1.51 | 0.44 | 0.15 | 0.86 | 2.67 |
| Sugar CoV >30% | 1.61 | 0.34 | 0.02 | 1.06 | 2.43 |
| Initial sugar level <100 | 0.98 | 0.01 | 0.00 | 0.97 | 0.99 |
| Initial sugar level ≥ 100 and <500 | 1.00 | 0.00 | 0.67 | 1.00 | 1.00 |
| Initial sugar level higher ≥ 500 | 1.00 | 0.00 | 0.54 | 1.00 | 1.00 |
| Severe sepsis | 2.43 | 0.48 | 0.00 | 1.65 | 3.56 |
| Previous diagnosis of diabetes | 0.55 | 0.13 | 0.01 | 0.34 | 0.88 |
| Severity of sepsis | 1.14 | 0.04 | 0.00 | 1.07 | 1.21 |
| Age | 1.01 | 0.01 | 0.49 | 0.99 | 1.02 |
Conclusion: In this retrospectively cohort study, we found that increased blood sugar variation was associated with worse patient outcome. However, further study is merited to test the possible causal relationship between variation of blood sugar level and patient outcome.
P46
Association of initial intracellular signalling pathway and cytokine level with early mortality in severe sepsis patients.
KC Lie\textsuperscript{1}, D Widodo\textsuperscript{2}, S Lardo\textsuperscript{3}, Eppy\textsuperscript{4}, R Sinto\textsuperscript{5}
\textsuperscript{1}Division of Tropical and Infectious Diseases, Department of Internal Medicine, Faculty of Medicine, Universitas Indonesia, Jakarta, Indonesia; \textsuperscript{2}Department of Internal Medicine, Gatot Subroto Indonesia Central Army Hospital, Jakarta, Indonesia; \textsuperscript{3}Department of Internal Medicine, Persahabatan Hospital, Jakarta, Indonesia
Critical Care 2014, 18(Suppl 2):P46; doi:10.1186/cc14049
Introduction: Sepsis occurs as a result of systemic inflammatory process. The release of bacterial components to the systemic circulation leads to activation of inhibitor kappa B kinase (IKK)-β and nuclear factor kappa B (NF-κB) through phosphorylation and ubiquitination. Excessive inflammatory process with maladaptive host’s immune response leads to organ dysfunctions and death [1,2]. This study was designed to investigate association of the initial level of intracellular signalling pathway and cytokine involved in sepsis pathophysiology (that is, IKK-β, NF-κB, tumour necrosis factor (TNFα)) and 72-hour (early) mortality in severe sepsis patients.
Methods: A prospective cohort study was conducted in severe sepsis patients (aged 18 years and older) admitted to the Emergency Unit of Cipto Mangunkusumo Hospital, Persahabatan Hospital, and Gatot Subroto Indonesia Central Army Hospital, Jakarta, Indonesia. All blood samples for intracellular signalling pathway (that is, IKK-β, total NF-κB, phospho NF-κB) and cytokine (that is, TNFα) were collected and measured using the ELISA method during first 24 hours of inclusion. Patients’ outcome was observed during first 72 hours after inclusion. Mann-Whitney test was used to analyse the median difference of IKK-β, total NF-κB, phospho NF-κB level in two groups based on 72-hour survival. The t test was used to analyse the mean difference of TNFα level in both groups.
Results: Subjects consisted of 90 patients. Early mortality developed in 27 subjects. Baseline characteristics of survival and death subjects are shown in Table 1. The initial intracellular signalling pathway and cytokine parameters level are shown in Table 2. There was a significant higher median first 24 hours IKK-β and total NF-κB level in survival subjects compared with death subjects ($P = 0.025$ for median IKK-β and $P = 0.036$ for median total NF-κB). There was no significant difference of initial phospho NF-κB and TNFα level in survival and death subjects.
Conclusion: There is a significant lower initial IKK-β and total NF-κB level in severe sepsis patients surviving on 72-hour observation. There is a tendency of lower initial phospho NF-κB and TNFα level in severe sepsis patients surviving on 72-hour observation.
References
1. Coldewey SM, Rogazzo M, Collino M, Patel NSA, Thiemermann C: Inhibition of IκB kinase reduces the multiple organ dysfunction caused by sepsis in the mouse. Dis Model Mech 2013, 6:1031–1042.
2. Liu SF, Malik AB: NFKB activation as a pathological mechanism of septic shock and inflammation. Am J Physiol Lung Cell Mol Physiol 2006, 290: L622-L645.
Table 1(abstract P46) Baseline characteristics of the subjects
| Characteristic | Survival subjects ($n = 63$) | Death subjects ($n = 27$) |
|--------------------------------|-------------------------------|---------------------------|
| Mean age (years) | 52.98 ± 15.38 | 50.19 ± 13.46 |
| Sex | | |
| Male | 23 (36.5) | 12 (44.4) |
| Female | 40 (63.5) | 15 (55.6) |
| Sepsis severity | | |
| Severe sepsis | 42 (66.7) | 13 (48.1) |
| Septic shock | 21 (33.3) | 14 (51.9) |
| Mean APACHE II score | 13.03 ± 5.27 | 14.37 ± 6.55 |
| Comorbidity | | |
| Without comorbidity | 4 (6.3) | 2 (7.4) |
| With comorbidity(s) | 59 (93.7) | 25 (92.6) |
| Source of infection | | |
| Respiratory tract | 45 (71.4) | 24 (88.9) |
| Intraabdominal | 4 (6.3) | 1 (3.7) |
| Skin and soft tissue | 5 (7.9) | 1 (3.7) |
| Urinary tract | 2 (3.1) | 1 (3.7) |
| ≥ 2 sources | 7 (11.3) | 0 |
| Mean procalcitonin (pg/ml) | 21.47 ± 44.30 | 30.26 ± 17.29 |
| Mean baseline lactate (mmol/l) | 3.10 ± 1.77 | 4.89 ± 2.57 |
Data presented as $n$ (%) or mean ± standard deviation. APACHE, Acute physiology and chronic health evaluation
Table 2(abstract P46) Initial intracellular signalling pathway and cytokine level based on 72-hour survival
| Parameter | Survived subjects ($n = 63$) | Death subjects ($n = 27$) | $P$ value |
|--------------------|-------------------------------|---------------------------|-----------|
| IKK-β\textsuperscript{a} | 0.10 (0.03) | 0.12 (0.03) | 0.025 |
| Total NF-κB\textsuperscript{a} | 0.08 (0.08) | 0.12 (0.08) | 0.036 |
| Phospho NF-κB\textsuperscript{a} | 0.10 (0.38) | 0.33 (0.38) | 0.579 |
| TNFα\textsuperscript{b} | 9.10 (7.80) | 10.91 (11.74) | 0.393 |
\textsuperscript{a}Median (interquartile range) in optical density, Mann-Whitney test. \textsuperscript{b}Mean (standard deviation) in pg/ml, $t$ test
P47
Sepsis and neutropenia in hematological malignancies.
Y Labiad\textsuperscript{1}, L Farnault\textsuperscript{2}, B Loriod\textsuperscript{1}, R Costello\textsuperscript{1,2}, C Nguyen\textsuperscript{1}
\textsuperscript{1}Technological Advances for Genomics and Clinics U1090, INSERM, Marseille, France; \textsuperscript{2}Service d'hématologie de La Conception, Assistance publique - Hôpitaux de Marseille, France
Critical Care 2014, 18(Suppl 2):P47; doi:10.1186/cc14050
Introduction: The pre-existing inflammatory state influences the behavior of infection, a first peak of inflammation may be the risk factor during infection and predispose to a severe form of the disease [1,2]. This hypothesis is frequently accepted but has never been tested. Patients with hematological malignancies treated by chemotherapy in case of autologous stem cell transplantation (ASCT) are exposed to a neutropenic state: an abnormal low number of neutrophils. In the neutropenic patient, sepsis is more frequent than in the non-neutropenic patient. The severity of infection depends on many factors, particularly the pre-existing inflammatory state, the genetic factors, and the duration and the depth of neutropenia. In the literature, the factors involved in inflammation and infection are often confused. On the other hand, no predictive transcriptomic signature of sepsis was found. Our objective is to identify predictive genes that influence the outcomes of the infection in neutropenic patients.
Methods: To test our hypothesis, high-throughput transcriptomic analysis and bioinformatics will be combined, laying on the modulation of gene expression of the peripheral blood mononuclear cells of patients with hematological malignancies treated by chemotherapy in case of ASCT.
Results: A preliminary study on a reduced number of patients has allowed us to assess the feasibility of the project. After a statistical analysis, 615 genes are differently expressed between patients who developed sepsis and those who have not developed with a false discovery rate of 5%. These 615 genes are potentially predictive of sepsis 2 days before the development of the infection. Furthermore, 28 genes are differentially expressed between patients who developed sepsis and those who have...
not developed with a false discovery rate of 5%, and these 28 genes are potentially predictive of sepsis 7 days before the development of the infection.
**Conclusion:** The ongoing transcriptomic study with a larger effect will allow us to test our hypothesis and confirm the results of our preliminary study. The microarray results should be strengthened with quantitative PCR assays, than validated with protein assays. Finally, we will transfer the experimental data to clinical practices.
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**P48**
**Histopathological changes in septic acute kidney injury in critically ill children: an observational analytical study of postmortem renal biopsies.**
R Rameshkumar\(^1\)*, S Mahadevan\(^1\), RN Ganesh\(^2\), P Narayanan\(^1\), V Bhat\(^1\)
\(^1\)Department of Pediatrics, Jawaharlal Institute of Postgraduate Medical Education & Research, Puducherry, India; \(^2\)Department of Pathology, Jawaharlal Institute of Postgraduate Medical Education & Research, Puducherry, India
*Critical Care* 2014, 18(Suppl 2):P48; doi:10.1186/cc14051
**Introduction:** Critically ill children often manifest acute kidney injury (AKI) as part of their disease process with incidence up to 82% and it is independently associated with poor outcome [1]. Sepsis is the most common contributing factor and little is known about the pathogenesis of septic AKI. There are no consistent histopathological changes in human or experimental septic AKI [2]. Hence, understanding of the structural changes associated with its occurrence is therefore important in the management of AKI in critically ill children.
**Methods:** Children aged less than 12 years who died with septic AKI were screened for percutaneous USG-guided kidney biopsy after obtaining written informed consent from July 2012 to June 2014. Three cores of kidney tissue were taken for histopathological evaluation by light, immunofluorescence and electron microscopic examination. Sepsis and AKI was defined using international pediatric sepsis consensus conference and pRIFLE criteria respectively. Events related to death, laboratory parameters and microbiological details 24 hours preceding death were recorded.
**Results:** A total of 40 kidney biopsies were done during the study period. Median (IQR) age was 12 (2 to 36) months and PRISM-III was 14 (12 to 18). The most common change was normal histology in 37.5% (\(n = 15\)) followed by tubular change alone in 22% (\(n = 10\)), glomerular change alone in 5% (\(n = 2\)) and blood vessel change in 2.5% (\(n = 1\)) of specimens. Twelve specimens were showing a combination of changes (tubular + glomerular + interstitium = 5; tubular + glomerular + blood vessels = 3; tubular + glomerular = 2; tubular + interstitium = 1; tubular + glomerular + interstitium + blood vessels = 1). All tubular changes were consistent with acute tubular necrosis (ATN) and changes involved from 5 to 15% of cortex. Thrombotic microangiopathy was diagnosed in 12.5% (\(n = 5\)) of specimens. There were no significant difference between ATN versus non-ATN groups with respect to baseline characteristics and events related to mortality.
**Conclusion:** The most common change in septic AKI in critically ill children is normal histology followed by ATN. This is consistent with published literature [2].
**References**
1. Fortenberry JD, Paden ML, Goldstein SL: Acute kidney injury in children: an update on diagnosis and treatment. *Pediatr Clin North Am* 2013, 60:669-688.
2. Langenberg C, Bagshaw SM, May CN, Bellomo R: The histopathology of septic acute kidney injury: a systematic review. *Crit Care* 2008, 12:R38.
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**P49**
**Impact before and after introduction of a multifaceted quality improvement intervention on device-related infections in a pediatric ICU in India: a single-centre experience.**
R Rameshkumar\(^1\), A Jagadeesh\(^1\), M Kedarnath\(^1\), S Mahadevan\(^1\), P Narayanan\(^1\), KN Harikrishnan\(^1\), S Sirola\(^2\)
\(^1\)Department of Pediatrics, Jawaharlal Institute of Postgraduate Medical Education & Research, Puducherry, India; \(^2\)Department of Microbiology, Jawaharlal Institute of Postgraduate Medical Education & Research, Puducherry, India
*Critical Care* 2014, 18(Suppl 2):P49; doi:10.1186/cc14052
**Introduction:** Healthcare-associated infections (HAI) are a significant problem in the pediatric intensive care unit (PICU). Apart from contributing to mortality, they also increase the cost of PICU care [1]. Surveillance and prevention of HAI by multifaceted quality improvement intervention among critically ill children remain part of the standard of care [2].
**Methods:** The study was conducted in the 19-bed PICU of a tertiary care referral academic institute. Data regarding ventilator-associated pneumonia (VAP) and central line associated bloodstream infection (CLABSI) using the CDC definition were collected prospectively from July 2013 to June 2014. Multifaceted quality improvement intervention consisting of infection control nurse and physician and hand hygiene education module and wearing a gown and mask during the care of critically ill children was introduced from January 2014. Incidence of VAP and CLABSI was compared before (July to December 2013) and after (January to June 2014) introduction of the intervention.
**Results:** Before the intervention period, the incidence of VAP was 28.5 per 1,000 ventilation-days and CLABSI was 13.7 per 1,000 catheter-days. After the intervention period the incidence of VAP was 13.3 per 1,000 ventilation-days and CLABSI was 8.3 per 1,000 catheter-days. The proportion of patients ventilated for more than 48 hours who had VAP was significantly less after intervention as compared to before the intervention period (14.2%, \(n = 25/176\) vs. 25.2%, \(n = 29/155\); \(P = 0.012\), odds ratio (OR), 95% CI 0.49, 0.28 to 0.86). Both groups were similar with respect to age, sex ratio, severity (PRISM-III), device utilization rate and grade of infection. No significant difference occurred in overall PICU mortality before and after intervention (28.2% vs. 28.9%).
**Conclusion:** Multifaceted quality improvement intervention results in significant reduction of the healthcare-associated infection rate although it was higher than reported from developed countries [1-3].
**References**
1. Muszynski JA, Sartori J, Steele L, Frost R, Wang W, Khan N, et al: Multidisciplinary quality improvement initiative to reduce ventilator-associated tracheobronchitis in the PICU. *Pediatr Crit Care Med* 2013, 14:553-558.
2. Esteban E, Ferrer R, Ureña M, Suárez D, Rozas L, Balaguer M, et al: The impact of a quality improvement intervention to reduce nosocomial infections in a PICU. *Pediatr Crit Care Med* 2013, 14:S25-532.
3. Flodgren G, Contiemo LO, Mayhew A, Omar O, Pereira CR, Grunderp S: Interventions to improve professional adherence to guidelines for prevention of device-related infections. *Cochrane Database Syst Rev* 2013, 3:CD006559.
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**P50**
**Diagnostic and prognostic evaluation of soluble CD14 subtype for sepsis in critically ill patients: a preliminary study.**
A Foca\(^1\), C Peronace, V Marano, GS Barreca, AG Lamberti, N Marascio, A Giancotti, R Puccio, MC Liberto
Department of Health Sciences, Institute of Microbiology, University 'Magna Graecia' of Catanzaro, Italy
*Critical Care* 2014, 18(Suppl 2):P50; doi:10.1186/cc14053
**Introduction:** Sepsis, a leading cause of death in critical care patients, is the result of complex interactions between the infecting microorganisms and the host responses that influence clinical outcomes [1]. Reliable biochemical markers that enable early diagnosis are still needed. A new marker, presepsin (soluble CD14 subtype, sCD14-ST) is a circulating fragment of 13 kDa of soluble CD14 that originates from the cleavage of the CD14 expressed on the surface membranes of monocytes/macrophages. sCD14-ST has been shown to increase significantly in patients with sepsis [2]. In our study we compare diagnostic performance of presepsin, C-reactive protein (CRP) and procalcitonin (PCT).
**Methods:** Critical patients with suspected sepsis admitted to the Unit of Intensive Care of the University Hospital of Catanzaro (Italy) were recruited into this study; healthy volunteers were also included as controls. Plasma samples in EDTA from each patient were collected at multiple time points; samples were tested for CRP, PCT and presepsin.
Blood cultures were also evaluated and processed by a Bact/Alert 3D system (bioMérieux, Italy); CRP was measured by immunonephelometry (Siemens Healthcare Diagnostic, Italy) and PCT was assayed by an enzyme-linked fluorescent assay (VIDAS BRAHMS PCT, bioMérieux, Italy); presepsin levels were measured by rapid automated PATHFAST immunoanalyzer (kindly provided by GEPA SRL, Italy), based on chemiluminescent enzyme immunoassay. A statistical analysis was carried out by Mann-Whitney test.
**Results:** Presepsin and PCT levels were significantly higher in culture-positive subjects versus negative controls; such difference was found even at the admission time. The presepsin values in worsening/dead patients exhibited a significantly higher level at admission time. On the contrary, in the same group of patients, PCT exhibited a decrease of its level. In poor prognosis patients CRP showed a quite irregular kinetic, although in such a group the admission value was higher than the same marker in live subjects.
**Conclusion:** In this preliminary study, presepsin and PCT levels exhibited substantial higher values in culture-positive patients. The kinetic curves of presepsin, obtained from both survival and worsening/dead subjects, revealed the optimal performance of this biomarker, particularly in severely ill patients, as also shown in other studies. During sepsis, increase of presepsin levels may be a more reliable marker, indicating an unfavorable outcome [3,4]. Furthermore, high presepsin levels could alert clinicians not to suspend antibiotic treatments even after clinical symptoms have improved and PCT levels have returned to normal.
**References**
1. Masson S, Caironi P, Spanuth E, Thomae R, Panigada M, Sangiorgi G, Fumagalli R, Mauri T, Isgrò S, Fanizza C, et al: Presepsin (soluble CD14 subtype) and procalcitonin levels for mortality prediction in sepsis: data from the Albumin Italian Outcome Sepsis trial. *Crit Care* 2014, 18:R6.
2. Yaegashi Y, Shirakawa K, Sato N, Suzuki Y, Kojika M, Imai S, Takahashi G, Miyata M, Furusako S, Endo S: Evaluation of a newly identified soluble CD14 subtype as a marker for sepsis. *J Infect Chemother* 2005, 11:234-238.
3. Ulla M, Pizzolato E, Lucchiari M, Loiacono M, Soardo F, Forno D, Morello F, Lupia E, Morligho C, Mengozzi G, et al: Diagnostic and prognostic value of presepsin in the management of sepsis in the emergency department: a multicenter prospective study. *Crit Care* 2013, 17:R163.
4. Endo S, Suzuki Y, Takashiri G, Shozushima T, Ishikura H, Murai A, Nishida T, Irie Y, Miura M, Iguchi H, et al: Presepsin as a powerful monitoring tool for the prognosis and treatment of sepsis: a multicenter prospective study. *J Infect Chemother* 2014, 20:30-34.
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**P51**
**Sphingosine-1 phosphate promotes thymic atrophy during sepsis progression.**
L Kuchler\(^1\), LK Sha\(^1\), AK Giegerich\(^1\), T Knape\(^2\), A Weigert\(^3\), B Brüne\(^1\), A von Knethen\(^1\)
\(^1\)Faculty of Medicine, Institute of Biochemistry I - Pathobiochemistry, Goethe-University Frankfurt, Germany; \(^2\)Project Group Translational Medicine & Pharmacology TMP, Fraunhofer Institute for Molecular Biology and Applied Ecology IME, Frankfurt, Germany
*Critical Care* 2014, 18(Suppl 2):P51; doi:10.1186/cc14054
**Introduction:** T-cell depletion is a marker of the hypo-inflammatory phase of sepsis [1,2]. Systemic T-cell loss could be caused i.a. by thymus involution during sepsis, thus contributing to immune paralysis [3]. Usually, thymic T-cell egress is mediated by a sphingosine-1-phosphate (S1P) gradient. That is, T cells leave the thymus towards an increased S1P-level in the periphery (blood/lymph) [4]. A disruption of this S1P gradient blocks T-cell emigration. S1P is produced by sphingosine kinases 1 and 2 (SPHK1 and SPHK2), which are ubiquitously expressed [5]. Apoptotic cells are known to release S1P [6]. We suggest that apoptotic events in the thymus during sepsis increase S1P levels, thereby disrupting the gradient and preventing egress of T cells from the thymus.
**Methods:** We used a murine polymicrobial sepsis model to analyze thymus involution. Sepsis is induced in wildtype mice, SPHK1\(^{-/-}\) or SPHK2\(^{-/-}\) mice by cecal ligation and puncture (CLP). Thymus involution was determined by analyzing the T-cell amount of single-positive mature (CD4\(^+\)/CD8\(^+\) vs. CD4\(^-\)/CD8\(^+\)), double-positive late immature (CD4\(^+\)/CD8\(^+\)), and double-negative early immature cells by FACS analysis. T cells from SPHK1\(^{-/-}\) or SPHK2\(^{-/-}\) mice, which produce less S1P, and wildtype mice treated with a SPHK1 inhibitor were used to characterize whether T cells in these mice have a higher rate of emigration compared to control mice. Thymic and serum S1P levels were quantified by LC-MS/MS. Apoptosis was determined by annexin V FACS staining. SPHK mRNA levels were determined by qPCR.
**Results:** The thymus of septic mice showed more CD3-positive cells but a decreased number of CD4/CD8 double-positive T cells, pointing to a thymic retention of single-positive mature T cells. In line with our assumption, CLP causes apoptosis of thymocytes and increases SPHK1 mRNA expression. Concomitantly S1P levels are increased in the thymus and consequently decreased in serum following CLP. The knockout of the S1P producing sphingosine-kinases SPHK1 or SPHK2 and the pharmacological inhibition of SPHK1 restores T-cell egress as indicated by an increase of double-positive immature T cells compared to wildtype mice.
**Conclusion:** Our data suggest that inhibition of SPHK1-mediated S1P generation during sepsis restores thymic T-cell egress, which might improve septic outcome. Therefore, understanding mechanisms of thymus involution during sepsis may help to reconstitute thymic function, finally improving immune reactions in the hypo-inflammatory phase of sepsis.
**References**
1. Solter M, Tautenhahn A, Brüne B, Zacharowski K, John S, Link H, von Knethen A: Peroxisome proliferator-activated receptor gamma contributes to T lymphocyte apoptosis during sepsis. *J Leuk Biol* 2006, 79:235-243.
2. Schmidt MV, Paulius P, Kuhn A-M, Weigert A, Morbitzer V, Zacharowski K, Kempf VAL, Brüne B, von Knethen A: Peroxisome proliferator-activated receptor gamma-induced T cell apoptosis reduces survival during polymicrobial sepsis. *Am J Respir Crit Care Med* 2011, 184:64-74.
3. Vermaud V, de Souza Souto P, Nieto Brito V: Thymic atrophy in infectious diseases. *Braz J Morphol Sci* 2004, 21:111-116.
4. Matloubian M, Lo CS, Cinamon G, Lesneski MJ, Xu Y, Brinkmann V, Allende ML, Polla RL, Cyster JG: Lymphocyte egress from thymus and peripheral lymphoid organs is dependent on S1P receptor 1. *Nature* 2004, 427:355-360.
5. Spiegel S, Milstien S: Sphingosine-1-phosphate: an enigmatic signalling lipid. *Nat Rev Mol Cell Biol* 2003, 4:397-407.
6. Weigert A, Joharin AM, von Knethen A, Schmidt H, Geisslinger G, Brüne B: Apoptotic cells promote macrophage survival by releasing the antiapoptotic mediator sphingosine-1-phosphate. *Blood* 2006, 108:1635-1642.
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**P52**
**Activation of the peroxisome proliferator activated receptor γ counteracts sepsis-induced T-cell cytotoxicity towards alloantigenic target cells.**
A von Knethen\(^1\), LK Sha\(^1\), T Knape\(^2\), L Kuchler\(^1\), AK Giegerich\(^1\), M Schulz\(^1\), IA Hauser\(^3\), B Brüne\(^1\)
\(^1\)Institute of Biochemistry I - Pathobiochemistry, Faculty of Medicine, Goethe-University Frankfurt, Germany; \(^2\)Fraunhofer Institute for Molecular Biology and Applied Ecology IME, Project Group Translational Medicine & Pharmacology TMP, Frankfurt am Main, Germany; \(^3\)Department of Nephrology, Medical Clinic III, Frankfurt am Main, Germany
*Critical Care* 2014, 18(Suppl 2):P52; doi:10.1186/cc14055
**Introduction:** Sepsis originates from an uncontrolled inflammatory response. Despite intensive research, sepsis remains a major cause of death in ICUs. Therefore, new therapeutic approaches are mandatory. Taking into account that during sepsis progression cytotoxic T cells (CTL) are activated in an autoimmun fashion contributing to multiorgan damage, it remains unclear whether CTL are activated towards alloantigenic cells as well. This is especially important for patients receiving an immune suppressive therapy to permit organ transplantation and thus known to be at high risk for developing sepsis. Therefore, we analyzed whether sepsis activates CTL towards alloantigenic target cells and whether this can be inhibited by PPARγ activation, known to block T-helper cell responses.
**Methods:** To characterize whether sepsis activates CTL and whether this can be inhibited by PPARγ activation, we used an ex vivo cytotoxicity assay to analyze CD8\(^+\) T-cell-dependent cytotoxicity. Responder CD8\(^+\) T-cells were isolated from C57Bl/6N PPARγ wildtype (PPARγfl/fl/fl) and T-cell specific knockout (Tc-PPARγ\(^{-/-}\)) mice (haplotype H2Kb) following cecal ligation and
puncture (CLP) versus sham treatment. P815 mastocytoma cells, a cell line originally derived from DBA/2 mice (haplotype H2Kd), were used as alloantigenic target cells. Pharmacological inhibition and/or activation of PPARγ in vivo and ex vivo was performed to clarify the impact of PPARγ in blocking CTL-dependent cytotoxicity. In vivo, PPARγ activity in wildtype mice was pharmacologically inhibited by the irreversible antagonist GW9662 or induced by the thiazolidinedione rosiglitazone. Systemic application of both compounds was performed intraperitoneally. A classic splenocyte-driven stimulation protocol to activate CTL was carried out as control.
**Results:** CTL isolated from septic mice showed enhanced cytotoxicity towards alloantigenic P815 target cells. Enhanced cytotoxicity was effectively reduced by both PPARγ activation in vivo and ex vivo. In line, in CTL isolated from T-cell-specific PPARγ knockout (Tc-PPARγ−/−) mice PPARγ activation was ineffective, strengthening a PPARγ-dependent mechanism. At the molecular level in vivo and ex vivo activation of PPARγ reduced Fas and granzyme B expression in activated CTL, which might explain reduced cytotoxicity.
**Conclusion:** Our study therefore suggests PPARγ activation in vivo to attenuate CTL-dependent alloantigenic cytotoxicity to possibly inhibit acute organ rejection.
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**P53**
Using process mapping to identify barriers to effective management of sepsis in a cancer hospital: lessons for successful implementation of a whole hospital pathway
K Thurkyl¹, G Haeseler¹, B Teh¹, D Comodo², N Dean², C Brown², J Willis², K Morris², S Lingarajram³, M Slavin³, L Worth¹
¹Department of Infectious Diseases, Peter MacCallum Cancer Centre, Melbourne, Australia; ²Nursing, Peter MacCallum Cancer Centre, Melbourne, Australia; ³Pharmacy Department, Peter MacCallum Cancer Centre, Melbourne, Australia
*Critical Care* 2014, 18(Suppl 2):P53; doi:10.1186/cc14056
**Introduction:** Infection and sepsis are common problems in cancer management affecting up to 45% of patients. However, international guidelines focus on the management of neutrogenic fever, and fail to address the recognition and resuscitation of patients who meet sepsis criteria. Peter MacCallum Hospital is a 100 inpatient-bed tertiary cancer hospital with hematology, medical oncology, cancer surgery and radiation oncology, as well as a medical and chemotherapy day unit, apheresis, and large ambulatory service but no emergency department. Records showed that up to 25% of all in-hospital Medical Emergency Team (MET) calls were attributable to sepsis with in-hospital mortality rates of up to 25%. We aimed to identify barriers to effective management of inpatient sepsis at Peter MacCallum Cancer Centre and to implement a hospital-wide sepsis pathway.
**Methods:** A sepsis working party was formed with the antimicrobial stewardship team, clinicians, and senior ambulatory and inpatient nurses. Each member undertook direct observation and focus group interviews in an allocated clinical area. Three key areas were examined: issues relating the identification of sepsis, issues relating to clinical review of the patient, and issues relating to timely administration of first dose of antibiotic. Inpatient and outpatient issues were graphically represented in a process map (Figure 1).
**Results:** Process mapping revealed significant gaps in knowledge in medical and nursing staff and structural barriers to rapid resuscitation of patients. There were significant knowledge gaps in the awareness of sepsis diagnostic criteria, the role of lactate, effective fluid resuscitation, and the need for early clinical review and referral to the ICU. Examples of structural barriers to effective resuscitation included lack of availability of nurse cannulators, availability of antibiotics, rapid intravenous fluid infusers and sufficient after-hours medical and ICU liaison support. Knowledge and structural barriers were systematically addressed during the implementation of the clinical sepsis pathway. The sepsis pathway was designed as a medical record form to be used across all clinical areas, and supports nurse initiation. Following pathway implementation in March 2013 there have been substantial improvements in the number of patients who have had a lactate taken, received appropriate fluid resuscitation and time to first dose of antibiotics. Administrative data shown in Figure 2 demonstrate increased ascertainment of cases, and a fall in all-cause sepsis mortality after the pathway was commenced.
**Conclusion:** Identifying knowledge gaps and structural barriers using process mapping led to the successful design and implementation of a sepsis program. The figures show that despite increased rates of coded sepsis cases, mortality and ICU admission rates have not increased. Mortality
of patients coded for sepsis March to October 2012 (13/56 (23.2%)) compared with those for March to October 2013 (10/121 (8.3%)).
**P54**
**Dopamine mediates vagal modulation of the immune system by electroacupuncture.**
R Torres Rosas\textsuperscript{1,2}, P Morcillo\textsuperscript{2}, L Ulloa\textsuperscript{2,3}
\textsuperscript{1}Medical Research Unit on Immunoochemistry, National Medical Center Siglo XXI, Mexico City, Mexico; \textsuperscript{2}Laboratory of Anti-inflammatory Signaling, Department of Surgery, Rutgers University New Jersey Medical School, Newark, NJ, USA; \textsuperscript{3}Center of Immunology and Inflammation, Rutgers University New Jersey Medical School, Newark, NJ, USA
*Critical Care* 2014, 18(Suppl 2):P54; doi:10.1186/cc14057
**Introduction:** Previous anti-inflammatory strategies against sepsis, a leading cause of death in hospitals, had limited efficacy in clinical trials, in part because they targeted single cytokines and the experimental models failed to mimic clinical settings [1-3]. Neuronal networks represent physiological mechanisms, selected by evolution to control inflammation, that can be exploited for the treatment of inflammatory and infectious disorders [3].
**Methods:** Animal procedures were approved by the Institutional Animal Care & Use Committee of the New Jersey Medical School of Rutgers University. All animal experiments were performed in 6-week-old to 8-week-old (\( \sim 25 \pm 5 \) g) male mice without any exclusion criteria. Experimental sepsis: endotoxemia and CLP were performed as we previously described. LPS was dissolved in sterile pyrogen-free PBS and sonicated for 30 minutes immediately before use. Mice received a LD\(_{50}\) dose of LPS (6 mg/kg body weight i.p.). LPS was added to the whole blood to a final concentration of 250 ng/ml for the *in vitro* procedures. Selective neurectomies and electrical stimulations: all selective neurectomies and electrical stimulations were performed in mice anesthetized with ketamine and xylazine. The electrical stimulation in electroacupuncture and direct nerve stimulation (sciatic and vagus nerves) was performed with a continuous-mode stimulation for 15 minutes with a electrical potential difference of 4 V, an electric current of 40 mA, a pulse width of 50 µs and a frequency of 10 Hz using an electrostimulator.
**Results:** Here, we report that sciatic nerve activation with electroacupuncture controls systemic inflammation and rescues mice from polymicrobial peritonitis. Electroacupuncture at the sciatic nerve controls systemic inflammation by inducing vagal activation of aromatic L-amino acid decarboxylase, leading to the production of dopamine in the adrenal medulla. Experimental models with adrenalectomized mice mimic clinical adrenal insufficiency [4], increase the susceptibility to sepsis and prevent the anti-inflammatory effects of electroacupuncture. Dopamine inhibits cytokine production via dopamine type 1 (D1) receptors. D1 receptor agonists suppress systemic inflammation and rescue mice with adrenal insufficiency from polymicrobial peritonitis. Our results suggest a new anti-inflammatory mechanism mediated by the sciatic and vagus nerves that modulates the production of catecholamines in the adrenal glands.
**Conclusion:** From a pharmacological perspective, the effects of selective dopamine agonists mimic the anti-inflammatory effects of electroacupuncture and can provide therapeutic advantages to control inflammation in infectious and inflammatory disorders. Preliminary results in human clinical trials indicate that electroacupuncture attenuates the postsurgical inflammatory response decreasing the serum levels of inflammatory cytokines.
**References**
1. Angus DC, van der Poll T: Severe sepsis and septic shock. *N Engl J Med* 2013, 369:840-851.
2. Ulloa L, Tracey KJ: The ‘cytokine profile’: a code for sepsis. *Trends Mol Med* 2005, 11:56-63.
3. Ulloa L: The vagus nerve and the nicotinic anti-inflammatory pathway. *Nat Rev Drug Discov* 2005, 4:673-684.
4. Annane D: Adrenal insufficiency in sepsis. *Curr Pharm Des* 2008, 14:1882-1886.
**P55**
**Immunomodulation and infection: identification of small molecule TLR3 blockers to combat deleterious inflammation in pneumonia.**
F Sénégo\textsuperscript{1,2}, B Pouzet\textsuperscript{1}, F Pecceu\textsuperscript{1}, L Leclard\textsuperscript{1}, B Martin\textsuperscript{1}, P-E Rouby\textsuperscript{1}, L Gouilleux\textsuperscript{1}, C Ravinet-Trillou\textsuperscript{1}, J-M Bras\textsuperscript{3}, C Serradeil-Le Gal\textsuperscript{1}
\textsuperscript{1}Sanofi TSU ID, Toulouse, France; \textsuperscript{2}SCP LGCR, Toulouse, France; \textsuperscript{3}Biologics, Toulouse, France
*Critical Care* 2014, 18(Suppl 2):P55; doi:10.1186/cc14058
**Introduction:** Pneumonia is a common cause of death worldwide and the leading cause of sepsis and shock in the ICU. Controlling excessive immune stimulation with deleterious consequences for the host organs is a major strategy in severe infections. In addition to viral dsRNA, the immune Toll-like receptor 3 (TLR3) senses RNA released from injured tissues and necrotic cells promoting excessive inflammatory cytokine release in pulmonary epithelial, endothelial and immune cells. Thus, as a potent regulator of the lung immune response, TLR3 represents a specific target to control damaging inflammation in severe lung infections in combination with antimicrobials. Here, we aimed to characterize potent small molecules displaying *in vitro* and *in vivo* TLR3 blocker activities and develop several preclinical models to investigate the role of TLR3 in pneumonia.
**Results:** We identified compounds with anti-TLR3 activity (IC$_{50}$ = 50 nM) through random screening and structure-activity relationship analysis by testing small molecule libraries on recombinant hTLR3-HEK293 cells. Selected compounds interacted with mouse and human TLR3, were devoid of effect on TNF-$\alpha$-induced activation at 1 $\mu$M on HEK293 cells and exhibited good early-ADME properties. Hit molecules also counteracted PolyAU (PAU)/Poly(I:C) (PIC)-induced cytokine release (IL6, IL8, IP-10) on human bronchial epithelial cells (BEAS-2B) expressing native TLR3 receptors. Interestingly, sustained stimulation of BEAS-2B by PAU/PIC (0.1 to 10 $\mu$M) to mimic viral activation induced overexpression of TLR3 mRNA, which was dose-dependently inhibited by these compounds, as evidenced by RT-qPCR. *In vivo*, we confirmed the anti-TLR3 activity (3 to 30 mg/kg i.p.) against PAU/PIC (100 $\mu$g/mouse i.v.) but not flagellin-induced plasma cytokine release in CD1 mice. To study these TLR3 inhibitors under pathological situations, we developed models of *Streptococcus pneumoniae* (ATCC6503) or *Pseudomonas aeruginosa* (PAO-1)-induced pneumonia post influenza A virus (IAV PR/8/34 H1N1) infection. Mice previously challenged with intranasal IAV showed enhanced susceptibility to lung bacterial infections with a dramatic mortality rate, whereas separately these pathogens are not lethal. In addition, IAV/S. pneumoniae co-infected mice showed increased lung and blood bacterial loads with severe inflammation signs evidenced by elevated systemic IL-6 and KC levels and important lung tissue damages. Currently, TLR3 blockers are ongoing evaluation in these models.
**Conclusion:** Immunomodulation and personalized treatments are becoming relevant approaches to manage severe infections. Here, we discovered the first small molecule probes targeting mouse and human TLR3. These compounds efficiently control TLR3-triggered proinflammatory response *in vitro* and *in vivo* and shape TLR3 overexpression in human lung epithelial cells. They represent valuable pharmacological tools to study the contribution of TLR3 in pneumonia and to propose new adjuvant immunotherapies.
**Acknowledgements:** The research leading to these results has received funding from the People Programme (Marie Curie Actions) of the European Union’s Seventh Framework Programme FP7/2007-2013/ under REA grant agreement number 316682
**P56**
**Similarity of inflammatory response in epileptic seizures and sepsis: does the sensitivity to sepsis in epileptic patients increase?.**
G Üzüm\textsuperscript{1}, K Akgün-Dar\textsuperscript{2}, A Kandili\textsuperscript{2}, N Bahçekapılı\textsuperscript{1}, I Albenciz\textsuperscript{2}
\textsuperscript{1}Department of Physiology, Medical Faculty of Istanbul, Istanbul University, Istanbul, Turkey; \textsuperscript{2}Department of Biology, Faculty of Science, Istanbul University, Istanbul, Turkey
*Critical Care* 2014, 18(Suppl 2):P56; doi:10.1186/cc14059
**Introduction:** It is known that the systemic response during sepsis is caused by proinflammatory mediators such as interleukin-1 (IL-1), interleukin-6 (IL-6) and tumor necrosis factor alpha (TNF$\alpha$). The inflammatory response in sepsis causes disorders in the brain in addition to multorgan dysfunctions including the kidneys and liver [1]. Inducible nitric oxide synthase (iNOS) is induced in hepatocytes by sepsis and mediates hepatic injury [2]. Matrix metalloproteinases (MMPs) play an important role in the formation of sepsis and mediate inflammatory response and tissue damage [3]. On the other hand, there are some cases in which systemic inflammatory response occurs without the presence of infection such as epilepsy. Cytokines are well-known inflammatory mediators in the brain, and they increase following seizures. We previously demonstrated that pentylentetrazol (PTZ)-induced generalized epileptic seizures significantly increased inflammatory markers (TNF$\alpha$, IL-1$\beta$, IL-6) in the brain and S100B in serum [4]. In this preliminary study, we aimed to investigate the MMP2, MMP9, NOS, and myeloperoxidase activity in the liver and kidney and levels of serum proinflammatory cytokines following PTZ-induced generalized clonic-tonic seizures.
**Methods:** Adult Sprague-Dawley rats were divided into two groups as Control and PTZ groups. The Control group was given saline and the PTZ group was given 80 mg/kg PTZ i.p. Two hours after seizures, the rats were decapitated and a cardiac blood sample was drawn, and liver and kidneys were removed. Proinflammatory markers (IL-1$\beta$, TNF-$\alpha$, IL-6) were investigated in serum by ELISA. eNOS, iNOS, MMP2, and MMP9 levels were analyzed immunohistochemically in the liver and kidney.
**Results:** Proinflammatory markers significantly increased in the serum of rats after PTZ-induced seizures (Table 1). iNOS reaction was markedly increased while eNOS reactions were decreased (Figure 1) in the liver of rats after PTZ-induced seizures. MMP2 in the central vein of the liver and connective tissue areas of liver and kidney tissues in the PTZ group were markedly increased (Figure 2). MMP9 immune reaction in the PTZ group slightly increased in the kidney and liver (Figure 3). MPO reactions, which are an indicator of inflammatory activity, were markedly increased in both tissues (Figure 4).
**Conclusion:** The first findings show that long-term generalized clonic-tonic seizures markedly increase markers that mediate inflammation (iNOS, especially MMP2, MMP9, MPO) in the liver and kidney such as sepsis. In addition, proinflammatory markers (TNF$\alpha$, IL-1$\beta$, IL-6) were found significantly high in serum. Thus, it is concluded that it will be worthwhile to determine whether epileptic seizures cause sensitivity to sepsis.
**References**
1. Chen Q, Yu W, Shi J, Shen J, Gao T, Zhang J, Xi F, Li J, Li N: *J Inflamm* 2014, 11:18.
2. Zhang B, Crankshaw W, Nesmeene R, Patel J, Nweze I, Lakshmanan J, Harbrecht BG: *J Surg Res* 2014 in press.
3. Al-Azri AR, Gibson RJ, Bowen JM, Stringer AM, Keefe DM, Logan RM: *J Oral Pathol Med* 2014 in press.
4. Bahçekapılı N, Akgün-Dar K, Albenciz I, Kapucu A, Kandili A, Yağız O, Uzum G: *Int J Neurosci* 2014, 124:762-770.
**Table 1(abstract P56) Proinflammatory cytokines in control versus experimental groups**
| pg/ml | Control | PTZ |
|-------|-----------|-----------|
| IL-1$\beta$ | 0.117 ± 0.042 | 0.775 ± 0.064 |
| TNF$\alpha$ | 0.062 ± 0.010 | 0.783 ± 0.044 |
| IL-6 | 0.160 ± 0.012 | 0.0654 ± 0.026 |
*P < 0.001, compared to control one-way ANOVA and Bonferroni for *post hoc* were used. $n = 7$
Figure 1 (abstract P56) Immunohistochemical detection of iNOS and eNOS staining (arrows) in liver sections in control and experimental groups (bar: 50 μm)
Figure 2 (abstract P56) Immunohistochemical detection of MMP2 staining (arrows) in liver (A) and kidney (B) sections in control and experimental groups. PT, proximal tubule; GL, glomerulus (bar: 50 μm)
Figure 3 (abstract P56) Immunohistochemical detection of MMP9 staining (arrows) in liver (A) and kidney (B) sections in control and experimental groups. PT, proximal tubule; GL, glomerulus (bar: 50 μm).
Figure 4 (abstract P56) Immunohistochemical detection of MPO staining (arrows) in liver (A) and kidney (B) sections in control and experimental groups. PT, proximal tubule; GL, glomerulus (bar: 50 μm).
devastating effects of Gram-negative sepsis are largely based on the effects of lipopolysaccharide (LPS), also known as endotoxin. Mitochondrial dysfunction has been suggested to contribute to the development of organ dysfunction and failure in sepsis. The mitochondrial electron transport chain consists of four complexes (CI to CIV) and its function can be assessed with different approaches. Statins, such as simvastatin and atorvastatin, are hypocholesterolemic drugs that possess pleiotropic effects, including antioxidant and anti-inflammatory properties, that are either dependent on or independent of 3-hydroxy-3-methyl-glutaryl-CoA reductase (HMG-CoA reductase) inhibition. In addition, *in vitro* and *in vivo* studies have demonstrated that simvastatin has an anti-inflammatory effect in patients with predialytic chronic kidney disease, and may play an important role in counteracting the mechanisms involved in pathogenesis of inflammation. We aimed to investigate the effects of prior simvastatin on mitochondrial enzyme activities in kidney tissue of the early phase of sepsis.
**Methods:** We used male adult Wistar albino rats weighing 200 to 250 g in the experiments. The rats were divided into four groups, each composed of eight rats: control group, LPS group, Simvastatin group, Simvastatin + LPS group. Lipopolysaccharide (LPS) from *Escherichia coli* O127:B8 (Sigma, St. Louis, MO, USA) was injected intraperitoneally at a daily dose of 20 mg/kg, Simvastatin (20 mg/kg) was given p.o. via oral gavage for 5 days. In the Simvastatin + LPS-treated group, LPS was given 1.5 hours after the fifth dose of simvastatin. Mitochondrial electron transport chain enzymes citrate synthase, NADH-cytochrome c reductase (complex I + III), and NADH dehydrogenase (complex I) were measured kinetically in spectrophotometer from kidney tissue homogenate. The kidney tissue samples were fixed in 10% buffered formalin and embedded in paraffin for hematoxylin and eosin (H&E) staining. Data were expressed as mean ± standard deviation (SD) and analyzed during analysis of variance.
**Conclusion:** There were no changes in activities of citrate synthase, complex I, complex I + III in tissue homogenate ($P > 0.05$) (Figures 1 to Figure 3). In the LPS + Simvastatin group, we found decreased activity of complex I compared with those of the LPS and Simvastatin groups ($P = 0.05$, $P = 0.07$, respectively). As a result of the light microscopic examination with H&E stained sections, we observed tubule lumens widened and partially damaged in the epithelium. In the Simvastatin group was seen partially widened tubular structure and even in some areas tubular structure was found the same as control sections. Moreover, the damage in tubular width and proximal epithelium was observed to continue (Figure 4).
**References**
1. Oppert M, Engel C, Brunkhorst FM, et al: Acute renal failure in patients with severe sepsis and septic shock - a significant independent risk factor for mortality: results from the German Prevalence Study. *Nephrol Dial Transplant* 2008, 23:904-909.
2. Cohen J: The immunopathogenesis of sepsis. *Nature* 2002, 420:885-891.
3. Crouser ED, Julian MW, Blaho DV, Pfeiffer DR: Endotoxin-induced mitochondrial damage correlates with impaired respiratory activity. *Crit Care Med* 2002, 30:276-284.
4. Jeger V, Djafarzadeh S, Jakob SM, Takala J. Mitochondrial function in sepsis. *Eur J Clin Invest* 2013; **43**:532-542.
**P58**
**Characterization of a murine model of septic cachexia.**
D Restagno\textsuperscript{1,2}, J-M Bonnet\textsuperscript{1}, K Mouchain\textsuperscript{2}, P Brune\textsuperscript{2}, C Paquet\textsuperscript{1}, T Delale\textsuperscript{3}, V Louzier\textsuperscript{1}
\textsuperscript{1}VetAgro sup, campus vétérinaire, Marcy L’Etoile, France; \textsuperscript{2}Bertin Pharma, CEA Saclay, Gig sur Yvette, France; \textsuperscript{3}Alizé Pharma, Espace Europeen, Ecully, France
*Critical Care* 2014, **18**(Suppl 2):P58; doi:10.1186/cc14061
**Introduction:** Muscular loss is a characteristic phenomenon induced by a massive inflammation as occurring in sepsis. Indeed, the early phase of sepsis is responsible for the expression of proinflammatory cytokines, namely TNFα and IL-6, known to be effectors of cachexia. Although cachexia is a morbidity factor in human, there is to date no animal model of septic cachexia. The goal of this study is to create and characterize a murine model of septic cachexia and evaluate endogenous ghrelin variations. Among the factors involved in both sepsis and muscular protection, current research highlights a potential role for ghrelin in muscle protection but there are conflicting data regarding its variations.
during experimental sepsis. In this study we evaluate its two circulating forms (AG, acylated ghrelin and UAG, unacylated ghrelin).
**Methods:** Sixty male C57Bl6 mice (20 to 25 g, 6 to 8 weeks) were used for these experiments. Sepsis is induced by a mild CLP (survival ≈ 80%). After anesthesia, cecum is isolated, ligated at 1/3, and punctured twice (21G needle). A laparotomy is performed without ligation or puncture. Mice weight is followed every day, blood collections and hind limb muscles dissection are realized at 2 hours, 6 hours, 1, 2, 3, 5 and 13 days after CLP. Plasmatic cytokines (TNFα, IL-6) and ghrelin levels are evaluated via the Luminex technique and ELISA assays respectively and muscles are weighed.
**Results:** After surgery, weight loss in CLP mice significantly decreases from D1 to D11 with a peak at D3 (20% vs. 10% for the Sham). On D12, septic mice reach their original weight, which becomes identical to the Sham on D13. Despite a similar weight, CLP mice muscles are lighter. Circulating TNFα and IL-6 levels increase 2 hours after CLP and remain higher than for the Sham operated mice. Ghrelin concentrations, regardless of its form, increase after the surgery: AG rises on D1 and D2 while UAG increases earlier, from 2 to 24 hours.
**Conclusion:** We finalize a model of muscular and weight loss due to septic conditions. Wasting syndrome and inflammation are two of the three conditions for cachexia. The next step is to determine proteolysis in our model to confirm that we performed a murine model of septic cachexia. The role of increased circulating levels of ghrelin in this model remains to be elucidated.
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**P59**
**Mice survival in a two-hit model of sepsis depends on intratracheal *P. aeruginosa* bacterial load.**
D Restagno\textsuperscript{1,*}, J-M Bonnet\textsuperscript{1}, A Kodjo\textsuperscript{1}, F Venet\textsuperscript{2}, C Paquet\textsuperscript{1}, L Freyburger\textsuperscript{1}, V Louzier
\textsuperscript{1}VetAgro sup, campus vétérinaire, Marcy l’Etoile, France; \textsuperscript{2}Groupement Hospitalier Edouard Heriot, Laboratoire d’immunologie cellulaire, Lyon, France
*Critical Care* 2014, 18(Suppl 2):P59; doi:10.1186/cc14062
**Introduction:** Sepsis is a systemic reaction in the presence of an infection characterized by an early systemic inflammatory response syndrome followed by a compensatory anti-inflammatory response syndrome. The first side of this typical immune response is responsible for widespread damage organ whereas the second part leads to an immunoparalysis increasing patients’ susceptibility to secondary infections. The goal of this study is to finalize a murine model of sepsis to understand the physiopathology of sepsis and eventually test new therapeutic approaches.
**Methods:** Male C57Bl6 mice (20 to 25 g, 6 to 8 weeks) were used. Sepsis is induced by a mild CLP (survival ≈ 80%). Cecum is isolated, ligated (1/3), and punctured twice (21G needle). A laparotomy is performed without ligation or puncture. Blood is collected 2 hours, 6 hours, 1, 2, 3, 5 and 13 days after the CLP. Plasmatic cytokines (TNFα, IL-6, IL-10) are evaluated via the Luminex technique. Five days after CLP, splenocytes are collected and used for immunological assays. Mice are intratracheally instilled with *P. aeruginosa* 5 days after CLP (5 × 10\textsuperscript{5}, 2 × 10\textsuperscript{6} and 10\textsuperscript{6} CFU) to evaluate survival.
**Results:** Circulating TNFα, IL-6 and IL-10 levels increase 2 hours after CLP and remain high until the end of the experiment, as compared to Sham operated mice. Five days after CLP, total T cells (T-CD3\textsuperscript{+}) population and proliferation significantly decrease as compared to the nonseptic condition whereas the T-reg cell (T-CD4\textsuperscript{+}/CD25\textsuperscript{+}) population significantly increases whereas it remains low in the Sham operated animals: TNFα induction by LPS in cultured splenocytes increases both for CLP and Sham operated mice but remains lower in septic mice. Survival following a secondary infection decreases while the quantity of instilled *P. aeruginosa* increases. No mortality is observed for 5 × 10\textsuperscript{5} CFU, 50% of CLP die with 2 × 10\textsuperscript{6} CFU and 100% of mortality is observed for both CLP and Sham with 10\textsuperscript{6} CFU. Two days after instillation, *P. aeruginosa* is detected in the lungs of CLP and Sham but in the spleen and liver only for CLP mice.
**Conclusion:** This study demonstrates that immunosuppression following CLP increases mice susceptibility to secondary *P. aeruginosa* intratracheal infection. However, this susceptibility depends on the bacterial load.
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**P60**
**Tyrosine metabolism disorder and the potential capability of anaerobic microbiota to decrease the value of aromatic metabolites in critically ill patients.**
N Beloborodova\textsuperscript{a,*}, V Moroz, A Osipov, A Bedova, Y Sarshov, A Vlasenko, A Olenin
Negovsky Research Institute of General Reanimatology, Russian Academy of Medical Science, Moscow, Russia
*Critical Care* 2014, 18(Suppl 2):P60; doi:10.1186/cc14063
**Introduction:** Metabolism of tyrosine can be switched in conditions of hemodynamic instability and tissue hypoperfusion. The violation of the oxygen-dependent metabolism of tyrosine must be accompanied by the activation of alternative pathways (Figure 1). Previously, we found a high level of content in the blood of aromatic intermediates p-hydroxyphenylactic acid (p-HPLA) and p-hydroxyphenylacetic acid (p-HPAA) in patients with sepsis [1,2]. We assume that the anaerobic microbiota can take an important part in biodegradation of excess alternative metabolites of aromatic amino acids [3,4].
**Methods:** Serum samples were collected from critically ill patients (\(n = 65\)) with surgical diseases (\(n = 32\)), brain injury (\(n = 22\)), and lung diseases (\(n = 11\)). Patients were included in the study on the day of admission to the ICU. The median of age was 62 (IR 42 to 77) years, the APACHE II score was 17 (IR 11 to 29). The level of p-HPLA and p-HPAA were measured in serum using GC-FID. Anaerobic bacteria (Figure 2) were cultured in Shedler media, and the level of aromatic metabolites were measured before and after 48 hours of incubation using GC-MS. Data were compared by Mann-Whitney U test, \(P < 0.05\) considered significant (IBM SPSS Statistics 22).
**Results:** In surviving patients (\(n = 24\)) the total level of p-HPLA and p-HPAA (4.47, 3.24 to 8.35 µM) was less (\(P < 0.001\)) than in patients who died (\(n = 41\)) (13.67; 5.78 to 52.26 µM). The severity of organ dysfunction on a SOFA scale correlates (\(r_s = 0.7, P < 0.001\)) with the total level of the p-HPLA and p-HPAA. Also the total level of aromatic compounds correlates with lactate (\(r_s = 0.6; P < 0.001\)), BE (\(r_s = -0.5, P < 0.001\)) and perfusion blood pressure (\(r_s = -0.5, P < 0.001\)). ROC analysis revealed that p-HPLA has the largest area under the curve (0.78; CI 0.67 to 0.90, \(P < 0.001\)). In experimental studies, anaerobic bacteria significantly reduced the level of p-HPAA and p-HPLA (Figure 2).
**Conclusion:** High level of p-HPLA and p-HPAA correlate with severity and mortality of patients. Hypoxia can be one of the leading mechanisms of tyrosine metabolism disorders in critically ill patients. *Bacteroides spp.* are able to consume p-HPLA and p-HPAA and consequently may be involved in the elimination of these intermediates from the human body mutually with endogenous mechanisms of detoxification.
**Acknowledgements:** This work was supported by the Russian Foundation for Basic Research (project number 1304-01758/13)
**References**
1. Khodakova A, Beloborodova N: Microbial metabolites in the blood of patients with sepsis. *Crit Care* 2007, 11(Suppl 4):P5.
2. Beloborodova NV, Khodakova AS, Olenin AJ: Are phenylcarboxylic acids really markers in severe sepsis? *Crit Care* 2009, 13:41.
3. Beloborodova NV, Khodakova AS, Bairamov IT, Olenin AYu: Microbial origin of phenylcarboxylic acids in the human body. *Biochemistry (Mosc)* 2009, 74:1350–1355.
4. Beloborodova NV: Integration of metabolism in man and his microbiome in critical conditions. *General Reanimatol* 2012, 8:42-54.
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**P61**
**RADICAL study: rapid diagnosis of suspected bloodstream infections from direct blood testing using PCR/ESI-MS.**
D Brealey\textsuperscript{1,*}, N Libert\textsuperscript{2}, J Pugin\textsuperscript{3}, M O’Dwyer\textsuperscript{4}, K Zacharowski\textsuperscript{5}, M Mikaszewska-Sokolewicz\textsuperscript{6}, MP Maureau\textsuperscript{7}, DJ Ecker\textsuperscript{7}, R Sampath\textsuperscript{7}, M Singer\textsuperscript{1}, J-L Vincent\textsuperscript{8}
\textsuperscript{1}University College Hospital, London, UK; \textsuperscript{2}Military Hospital du Val-de-Grâce, Paris, France; \textsuperscript{3}Hôpitaux Universitaires de Genève, Geneva, Switzerland; \textsuperscript{4}The Royal London Hospital Barts, London, UK; \textsuperscript{5}Universitätsklinikum Frankfurt, Germany; \textsuperscript{6}Child of Christ Hospital, Warsaw, Poland; \textsuperscript{7}Ibis Biosciences, Abbott,
Introduction: Survival from sepsis and bloodstream infections (BSI) often depends upon rapid identification of the infecting pathogen and expeditious antimicrobial therapy. We report findings from the final analysis of RADICAL, a multicenter observational study that compared results from direct blood specimen testing using PCR/ESI-MS to standard microbiology in critically ill patients.
Methods: Eight ICUs in six European countries participated. Patients with suspected infection plus ≥2 new onset SIRS criteria were enrolled and had an extra blood specimen taken for PCR/ESI-MS direct analysis. Results were compared to standard of care microbiology. All patients were followed up to 28 days or until inpatient death or discharge. A panel of three independent physicians reviewed a summary of each case to determine the potential impact upon patient management if results had been available for decision-making.
Results: A total of 609 direct blood specimens from 543 patients meeting inclusion criteria were tested. Patient demographics and organ failure criteria observed were consistent with previously published sepsis studies.
Culture/PCR comparisons were as follows: +/+ 54; +/- 13; -/+ 169; and -/- 393, respectively, for a sensitivity of 81%, specificity of 69%, PPV of 24% and NPV of 97%. The distribution of the organisms in the culture-/PCR+ group was similar to the culture+/PCR- group and was reproducible in replicate testing with an independent blood draw. Analysis of additional sample types (lower respiratory tract or sterile fluids and tissues) corroborated direct blood findings in 58% of cases where multiple specimens from the same patients were analyzed. The independent expert panel would have considered a different course of care in 57% of the cases when PCR/ESI-MS was positive, 41% of which would have resulted in altered, instituted, or ceased antibiotic therapy, earlier.
**Conclusion:** These results suggest that PCR/ESI-MS accurately detects the infecting pathogen in critically ill patients with BSI, and that its use might often lead to a different treatment. The test’s ability to rule in or rule out infection approximately within 8 hours of the blood draw has added potential clinical and economic benefit, as it might minimize unnecessary use of antibiotics.
**Acknowledgements:** RADICAL Study Team
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**P62**
Subgroup analysis of the lipid infusion and patient outcomes in sepsis trial (LIPOS) reveals benefit in a subgroup not treated with stress replacement doses of corticosteroids.
TS Parker\textsuperscript{1,2}, DM Levine\textsuperscript{1,2}, BR Gordon\textsuperscript{1,2}, SD Saal\textsuperscript{1,3}
\textsuperscript{1}The Rogosin Institute, New York, NY, USA; \textsuperscript{2}Department of Biochemistry, New York Presbyterian Hospital and Weill Cornell Medical College, New York, NY, USA; \textsuperscript{3}Department of Medicine, New York Presbyterian Hospital and Weill Cornell Medical College, New York, NY, USA
*Critical Care* 2014, 18(Suppl 2):P62; doi:10.1186/cc14065
**Introduction:** Lipidose (formerly GR270773) is a protein-free phospholipid emulsion intended for the treatment of hospitalized patients with suspected or confirmed Gram-negative severe sepsis. Lipidose contains phosphatidylcholine, triglyceride and sodium cholate formulated to optimize delivery of the phospholipid component to the surface of high-density lipoprotein (HDL) and other lipoproteins, thereby enhancing the capacity of the patient’s circulating lipoprotein pool to bind and neutralize microbial toxins. When Lipidose is infused into blood, the cholic acid is adsorbed onto serum albumin and the phospholipid selectively associates with lipoproteins. Bound and neutralized toxins are removed from the circulation by the liver and excreted along with the cholic acid into the bile. The LIPOS trial enrolled 1,400+ patients at 235 study centers in 31 countries to assess Lipidose treatment at two dose levels. The LIPOS headline data presented only a small mortality benefit for the lower dose and no benefit from the higher dose [1]. A subgroup analysis was carried out to test the hypothesis of benefit in the subgroup with adequate liver function, using serum albumin levels as a measure of liver function, and adequate pre-existing HDL or total lipoprotein to accept phospholipid as predicted by the mechanism of action.
**Methods:** Albumin, cholesterol and HDL were measured in stored serum samples. The response to treatment and interactions with baseline covariates specified in LIPOS were tested after exclusion of subjects in the lowest biomarker quartiles (AlbTC25 and AlbHDL25).
**Results:** Subjects above the lowest quartile of albumin cleared Lipidose significantly faster than those in the lowest quartile ($P < 0.003$). Interactions between treatment and planned use of intravenous stress replacement doses of corticosteroids (IVCST) were found in the AlbTC25 and AlbHDL25 subgroups ($P < 0.05$). Exclusion of these subjects revealed strong relationships between treatment benefit and cholesterol or HDL that were used to select optimal biomarker thresholds. Requiring albumin $\geq 1.5$ g/dl and either cholesterol $\geq 1$ mM or HDL $\geq 0.5$ mM selected 59% and 36%, respectively, of the LIPOS population. Treatment with Lipidose reduced mortality in these subgroups by 6.6% ($P < 0.025$) or 10.8% ($P < 0.005$) respectively. The treatment benefits persisted for at least 1 year.
**Conclusion:** A strong negative interaction with IVCST may have masked a significant treatment benefit in LIPOS. This interaction may be related to the ability of bile acids to slow clearance and raise concentrations of corticosteroids [2,3]. Biomarkers can be used to select subjects with early severe septic shock responsive to treatment with Lipidose.
**Acknowledgements:** TSP, DML, BRG and SDS are listed as inventors on patents filed by and/or assigned to Sepsicure, LLC
**References**
1. Dellinger RP, Tomayko JF, Angus DC, Opal MA, McDermott S, Ducher A, Calandra T, Cohen J: Efficacy and safety of a phospholipid emulsion (GR270773) in Gram-negative severe sepsis: results of a phase II multicenter, randomized, placebo-controlled, dose-finding clinical trial. *Crit Care Med* 2009, 37:2929-2938.
2. Boonen E, Vervenne H, Meersseman P, Andrew R, Mortier L, Declercq PE, Vanwijngaarden YM, Spiriet I, Wouters PJ, Vander Perre S, et al.: Reduced cortisol metabolism during critical illness. *N Engl J Med* 2013, 368:1477-1488.
3. Vanwijngaarden YM, Wauters J, Langouche L, Vander Perre S, Liddle C, Coulter S, Vanderborght S, Roskams T, Wilmer A, Van den Berghe G, et al.: Critical illness evokes elevated circulating bile acids related to altered hepatic transporter and nuclear receptor expression. *Hepatology* 2011, 54:1741-1752.
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**P63**
Presence of infection in patients with presumed sepsis at the time of ICU admission.
PMC Klein Klouwenberg\textsuperscript{1,2,3*}, OL Cremer\textsuperscript{1}, LA van Vught\textsuperscript{4}, DSY Ong\textsuperscript{1,2,3}, JF Frencken\textsuperscript{1,3}, MJ Schultz\textsuperscript{2}, MJ Bonten\textsuperscript{2,3}, T van der Poll\textsuperscript{4}
\textsuperscript{1}Department of Intensive Care Medicine, University Medical Center Utrecht, the Netherlands; \textsuperscript{2}Department of Medical Microbiology, University Medical Center Utrecht, the Netherlands; \textsuperscript{3}Julius Center for Health Sciences and Primary Care, University Medical Center Utrecht, the Netherlands; \textsuperscript{4}Center for Experimental and Molecular Medicine and Division of Infectious Diseases, Academic Medical...
Introduction: A clinical suspicion of infection is mandatory for diagnosing sepsis in patients with a systemic inflammatory response syndrome. Yet the accuracy of categorizing critically ill patients presenting to the ICU as being infected or not is unknown. We therefore assessed the likelihood of infection in patients who were treated for sepsis upon admission to the ICU, and quantified the association between plausibility of infection and mortality.
Methods: We studied a cohort of critically ill patients admitted with clinically suspected sepsis to two tertiary ICUs in the Netherlands between January 2011 and December 2013. The likelihood of infection was categorized as none, possible, probable or definite by post hoc assessment. We used multivariable competing risks survival analyses to determine the association of the plausibility of infection with mortality.
Results: Among 2,579 patients treated for sepsis, 13% had a post hoc infection likelihood of ‘none’, and an additional 30% of only ‘possible’. These percentages were largely similar for different primary suspected sites of infection. In crude analyses, the likelihood of infection had no impact on ICU mortality, but was associated with increased length of stay and complications. In multivariable analysis, however, patients with an unlikely infection had a higher mortality rate compared to patients with a definite infection (subdistribution hazard ratio 1.23; 95% confidence interval 1.03 to 1.49).
Conclusion: This study is the first prospective analysis to show that the clinical diagnosis of sepsis upon ICU admission corresponds poorly with the presence of infection on post hoc assessment. A higher likelihood of infection does not adversely influence outcome in this population.
Acknowledgements: This research was performed within the framework of CTMM, the Center for Translational Molecular Medicine (http://www.ctmm.nl), project MARS (grant 04i-201).
P64
Aetiology of community-acquired pneumonia in the ICU setting and its effect on mortality, length of mechanical ventilation and length of ICU stay: a 1-year retrospective review.
D Ryan¹, R Connolly, J Fennell, G Fitzpatrick
The Adelaide and Meath Hospital, incorporating the National Children’s Hospital (AMNCH), Tallaght, Dublin, Ireland
Critical Care 2014, 18(Suppl 2):P64; doi:10.1186/cc14067
Introduction: Community-acquired pneumonia (CAP) is the most common infectious reason for admission to ICUs and has a mortality of up to 37% [1]. Highest mortality rates are in Gram-negative infections with lower rates in Streptococcus pneumoniae and viral infections [2]. Microbiology is difficult to establish with most prospective studies identifying agents in only 50% of cases [3]. We analysed microbial aetiology of CAP in ICU over 1 year and assessed its effects on inpatient mortality, length of mechanical ventilation and length of ICU stay.
Methods: We retrospectively reviewed admissions to AMNCH ICU between February 2013 and February 2014 catalogued as having pneumonia from chest radiograph and clinical findings on the internal audit system (n = 91). After chart review, 28 were excluded as hospital-acquired pneumonias, 12 due to insufficient information and 21 due to primary diagnosis other than pneumonia. Thirty patients were selected on the basis that CAP was the likely reason for ICU admission.
Results: Pathogens were detected in 73% of patients by culture, antigen detection or molecular methods: S. pneumoniae (n = 6; 20%), influenza (n = 4; 13%), viral with superimposed bacterial infection (n = 4; 13%), viruses other than influenza (n = 3; 10%), Gram-negative bacilli (n = 2; 7%), Legionella spp. (n = 2; 7%) and Haemophilus spp. (n = 1; 3%). No organism was identified in 27%. Gram-negative infection had highest mortality (100%), average length of mechanical ventilation (57 days) and average ICU stay (64 days). The mean age of affected patients was 68.2. Mortality was lower in influenza/other viral infections (75/50%), patients spent less time mechanically ventilated (mean 6.6/13.3 days) and less time in ICU (mean 4/16.3 days), reflecting the younger mean age of patients (53.2/51.4). Of patients infected with S. pneumoniae, Legionella spp. or Haemophilus spp. alone, all survived to discharge. However, of note, when superimposed on viral infection, these pathogens carried a higher mortality (50%). Infection with pneumococcus alone occurred in younger patients (mean age 50.6) and was associated with a shorter ventilation period (mean 2.66 days) and ICU stay (mean 6 days).
Conclusion: Microbial aetiology was identified in a high proportion of patients (72%) admitted to ICU with CAP, reflecting timely collection of appropriate specimens. Infection with Gram-negative organisms had the highest mortality, length of mechanical ventilation and length of ICU stay, while the pathogens usually seen in CAP were associated with more favourable outcomes.
References
1. Fine MJ, Smith MA, Carson CA, Mutha SS, Sankey SS, Weissfeld LA, Kapoor WN: Prognosis and outcomes of patients with community-acquired pneumonia. A meta-analysis. JAMA 1996, 275:134.
2. Kotte H, Bauer T, Marre R, Suttorp N, Welte T, Dalhoff K: Competence Network for Community-Acquired Pneumonia study group: Outcome of community-acquired pneumonia: influence of age, residence status and antimicrobial treatment. Eur Respir J 2008, 32:139.
3. Miyashita N, Shimizu H, Ouchi K, et al: Assessment of the usefulness of sputum Gram stain and culture for diagnosis of community-acquired pneumonia requiring hospitalization. Med Sci Monit 2008, 14:CR171-CR176.
P65
In vivo study of endothelial barrier-related GTPase expression in the kidney and liver during the acute phase of nonlethal sepsis.
BC Zychar¹, MA Cenevezade², AMA Liberatore¹, NOS Câmara¹, IH Koh¹
¹Department of Surgery, UNIFESP/EPM, São Paulo, Brazil; ²Laboratory of Cellular Immunology Experimental, UNIFESP/EPM, São Paulo, Brazil
Critical Care 2014, 18(Suppl 2):P65; doi:10.1186/cc14068
Introduction: Maintenance of the integrity of the endothelial barrier is crucial in pathological inflammatory/infectious conditions [1]. The endothelial barrier dysfunction leading to increased vascular permeability and leukocyte transmigration in the systemic inflammatory state has been intrinsically related to the multiple organ dysfunction syndrome. The Rho GTPases family regulates the organization of the actin cytoskeleton, and plays a fundamental role in maintaining homeostasis and function of the endothelial barrier [2]. The study of the mechanisms of intracellular signaling related to the integrity of the endothelial barrier may help in understanding the hemodynamic changes during systemic infection. Thus, this study aimed to correlate the pattern of genic expression of GTPases during the initial periods of sepsis in order to understand the kinetic of these molecular mechanisms in organs often affected in sepsis.
Methods: Wistar rats weighting 200 to 250 g were submitted to: nonlethal sepsis (2 ml Escherichia coli 10⁷ UFC/ml i.v. inoculation [3,4], n = 5, SH7 group); minor trauma (cervical incision with catheter implantation in jugular, injection of 2 ml saline, n = 5, SHAM group); without any procedure (n = 5, NAIVE group). After 2 and 6 hours, the liver and kidney were collected to determine RhoA, Rac1 and Cdc42 gene expression by quantitative real-time PCR.
Results: Low expression of RhoA was observed in both organs (Figures 1A and Figure 2A). Rac1 and/or Cdc42 showed higher expression in both organs in animals submitted to systemic infection (S7 group) compared to the SHAM and NAIVE groups in both periods (Figures 1B, C and Figure 2B, C). Although both organs showed a similar pattern, the kidney showed a statistically significant increase of Cdc42 and Rac1 as compared to the liver, showing that GTPase expression might differ, possibly due to endothelial heterogeneity of each organ to perform its specific function. These results suggest that the infectious process leads to a higher gene expression of Rac1 and/or Cdc42 in relation to a minor surgical trauma inflammation. The rhoA and Rac1 gene expression were inversely correlated, as reported in the literature [5].
Conclusion: Rac1 and Cdc42 possibly act in favor of preserving the integrity of the endothelial barrier by their attributed stabilization and protection of microvesSEL endothelial cells, by gathering the cell junctions during the infectious state. Studies are being conducted to better understand the mechanisms of intracellular signaling of the endothelial barrier in different organs of animals submitted to varying degrees of systemic infections.
Acknowledgements: FAPESP.
Figure 1 (abstract P65) Gene expression of GTPases RhoA (A), Rac1 (B) and Cdc42 (C) in the liver of rats. Animals were subjected to nonlethal sepsis 2 ml *Escherichia coli* 10^8 UFC/ml iv. inoculation (S7 group), minor trauma 2 ml saline iv. inoculation (SHAM group), or animals without inoculation were used as control group (NAIVE group). After 2 or 6 hours the kidney was isolated. Total RNA was extracted and transcribed to cDNA. Gene expression was quantified by real-time PCR. Graph bars show the relative concentration of each cDNA compared with the NAIVE group and the housekeeping gene HPRT. Results are mean ± SEM (n = 5 animals/group) and analyzed in triplicate. *P < 0.05 compared to NAIVE group.
Figure 2 (abstract P65) Gene expression of GTPases RhoA (A), Rac1 (B) and Cdc42 (C) in the kidney of rats. Animals were subjected to nonlethal sepsis 2 ml *Escherichia coli* 10^8 UFC/ml iv. inoculation (S7 group), minor trauma 2 ml saline iv. inoculation (SHAM group), or animals without inoculation were used as control group (NAIVE group). After 2 or 6 hours the kidney was isolated. Total RNA was extracted and transcribed to cDNA. Gene expression was quantified by real-time PCR. Graph bars show the relative concentration of each cDNA compared with the NAIVE group and the housekeeping gene HPRT. Results are mean ± SEM (n = 5 animals/group) and analyzed in triplicate. *P < 0.05 compared to NAIVE group.
References
1. Nourshargh S, Hordijk PL, Sixt M: Breaching multiple barriers: leukocyte motility through venular walls and the interstitium. Nat Rev 2010, 11:366-378.
2. Ramiro-Marcos B, Weber-Garcia D, Millán J: TNF-induced endothelial barrier disruption: beyond actin and Rho. Thromb Haemost 2014, 112:1-15.
3. Koh IH, Liberatore AM, Menchaca-Diaz JL, Ruiz-Silva M, Vilela-Oliveira L, Watanabe AY, Salomao R, Fagundes-Neto U, Silva RM: Bacterial translocation, microcirculation injury and sepsis. Endocr Metab Immune Disord Drug Targets 2006, 6:143-150.
4. Koh IH, Menchaca-Diaz JL, Koh TH, Souza RL, Shu CM, Rogerio VE, Liberatore AMA: Microcirculatory evaluation in sepsis: a difficult task. Shock 2010, 34(7, Suppl 1):27-33.
5. Etienne-Manneville S, Hall A: Rho GTPases in cell biology. Nature 2002, 420:629-635.
P66
Direct bacterial identification from blood culture by matrix-assisted laser desorption-ionization time of flight mass spectrometer using a simplified protocol.
A García-Tapia, J Guerrero, T Trujillo, F Galán, P Marin, C Fernández, M Rodríguez-Iglesias
Clinical Microbiology Laboratory, Puerta del Mar University Hospital, Cadiz, Spain
Critical Care 2014, 18(Suppl 2):P66; doi:10.1186/cc14069
Introduction: Throughout the world, the number of patients at risk for bloodstream infections (BSIs) continues to rise. BSIs are associated with high rates of morbidity and mortality, and they markedly increase the costs of hospital care. Prompt identification of the causative agent(s) and rapid initiation of appropriate antimicrobial therapy are critical for reducing mortality, especially in patients with septic shock. Matrix-assisted laser desorption-ionization time of flight (MALDI-TOF) equipment is increasingly used in the microbiological laboratory. The goal of the present investigation was to apply mass spectrometry directly from positive blood cultures in order to detect and identify bacterial strains using a simplified homemade protocol.
Methods: One-hundred and sixty-six positive blood cultures (Bactec FX; Becton Dickinson) were analyzed. Gram and conventional plates were used and the identification was done by Wider System (Soria Melguizo). In the MALDI-TOF protocol, positive blood cultures were processed as follow: 5 ml sample of positive broth was extracted and centrifuged at 1,000 rpm for 10 minutes in order to remove blood cells. The supernatant was collected and centrifuged at 4,000 rpm for 15 minutes, then the supernatant was removed and the pellet was placed directly onto a MALDI-TOF target plate and dried at room temperature, subsequently adding 1 μl HCCA/Matrix solution (10 mg/ml cyano-4-hydroxycinnamic acid) and drying. Mass spectra were acquired with a Microflex LT mass spectrometer using FlexControl 3.3 software (Bruker Daltonics GmbH).
Results: One-hundred and forty-nine (89.7%) blood cultures were correctly detected. Thirty-three bacterial species were identified as being Escherichia coli (47), the most frequent, followed by Pseudomonas aeruginosa (14), Enterobacter spp. (11), Klebsiella spp. (9), Staphylococcus aureus (9), coagulase-negative staphylococci (9), Enterococcus spp. (8), Bacteroides spp. (7) and streptococci (6). Bacteria fastidious as Burkholderia, Raoultella, Delftia, Listeria, Acinetobacter or Stenotrophomonas were correctly identified. Only one strain of Streptococcus pyogenes and 14 strains of coagulase-negative staphylococci cannot be identified. In hemolyzed samples, it was not possible to identify two strains of S. aureus.
Conclusion: Using MALDI-TOF MS for bacteria identification directly from blood cultures represents an advance in the treatment of septic patients. Compared with conventional culture-based methods, this approach can improve species-level identification of bloodstream isolates in terms of time, accuracy, and costs. We conclude that this technique is simple, fast and reliable for direct bacterial detection from positive blood cultures.
P67
Approaches combining mice and Drosophila melanogaster models to decipher human sepsis.
R Ramy, S Garnier, L Pradel, L Röder, B Loriod, A Defaye, L Perrin, P Rihet, C Nguyen
Aix-Marseille Université, Inserm, UMRS 1090, TAGC, Parc scientifique de Luminy, Marseille, France
Critical Care 2014, 18(Suppl 2):P67; doi:10.1186/cc14070
Introduction: Sepsis is a complex and heterogeneous syndrome in which inflammatory and infection mechanisms are implicated. Thus, it is difficult to differentiate those mechanisms in mammals where inflammation is a highly complex biological process. In our laboratory, besides studying sepsis in human blood biological samples, we choose to investigate a murine model in order to describe a global transcriptome overview of critical events occurring in the blood, brain and lung during an induced non-infection inflammation. We decided to complete our view with another animal model where the inflammatory process is less complex and mainly achieved through innate immunity Drosophila melanogaster.
Methods: Female C57BL6/J mice received an intravenous oleic acid (OA) injection to induce a controlled inflammation. Lung, brain and peripheral blood mononuclear cell (PBMC) expression patterns were analyzed using an Agilent 60K cDNA mouse microarray. The enrichment of canonical pathways revealed marked changes in pathways involving the immune and inflammatory responses. The inflammatory process in D. melanogaster shares common mechanisms in innate immunity with mammals (Toll pathway/TLR). We decided to set up a model, called the double-hit model, where drosophila females aged from 7 to 10 days have been injured with a needle (inflammatory hit) before being infected with a needle that has been dipped in a bacterial solution of Pseudomonas entomophila (infectious hit). The next step will be to investigate the transcriptome in order to highlight the differences and have a global view of biological mechanisms involved; and also look for genetic factors involved in this experiment. The DGRP (Drosophila Genomic Reference Panel) project is a panel of 200 inbred fly lines that have been fully sequenced.
Results: Strikingly, in mice models, all significant pathways identified in the brain were also significant in the lung. The inflammatory responses oscillated between proinflammatory and anti-inflammatory response in both the lung and brain, the time course, however, being different in the two organs. In PBMC, we observed a significant response delay after OA injection and the pathways identified differed from those identified in the lung and brain. Our second objective will be to use this model of the expression to set up a tool to analyze precisely the effect of an infection in a second hit during the sterile inflammation activation/repression time courses. In D. melanogaster, we recorded their survival in comparison with flies that only received the infectious hit and observed a difference of ~40%. Flies that have received a non-infectious double-hit showed a 10% decrease in survival rate. We will perform the double-hit experiment with all the lines of the DGRP and then through genome-wide association study. We expected to identify single nucleotide polymorphisms that are associated with resistance or susceptibility to the double-hit.
Conclusion: In mice, we assessed gene expression profiles in mouse lung, brain and PBMC associated with a lung inflammation during a 24-hour time course. Overall, our microarray analysis provides a global and detailed overview of critical transcriptional events occurring in the blood, brain and lung. The analysis of gene functional annotation revealed several major features. First, many genes were upregulated or downregulated over the time in the lung, brain, and blood. Second, the analysis revealed pathways clearly related to inflammation mainly in the lung and brain. The strong inflammation observed in the brain, and a limited inflammation in the blood, indicates that blood gene expression profiles poorly reflect those observed in the lung and brain. Third, all the pathways identified in the brain were also identified in the lung, although a few common genes were characterized; it should also be stressed that there was a delay response in the brain.
P68
Role of nonpneumoniae mycoplasma in the pathogenesis of ventilator-associated pneumonia: an in vitro assessment.
TJ Nolan, AC Morris, A Rossi, T Walsh
Centre for Inflammation Research, Queens Medical Research Centre, Little France, Edinburgh, UK
Critical Care 2014, 18(Suppl 2):P68; doi:10.1186/cc14071
Introduction: Mycoplasma organisms are the smallest bacteria capable of self-replication [1] and include species capable of causing disease (for example, Mycoplasma pneumoniae, Mycoplasma genitalium) as well as those that are generally thought to exist synergistically with their human host (for example, Mycoplasma salivarium). The Edinburgh critical care group (Prof TW/ACM) has recently identified a high prevalence of M. salivarium in the bronchoalveolar lavage washings from patients with confirmed and suspected ventilator-associated pneumonia (VAP) (Figure 1) [2]. The aim of this study was to examine the effect of M. salivarium on human immune cells in vitro. Specifically, we measured cytokine production and phagocytosis activity in response to M. salivarium exposure.
Methods: Whole human blood was obtained from healthy donor volunteers and cell types were isolated using diffusion gradients and magnetic labeling as appropriate. Monocytes and macrophages were incubated with M. salivarium for 24 hours before a subsequent LPS stimulus.
Macrophage phagocytosis assays were conducted after exposure times of 60 minutes and 24 hours to *M. salivarium*. Cytokines were measured using ELISA and human cytokine bead array kits.
**Results:** There was a statistically significant decrease in phagocytosis between control cells and the macrophages exposed to both a low titer of *M. salivarium* (*P* value 0.018) and a medium titer of *M. salivarium* (*P* value 0.011) after 24 hours of exposure (Figure 2). There was a statistically significant decrease in phagocytosis activity between the macrophages exposed to the medium titer of *M. salivarium* for 24 hours versus 60 minutes (*P* value 0.013). Exposure of macrophages to mycoplasma resulted in decreased release of TNFα after a subsequent LPS stimulus (Figure 3). To our knowledge, this is the first time extracellular traps have been induced in macrophages in response to *M. salivarium* (Figure 4).
**Conclusion:** Although further research is needed, it is interesting that the presence of *M. salivarium* caused an anti-inflammatory effect as well as impaired antigen presentation secondary to impaired phagocytosis. This could be consistent with the better outcome in mechanically ventilated patients that did not have *M. salivarium* bacteria detected in their bronchoalveolar lavage washings. Extracellular traps contribute to microbial containment by forming a physical barrier composed of chromatin and cytoplasmic proteins to enhance antimicrobial synergy while minimizing damage to host tissues [3]. It is interesting that *M. salivarium* induced extracellular traps.
**Acknowledgements:** Thanks to supervisors ACM and Prof AR for their support and expertise. Thanks also to all the staff in the Centre for Inflammation Research for their help throughout the year and for being so willing to help when help was needed
**References**
1. Razin S, Yogev D, Naot Y: Molecular biology and pathogenicity of mycoplasmas. *Microbiol Mol Biol Rev* 1998, 62:1094-1156.
2. Wilkinson TS, et al: Ventilator-associated pneumonia is characterized by excessive release of neutrophil proteases in the lung. *Chest* 2012, 142:1425-1432.
3. Papayannopoulos V, Zychlinsky A: NETs: a new strategy for using old weapons. *Trends Immunol* 2009, 30:513-521.
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**P69**
**Probiotic pretreatment improves survival and prevents gut mucosal barrier dysfunction in sepsis.**
KL Calisto*, ACAP Camacho, FC Mittentainer, MCS Mendes, AC Santos, MJA Saad
Department of Internal Medicine, Faculty of Medical Sciences, UNICAMP Campinas, Brazil
*Critical Care* 2014, 18(Suppl 2):P69; doi:10.1186/cc14072
**Introduction:** The gut is the largest immune organ and plays a central role in the promotion of systemic inflammatory responses [1]. Perturbations of intestinal epithelial homeostasis during sepsis include increased proinflammatory cytokine production, increased intestinal permeability and apoptosis [2-6]. Healthy gut is essential to promote host health and prevent organ dysfunction in sepsis. Probiotics seem to keep gut homeostasis through different pathways, such as the modulation of microbial activity, energy regulation, anti-inflammatory cytokine production, gene expression...
and cell differentiation [7]. Probiotics have been shown an effective treatment in various clinical conditions, although the potential benefits of probiotic treatment in sepsis remain largely undefined. The aim of the present study was to investigate the effect of probiotic treatment on gut dysfunction and inflammatory signaling in septic rats.
**Methods:** Sepsis was induced by cecal ligation and puncture (CLP) in Wistar male rats (8 weeks old). They were pretreated with probiotics or vehicle once a day during 7 days before CLP. The chosen probiotic mixture contained $10 \times 10^6$ CFU *Bifidobacterium longum*, $10 \times 10^6$ CFU *Lactobacillus bulgaricus*, $10 \times 10^6$ CFU *Lactobacillus acidophilus*. Colonic tissue and serum samples were collected 24 hours after CLP for ELISA and protein expression analysis by western blotting.
**Results:** Our data demonstrate that probiotic pretreatment improved survival of septic rats (Figure 1) and this effect is accompanied by a marked decrease of IL-1β and TNFα (Figure 2A,B). Sepsis leads to severe intestinal epithelial damage with a decrease in claudin 2 and occludin protein expression (Figure 3A,B); probiotic pretreatment reversed these alterations in parallel with an increase in Hsp72 and Hsp25 activation (Figure 4A,B). In intestinal epithelial cells, the inducible Hsp have been shown to preserve tight junction and barrier function. The maintenance of epithelial barrier integrity induced by probiotic pretreatment, in parallel with an activation of cytoprotective pathway, may culminate in the restoration of the intestinal epithelial function.
**Conclusion:** Our results show that probiotics pretreatment fulfills a dual function at the intestinal mucosa: in addition to preventing intestinal permeability disruption, it also attenuates proinflammatory cytokine release, diminishing the exacerbate host’s reaction to infection and offering a novel prophylactic strategy to sepsis.
**References**
1. Clark JA, Coopersmith CM: Intestinal crosstalk: a new paradigm for understanding the gut as the ‘imotor’ of critical illness. *Shock* 2007, 28:384-393.
2. Dominguez JA, Coopersmith CM: Can we protect the gut in critical illness? The role of growth factors and other novel approaches. *Crit Care Clin* 2010, 26:549-565.
3. Hassoun HT, Kone BC, Mercer DW, Moody FG, Weisbrodt NW, Moore FA: Post-injury multiple organ failure: the role of the gut. *Shock* 2001, 15:1-10.
4. Yu P, Martin CM: Increased gut permeability and bacterial translocation in *Pseudomonas pneumonia*-induced sepsis. *Crit Care Med* 2000, 28:2573-2577.
5. Neal MD, Leaphart C, Levy R, Prince J, Billiar TR, Watkins S, Li J, Cetin S, Ford H, Schreiber A, et al: Enterocyte TLR4 mediates phagocytosis and translocation of bacteria across the intestinal barrier. *J Immunol* 2006, 176:3070-3079.
6. Clark JA, Gan H, Samocha AJ, Fox AC, Buchman TG, Coopersmith CM: Enterocyte-specific epidermal growth factor prevents barrier dysfunction and improves mortality in murine peritonitis. *Am J Physiol Gastrointest Liver Physiol* 2009, 297:G471-G479.
7. Sartor RB: Probiotic therapy of intestinal inflammation and infections. *Curr Opin Gastroenterol* 2005, 21:44-50.
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**P70**
**Positive fluid balance and prognostic factors of ICU mortality in patients admitted with septic shock.**
W Koonrangseomboon*, B Khwannimit
1Department of Internal Medicine, Faculty of Medicine, Prince of Songkla University, Hat Yai, Songkhla, Thailand; 2Division of Critical Care Medicine, Department of Internal Medicine, Faculty of Medicine, Prince of Songkla University, Hat Yai, Songkhla, Thailand
*Critical Care* 2014, 18(Suppl 2):P70; doi:10.1186/cc14073
**Introduction:** The amount of fluid during resuscitation of septic shock is important. Too little fluid may result in tissue hypoperfusion; however, too much fluid may result in volume accumulation. Several recent studies have demonstrated that a positive fluid balance in critical illness is associated with deteriorating outcomes. However, some studies have shown opposite results. The objective of this study was to determine whether initial fluid balance in septic shock patients is correlated with ICU mortality.
**Methods:** This is a retrospective study of septic shock patients admitted to a mixed medical-coronary care unit of Songklanagarind hospital from 2005 to 2011. Multivariate logistic regression analysis was used to identify predictors of mortality.
**Results:** A total of 1,048 patients admitted to ICU for septic shock was divided into two groups: in-ICU survivors ($n = 555$ (53%)) and nonsurvivors ($n = 493$ (47%)). Median survival time was 10 days (95% CI: 8 to 12 days). The respiratory tract was the most common site of infection (47.6%). Community-acquired infections accounted for 59.6%. Survivors were older than nonsurvivors (62 vs. 56 years, $P = 0.016$). Nonsurvivors were more severely ill and had shorter ICU stays (2 vs. 5 days, $P < 0.001$). Nonsurvivors received albumin and steroid more than survivors. Median cumulative fluid at 24, 48 and 72 hours of septic shock onset were 4.2, 7.7 and 10.5 L respectively. Nonsurvivors had significantly larger median cumulative fluid intake at 24 hours (4.6 vs. 3.9 L, $P < 0.001$), at 48 hours (8.2 vs. 7.1 L, $P < 0.001$) and at 72 hours (11.4 vs. 9.9 L, $P < 0.001$). Nonsurvivors also had...
significantly larger fluid balance (5.4 vs. 4.4 l, $P < 0.001$) and mean fluid balance (2.8 vs. 1.6 l, $P < 0.001$) within 72 hours. In multivariate logistic regression analysis, factors significantly associated with ICU mortality were mean fluid balance, APACHE II score, SOFA score, length of ICU stay, ARDS, steroid use, parenteral nutrition use and source of infection.
**Conclusion:** A more positive cumulatively fluid balance over 3 days is associated with ICU mortality in septic shock. Multivariate analysis found not only nonmodifiable factors such as severity score, source of infection, length of ICU stay and ARDS, but also modifiable factors such as parenteral nutrition use, steroid use and mean fluid balance were significantly associated with mortality.
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**P71**
**Alpha lipoic acid attenuates oxidative stress-induced damage macromolecules in the brain of rats with sepsis-associated encephalopathy.**
LG Danielski*, M Michels, D Florentino, A Viera, A Lauriano, Fabricia Petronilho
Laboratório de Fisiopatologia Clínica e Experimental (LAFICEXP), Programa de Pós, Graduação em Ciências da Saúde, Universidade do Sul de Santa Catarina (UNISUL), Tubarão, SC, Brazil
*Critical Care* 2014, 18(Suppl 2):P71; doi:10.1186/cc14074
**Introduction:** Pathophysiological mechanisms of sepsis-associated encephalopathy involve oxidative stress. This imbalance between the pro-oxidant and antioxidant causes damage to macromolecules such as lipids and proteins, thus the employment of antioxidants becomes an attractive proposition. Alpha lipoic acid (LA), a potent antioxidant, is able to cross the blood-brain barrier, and is an important cofactor in enzymatic and cellular energy metabolism. We aimed to determine the use of AL in oxidative damage and neutrophil infiltration in rat brain 12 and 24 hours after induction of sepsis model by cecal ligation and puncture (CLP).
**Methods:** Male Wistar rats (250 to 350 g) were subjected to CLP model, with sham control. Groups were divided into sham + saline, sham + AL, CLP + saline and CLP + AL (200 mg/kg orally with single administration after CLP), $n = 10$. At 12 and 24 hours, rats were euthanized, the hippocampus, striatum, cerebellum, cortex and prefrontal cortex removed, lipid peroxidation assessed by TBARS, damage to proteins by protein carbonylation, myeloperoxidase activity (MPO) and the formation of nitrite and nitrate. Data were analyzed by ANOVA with *post hoc* Tukey test and log-rank test with $P < 0.05$.
**Results:** In 12 hours compared with the CLP group, the CLP + AL group showed a reduction in lipid peroxidation in the striatum, in the protein carbonylation in the cortex and hippocampus, in the MPO activity in the striatum and hippocampus, and decreased formation of nitrite and nitrate in the hippocampus and cortex.
**Conclusion:** While differences were not observed in 24 hours, TBARS found protein carbonylation in a reduction of damage to the CLP + AL group over the cerebellum, MPO in the striatum, hippocampus and prefrontal, and hippocampus, cerebellum, and prefrontal to nitrite/nitrate. AL may be an important therapeutic target in reducing neurologic complications in animal models of sepsis.
**Acknowledgements:** Financial support from Conselho Nacional de Desenvolvimento Científico e Tecnológico (CNPq), Universidade do Sul de Santa Catarina (UNISUL).
P72
Effects of mesenchymal stromal cells on human umbilical vein endothelial cells in *in vitro* sepsis models.
K Lund\textsuperscript{1}, J Peltzer\textsuperscript{1}, F Montespan\textsuperscript{1}, N Oru\textsuperscript{2}, E Vicaut\textsuperscript{2}, J Duranteau\textsuperscript{3}, J-J Lataillade\textsuperscript{1}
\textsuperscript{1}Unité de Thérapie Cellulaire et Réparation Tissulaire, Institut de Recherche Biomédicale des Armées/Centre de Transfusion Sanguine des Armées, Clamart, France; \textsuperscript{2}Laboratoire d'étude de la microcirculation, Université Paris - Diderot, Paris, France; \textsuperscript{3}Service d'Anesthésie-Réanimation Chirurgicale, Centre Hospitalier Universitaire de Bicêtre, Le Kremlin-Bicêtre, France
*Critical Care* 2014, 18(Suppl 2):P72; doi:10.1186/cc14075
**Introduction:** Septic shock is a medical emergency that, despite the medical advances that have been made, still remains a major cause of hospital deaths. Cell therapy is an innovative field of research that could provide a therapy for sepsis. Mesenchymal stromal cells (MSC) are promising in cell therapy and more importantly for sepsis because of their immunosuppressive capabilities [1]. MSC have been shown by several groups to have a positive effect against sepsis *in vivo* [2-4]. It has been predicted that the MSC interact with macrophage to release IL-10 that in turns reduces inflammation [4]. Other groups have focused on the use of stimulated MSC to ameliorate their immunosuppressive capabilities [5]. The main stimulation of MSC has been the use of inflammatory stimulants like IFNγ. Our work focuses on the identification of effective MSC donors, whether primed with IFNγ or naïve, and the development of *in vitro* models that will predict how an MSC donor will act *in vivo*. We also want to eliminate the use of cells completely and use their secreted microvesicles as a therapy. The hypothesis is that the *in vitro* models will eliminate a noneffective MSC donor and allow us to identify the MSC donor that will have the greatest effect.
**Methods:** We developed two *in vitro* models that are similar to what happens *in vivo* with WBC as they circulate in a septic patient. The first test is the adherence of WBC to a layer of HUVECs in the presence of MSC or microvesicles. The second is a permeability test to determine MSC ability to block the permeability of a HUVEC layer.
**Results:** Our preliminary results have shown that we are able to identify, using our two *in vitro* models, which MSC donor would be an effective MSC for cell therapy.
**Conclusion:** MSC and their paracrine factors have to the potential to be an effective therapy for sepsis, but one needs to identify an effective donor before use in cell therapy.
**References**
1. Meirelles L, Fontes AM, Covas DT, et al: Mechanisms involved in the therapeutic properties of mesenchymal stem cells. *Cytokine Growth Factor Rev* 2009, 20:419-427.
2. Gonzalez-Rey E, Anderson P, Gonzalez MA, et al: Human adult stem cells derived from adipose tissue protect against experimental colitis and sepsis. *Gut* 2009, 58:929-939.
3. Hall SR, Tsoky K, Ith B, et al: Mesenchymal stromal cells improve survival during sepsis in the absence of heme oxygenase-1: the importance of neutrophils. *Stem Cells* 2012, 31:397-407.
4. Nemeth K, Leelahavanichkul A, Yuen PS, et al: Bone marrow stromal cells attenuate sepsis via prostaglandin E(2)-dependent reprogramming of host macrophages to increase their interleukin-10 production. *Nat Med* 2009, 15:42-49.
5. Polchert D, Sobinsky J, Douglas G, et al: IFN-gamma activation of mesenchymal stem cells for treatment and prevention of graft versus host disease. *Eur J Immunol* 2008, 38:1745-1755.
---
P73
Endotoxin Activity Assay levels correlate with the microbiological results of Gram-negative organisms in septic patients.
M Tsunoda\textsuperscript{1}, M Kang\textsuperscript{1}, M Saito, N Saito, M Namiki, T Harada, M Takeda, A Yaguchi
Department of Critical Care and Emergency Medicine, Tokyo Women's Medical University, Tokyo, Japan
*Critical Care* 2014, 18(Suppl 2):P73; doi:10.1186/cc14076
**Introduction:** The Endotoxin Activity Assay (EAA™; Spectral Diagnostics Inc., Toronto, Canada) is a useful diagnostic test for sepsis due to Gram-negative infection and is based on the reaction of neutrophils to endotoxin complexed with an anti-endotoxin antibody. However, the relations between values of EAA and microbiological data have not been elucidated. Our hypothesis is that EAA values correlate to the results of microbiological cultures and also severity.
**Methods:** From July 2008 to July 2013, all adult patients with suspected sepsis admitted to our medico-surgical ICU in whom EAA was measured were included in this study. Data collected included age, gender, ICU mortality, white blood cell (WBC) count, C-reactive protein (CRP), procalcitonin (PCT), EAA levels, SOFA score and results of microbiological culture. Patients with no microbiological data were excluded. Data were analyzed by Kruskal-Wallis test, Mann-Whitney U test and multivariate logistic regression. $P < 0.05$ was considered significant.
**Results:** Of 569 patients (353 men and 216 women; mean age 66.0 ± 17.4 years), 283 patients had Gram-negative infection and 286 patients had no Gram-negative infection. Of 283 patients with Gram-negative infection, 65 patients had Gram-negative organisms in blood. EAA levels were significantly different between patients with Gram-negative blood, in other infectious sites and no Gram-negative infection (0.45 ± 0.21 vs. 0.39 ± 0.17 vs. 0.36 ± 0.15, $P = 0.03$). The odds ratio (95% confidence interval (CI)) of EAA levels for Gram-negative infection and Gram-negative bacteremia were 3.89 (1.44 to 10.4) ($P = 0.007$) and 3.36 (2.16 to 40.6) ($P = 0.003$), respectively. The odds ratio and CI of age and SOFA score for ICU mortality were 1.03 (1.01 to 1.04) ($P = 0.0003$) and 1.33 (1.26 to 1.41) ($P < 0.0001$), respectively, while gender, WBC, CRP, PCT and EAA levels had no relations with ICU mortality. SOFA score was significantly higher in patients with Gram-negative infection than in patients with no Gram-negative infection (8.0 ± 4.6 vs. 6.7 ± 4.2, $P = 0.0003$).
**Conclusion:** EAA levels related to the detections of Gram-negative organisms in cultures. Thus, a high EAA level may show the existence of Gram-negative organisms in patients’ sites. EAA levels had relations with SOFA score but no relations with ICU mortality.
---
P74
Early diagnosis of sepsis due to Gram-negative infection with the Endotoxin Activity Assay.
M Kang\textsuperscript{1}, M Tsunoda, M Saito, N Saito, M Namiki, M Takeda, T Harada, A Yaguchi
Department of Critical Care and Emergency Medicine, Tokyo Women's Medical University, Tokyo, Japan
*Critical Care* 2014, 18(Suppl 2):P74; doi:10.1186/cc14077
**Introduction:** The Endotoxin Activity Assay (EAA™; Spectral Diagnostics Inc., Toronto, Canada) is a rapid *in vitro* diagnostic test of the neutrophil reaction to endotoxin and reflects the endotoxemia. A higher value of EAA (>0.60) has been shown to correlate with developing severe sepsis and a high mortality in other previous studies. We hypothesize that a value of EAA more than 0.55, not >0.60, may be useful to earlier diagnose sepsis due to Gram-negative organisms and to assess the severity.
**Methods:** The present study is a single-center retrospective observational analysis of adult septic patients in whom EAA was performed from July 2008 to July 2013. Patients were divided into two groups: (1) EAA >0.55 and (2) EAA < 0.54. Age, sex, days of ICU stay, ICU mortality, body temperature, WBC, CRP, procalcitonin (PCT), SOFA score, and microbiological data were compared between two groups. Values are expressed as mean ± SD. Data were analyzed by chi-square test and Mann-Whitney U test. $P < 0.05$ was considered significant. The sensitivity, specificity, positive predictive value (PPV), negative predictive value (NPV) and odds ratio were also evaluated.
**Results:** Five hundred and ninety-four patients (377 men and 217 women; mean age 65.0 ± 17.5 years) were studied. There were (1) 104 patients with EAA >0.55 and (2) 490 patients with EAA < 0.54. ICU mortality (39.4 vs. 26.6 %, $P = 0.01$), PCT (17.2 ± 36.0 vs. 11.8 ± 30.6 ng/ml, $P = 0.04$), SOFA score (8.1 ± 4.9 vs. 6.2 ± 4.6, $P = 0.04$) and positive Gram-negative organisms in cultures (57.7 vs. 45.5 %, $P = 0.02$) were significantly higher in group (1) than group (2). Age, sex, body temperature, WBC and CRP were not significantly different between two groups. Using detections of Gram-negative organisms in cultures, the sensitivity, the specificity, the PPV and the NPV were 22.1, 85.2, 57.7 and 54.6%, respectively. The odds ratio was 1.64.
**Conclusion:** ICU mortality and severity were higher in patients with EAA >0.55 than in patients with EAA < 0.54. There is a possibility that an EAA
value more than 0.55 is a meaningful value for early diagnosis of sepsis due to Gram-negative infection.
P75
Effect of estimated glomerular filtration rate and fluid balance on clinical course and outcomes of children admitted with severe dengue.
N Vijayakumar\textsuperscript{1,2}, S Kandasamy\textsuperscript{2}, T Sagaralingam\textsuperscript{1}, V Varadarajan\textsuperscript{2}, N Krishnamoorthi\textsuperscript{1,3}
\textsuperscript{1}Department of Pediatrics, Mehta Children's Hospital, Chennai, India; \textsuperscript{2}Department of Pediatric Intensive Care, Mehta Children's Hospital, Chennai, India; \textsuperscript{3}Department of Academics and Research, Mehta Children's Hospital, Chennai, India
Critical Care 2014, 18(Suppl 2):P75; doi:10.1186/cc14078
Introduction: Dengue fever is one of the most important seasonal epidemics in Asia Case fatality rates vary from 1 to 5% [1]. Mortality from severe dengue may range from 26% in DHF to as high as 47% in DSS [2,3]. The pathogenesis of shock in dengue fever (DF) is centered on increased capillary permeability in the critical phase leading to hypovolemia and shock in severe dengue. There have been multiple studies that compare fluid regimens in the management of dengue [4,5]. These studies do not assess the child’s renal function and ability to handle the fluid loads. GFR <60 ml/minute indicates a significant decrease in the renal functioning and there are no pediatric studies that examine their association with in-hospital stay and outcomes in children with severe dengue. With this introduction we formulated this study protocol to examine that association. The objectives were to measure the estimated glomerular filtration rate (eGFR) at admission and fluid balance in the first 36 hours of ICU stay and assess their effect on disease course and outcomes in severe dengue.
Methods: This was designed as a retrospective descriptive study in a tertiary-level pediatric ICU in South India. Case records of all children fulfilling the WHO case definition of severe dengue were included, those who received intravenous fluid for less than 12 hours were excluded. Primary parameters measured included fluid balance in the first 36 hours measured every 12 hours, durations of oxygen requirement, mechanical ventilation, ICU stay and total hospital stay. Outcomes measured were death and survival.
Results: Twenty-six children were enrolled, 14 boys and 12 girls. The median duration of ICU stay was 60 hours, and that of hospital stay 109 hours. eGFR was less than 60 ml/minute in six patients (83.3% expired and 16.7% survived). eGFR, measured by modified Schwartz’s formula, at the time of admission correlated inversely with requirement of oxygen therapy and mechanical ventilation ($P < 0.05$) and fluid balance in the first 36 hours. Positive fluid balance (FO > 15%) in the first 36 hours was significantly higher in children who expired ($P = 0.011$). eGFR <90 ml/minute at admission had 100% sensitivity and 79% specificity to predict the possible occurrence of fluid overload >15% (area under curve = 0.882).
Conclusion: Fluid balance in the first 36 hours had a significant positive correlation with mortality and negative correlation with eGFR. Children with admission eGFR <90 ml/minute may require restrictive fluid therapy to improve survival.
References
1. Dengue Hemorrhagic Fever: Diagnosis, Treatment, Prevention and Control. Geneva: World Health Organization (WHO) and Special Programme for Research and Training in Tropical Diseases (TDR), 3 2009
2. Agarwal R, Kapoor S, Nagar R, et al.: A clinical study of patients with dengue hemorrhagic fever during the epidemic of 1996 at Lucknow, India. Southeast Asian J Trap Med Public Health 1999, 30:735-740.
3. Ranjit S, Kissoon N, Jayakumar I: Aggressive management of dengue shock syndrome may decrease mortality rate: a suggested protocol. Pediatr Crit Care Med 2005, 6:412-419.
4. Dung NM, Day NP, Tam DT, et al.: Fluid replacement in dengue shock syndrome: a randomized, double-blind comparison of four intravenous-fluid regimens. Clin Infect Dis 1999, 29:787-794.
5. Ngo NT, Cao XT, Kneen R, et al.: Acute management of dengue shock syndrome: a randomized double-blind comparison of 4 intravenous fluid regimens in the first hour. Clin Infect Dis 2001, 32:204-213.
P76
Audit of antibiotic prophylaxis at a district general hospital.
K McGrath\textsuperscript{1}, J King-Robson\textsuperscript{1}, A Hayes\textsuperscript{1}, F Dashti\textsuperscript{1}, S Patel\textsuperscript{1}
Department of Microbiology, Kingston Hospital NHS Trust, Kingston-upon-Thames, UK
Critical Care 2014, 18(Suppl 2):P76; doi:10.1186/cc14079
Introduction: This audit evaluates the adherence to the prophylactic surgical antibiotic policy at Kingston Hospital. With a greater understanding of the current use of prophylactic surgical antibiotics comes the ability to improve patient care while minimising the development of antibiotic resistance. Surgical site infections are a major source of hospital-acquired infections, causing significant morbidity and mortality. In appropriate cases, surgical antibiotic prophylaxis is essential in preventing such infections; however, this comes with increased risks of antibiotic resistance and antibiotic-associated diarrhoea. Consequently, this institution has extensive guidelines as to the cases in which antibiotic prophylaxis is required and what antibiotics should be administered. This audit examines the adherence to these guidelines. We audited against our local antibiotic prescribing policy, named the Blue Book guidelines.
Methods: Notes were audited retrospectively for 80 patients undergoing surgery between 19 August and 18 December 2013. These were audited against local antibiotic guidelines (Blue Book guidelines) and analysed using descriptive statistics.
Results: Only 57% of operations were compliant with Blue Book antibiotic prophylaxis guidelines. For operations where administration of antibiotics was appropriate, 24% of patients received the incorrect choice, 19% were given the incorrect dose, 28% were given antibiotics for an inappropriate time relative to the procedure, and 38% received antibiotics for the incorrect duration. For operations not requiring prophylaxis, 48% of patients incorrectly received antibiotics.
Conclusion: Compliance to local guidelines for prophylactic antibiotics is extremely poor. This not only risks increased morbidity and mortality from surgical site infections but also risks the development of antibiotic resistance and Clostridium difficile colitis. We suggest enhancement of the antibiotic guidelines, and education of those using them. This will improve the provision of antibiotic prophylaxis in the Trust, and ultimately improve patient care.
P77
Presepsin biomarker: high-density lipoprotein.
S Al-Zaidawi
Surgery Department, Burn Unit, Al-Sadr Teaching Hospital, Maysan, Iraq
Critical Care 2014, 18(Suppl 2):P77; doi:10.1186/cc14080
Introduction: Delay in diagnosis and initiation of antibiotic treatment has been shown to increase mortality. Biomarkers can play an important role in diagnosis and prognosis of sepsis. We aimed to evaluate the correlation between septicemia and high-density lipoprotein (HDL) level in burned patients.
Methods: A prospective study conducted at Al-Sadr teaching hospital, Maysan, Iraq, during the period from April to September 2013. Blood samples were collected from patients every other day to measure the level of HDL and triglycerides. Other blood samples were collected in blood culture tubes for culturing to verify septicemia depending on the clinical evidence.
Table 1(abstract P77) Characteristics of patients
| Patient characteristic | Average | Range |
|------------------------|---------|-----------|
| Age (years) | 17 | 1 to 85 |
| TBSA% | 33.5% | 15 to 95% |
| Sex of patients | Female 61% | Male 39% |
| Burn type | Scalds 48% | Flame 52% |
Most patients were female (61%) with average age 17 years and a wide range of burned surface area (15 to 95%).
Table 2 (abstract P77) Lipid profile for all 75 patients at the onset of thermal injury during the first day of admission: all patients were with a normal range of HDL, triglycerides and cholesterol
| Lipid profile | Range (mg/dl) | Average (mg/dl) | Mode (mg/dl) | Normal range (mg/dl) |
|---------------|--------------|-----------------|--------------|----------------------|
| HDL | 30 to 56 | 39 | 38 | 39 to 59 |
| Triglycerides | 37 to 148 | 70 | 58 | 0 to 149 |
| Cholesterol | 46 to 155 | 78 | 86 | 0 to 199 |
Table 3 (abstract P77) Lipid profile at the onset of sepsis showed that HDL level dropped to less than 15 mg/dl with range (4 to 13 mg/dl): elevation in triglyceride level out of normal range with no significant change in cholesterol level
| Lipid profile | Range (mg/dl) | Average (mg/dl) | Mode (mg/dl) | Normal range (mg/dl) |
|---------------|--------------|-----------------|--------------|----------------------|
| HDL | 4 to 13 | 7.6 | 4 | 39 to 59 |
| Triglycerides | 133 to 435 | 214.5 | 180 | 0 to 149 |
| Cholesterol | 56 to 139 | 82.8 | 76 | 0 to 199 |
Table 4 (abstract P77) Levels of urea, creatinine, albumin, WBC, platelets during onset of sepsis: most patients developed hypoalbuminemia and thrombocytopenia
| % TBSA | WBC (×1,000/μl) | Platelet count (×1,000/μl) | Blood urea (mg/dl) | Serum creatinine | Serum albumin (g/dl) | Time to get sepsis (days) |
|--------|-----------------|-----------------------------|--------------------|------------------|----------------------|--------------------------|
| Average| 55 | 11.86 | 154.9 | 14 | 0.51 | 2.0 | 7 |
| Mode | 45 | 9.04 | 121 | 12 | 0.37 | 1.8 | 10 |
| Minimum| 27 | 2.27 | 32 | 9 | 0.32 | 1.4 | 2 |
| Maximum| 95 | 15.03 | 535 | 21 | 0.73 | 3.1 | 20 |
Table 5 (abstract P77) Comparison between level of lipid profile before and after sepsis showed the significant dropping in HDL level during onset of sepsis
| | HDL | Triglycerides | Cholesterol | P value |
|------------------|-----|---------------|-------------|---------|
| Burn onset | 39 | 70 | 78 | < 0.01 |
| Sepsis onset | 7.6 | 214.5 | 76 | < 0.01 |
Results: Seventy-five patients (Table 1) were admitted consecutively into the burn unit, 35 of them (46%) developed septicemia and 11 of the 35 patients died. All dead patients had HDL value <5 mg/dl 1 or 2 days before dying since our blood samples were collected every 2 days (Tables 2 and 3). Other laboratory tests such as WBCs, platelet account, albumin level, and so forth were made to confirm sepsis (Table 4). A comparison between the level of lipid profile before and after sepsis showed a significant drop in HDL level during the onset of sepsis (Table 5). We also found that patients with HDL value <15 mg/dl were at high risk of developing sepsis.
Conclusion: There was a strong correlation between HDL level and septicemia in burn patients. The HDL value is a good biomarker for sepsis; it decreases below normal level and continues to diminish and reach an immeasurable level at the advanced stage of septicemia.
Cite abstracts in this supplement using the relevant abstract number, e.g.: Al-Zaidawi: Presepsis biomarker: high-density lipoprotein. Critical Care 2014, 18(Suppl 2):P77
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Bond University
Research Repository
Why do hospitalized older adults take risks that may lead to falls?
Haines, Terry P.; Lee, Den Ching Angel; O'Connell, Beverly; Mcdermott, Fiona; Hoffmann, Tammy
Published in: Health Expectations
DOI:
10.1111/hex.12026
Licence:
CC BY
Link to output in Bond University research repository.
Recommended citation(APA): Haines, T. P., Lee, D. C. A., O'Connell, B., Mcdermott, F., & Hoffmann, T. (2015). Why do hospitalized older adults take risks that may lead to falls? Health Expectations, 18(2), 233-249. https://doi.org/10.1111/hex.12026
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Download date: 11 Aug 2024
Why do hospitalized older adults take risks that may lead to falls?
Terry P Haines PhD G Cert Health Economics B Physiotherapy (Hons),* Den-Ching Angel Lee B Applied Science (Physiotherapy) G Dip Occupational and Environmental Health,* Beverly O'Connell RN PhD FRCNA,† Fiona McDermott BA Dip Soc Studs M Urban Planning PhD‡ and Tammy Hoffmann Bachelor of Occupational Therapy (Hons) PhD§
*Associate Professor, Allied Health Research Unit Southern Health & Monash University, Cheltenham, Vic., †Faculty of Health, School of Nursing and Midwifery, Southern Health Nursing Research Centre, Deakin University, Clayton, ‡Southern Health & Department of Social Work, Monash University, Clayton and §Clinical Epidemiologist, Faculty of Health Sciences and Medicine, Bond University, Gold Coast, Australia
Abstract
Correspondence
Terry P Haines PhD, G Cert Health Economics, B Physiotherapy (Hons) Associate Professor Allied Health Research Unit Kingston Centre Kingston Rd Cheltenham
3192
Vic.
Australia
E-mail: [email protected]
Accepted for publication
22 October 2012
Keywords: behaviour, falls, hospital, older adult, risk taking
Background The behaviour of hospitalized older adults can contribute to falls, a common adverse event during and after hospitalization.
Objective To understand why older adults take risks that may lead to falls in the hospital setting and in the transition period following discharge home.
Design Qualitative research.
Setting and participants Hospital patients from inpatient medical and rehabilitation wards (n = 16), their informal caregivers (n = 8), and health professionals (n = 33) recruited from Southern Health hospital facilities, Victoria, Australia.
Main variables studied Perceived motivations for, and factors contributing to risk taking that may lead to falls.
Main outcome measures Semi-structured, in depth interviews and focus groups were used to generate qualitative data. Interviews were conducted both 2 weeks post-hospitalization and 3 months post-hospitalization.
Results Risk taking was classified as; (i) enforced (ii) voluntary and informed and (iii) voluntary and mal informed. Five key factors that influence risk taking behaviour were (i) risk compensation ability of the older adult, (ii) willingness to ask for help, (iii) older adult desire to test their physical boundaries, (iv) communication failure between and within older adults, informal care givers and health professionals and (v) delayed provision of help.
Discussion and Conclusion Tension exists between taking risks as a part of rehabilitation and the effect it has on likelihood of falling. Health professionals and caregivers played a central role in mitigating unnecessary risk taking, though some older adults appear more likely to take risks than others by virtue of their attitudes.
Introduction
Falls in the elderly are a considerable health issue for older adults, hospitals and the community more broadly. One in three people over the age of 65 years fall each year, and approximately 20% of them require medical attention. 1,2 Falls are a particular problem for older adults who have been admitted to hospital, where inpatient rates of falls between 3 to 20 falls per 1000 occupied bed days have been reported. 3 – 5 Once people have left hospital, however, the rates of falls have continued to be high, with up to 7.5 falls per 1000 days being reported. 6,7
Falls prevention research paradigms have historically focussed on intrinsic and extrinsic factors for falls in the older adults. 8 A new behavioural/risk taking paradigm is emerging where it is the decision making of older adults in response to their risk factors that is potentially more important. 9 Further work, however, is required to better understand this behavioural/risk taking paradigm as it applies to falls prevention.
Risk taking has previously been defined in many ways. We define risk taking as the act of implementing a goal-directed option where (i) the behaviour in question could result in more than one option, and (ii) some of these outcomes are undesirable or even dangerous. 10 Early research in risk taking was based upon models of rational choice 11 and widely described using economic behaviour models. 12 Research conducted on understanding risk taking has commonly been based on expected utility theory 13 and been categorized in three ways (i) those that explain the differences between people who take risks and those that do not, (ii) those that explain the differences between situations that promote risk taking in most people and situations that promote risk aversion, and (iii) those that explain both types of differences. 14 Previous research amongst older hospital inpatients has sought to identify factors associated with higher self-perceived risk of falling (i.e. conceptually, probability of a 'fall' outcome during hospitalization) and a higher self-perceived risk of injury if a fall were to occur (i.e. conceptually, utility lost from the 'fall' outcome). 15 Multiple regression models highlighted that older age and having better cognitive function were independently associated with a lower selfperceived risk of falling. Older adults who had poorer motor function, a lower perception of the proportion of other hospital patients who fall, and a higher perception of the proportion of such falls that result in injury were independently associated with higher self-perceived risk of injury if one were to fall. Further research has found that older hospital inpatients generally have an accurate impression of the probability of falling while in hospital, but underestimate the rate of injury associated with falls. 16 In the community setting, it has been found that people with type A (risk taking) personality types tend to fall more frequently, 17 and that extroverted people who are fallers or who fear falling participate in more activities outside the house. 18 Thus, some formative research has been conducted to identify differences between people that may predispose them to taking more risk in this context more than others. However, very little is known of the differences between situations that promote risk taking, or factors that may predispose some people to take risks in some situations and not others. It is also likely that simplistic frameworks that only consider the decision making of the individual older adult will be limited in their ability to explain risk taking in contexts such as the hospital setting or the post-discharge period where health professionals, care-givers and family members may influence the risks taken by the individual.
This study aims to identify factors and pathways that might explain why older adults take risks that may lead to falls in the hospital setting and in the transition period following being discharged home.
Method
Design
The prior research and clinical experiences of the investigators led them to anticipate that multiple, potentially conflicting perspectives would be held on falls' risk taking behaviour by older adults and those who care for them (health professionals, partners, family members and other care-givers) that would need to be incorporated to gain a broader understanding of this phenomenon. Also, given the paucity of literature in regard to falls' risk taking by older adults and its antecedent factors, a paradigm of enquiry that would allow for discovery and expansion of pre-existing conceptualizations held by the investigators would be required. Thus, the aims of the study were addressed using a qualitative, phenomenological, constructivist approach that was exploratory and descriptive. Phenomenology seeks to understand the meaning or structure of the lived experience of this phenomenon for a person or group of people. 19 Constructivist ontology (philosophical study of reality) takes the approach that there are multiple and sometimes conflicting social realities constructed by human intellects that can change as their constructors become more informed. 20 Data were collected using face to face interviews, telephone based interviews, and focus group interviews. All interview schedules were semi-structured utilizing predominantly open-ended questions.
Initial interview questions were initially designed by all the investigators, and were intended to be broad in scope so as to capture a wide range of descriptions of experiences in patient care and falls related matters. The questions were subsequently refined by TH and DAL after data analysis of the first few interviews in each participant group to explore in greater depth the area of risk taking in regard to falls and the interaction of the older adult, the environment (including health professionals and caregivers) and the tasks being performed which may affect such risk taking behaviour in the hospital and in the postdischarge period.
Participants and setting
There were three groups of participants in this study.
The 'older adult' group comprised of adults 65 years of age or above and who were admitted to in- patient medical, rehabilitation or geriatric evaluation and management wards. Patients whose discharge destination were not their own home, or patients who were non English speaking or cognitively impaired were excluded for interview purpose. The 'caregiver' group was family or other support people that the patient identified as their main support person. The 'health professional' group was health professionals who care for the target patient group during inpatient and post-discharge periods.
Participants were recruited from tertiary hospitals, a rehabilitation hospital and community-based rehabilitation programs with the Southern Health healthcare network in Victoria, Australia. The number of participants recruited were; (i) tertiary hospitals, 11 patients, 5 caregivers and 12 health professionals (ii) rehabilitation hospital, 5 patients, 3 caregivers and 16 health professionals (iii) community based rehabilitation program, 5 health professionals.
Procedure
The study commenced after receiving ethics approval from the Southern Health Human Research Ethics Committee and Monash University Research Ethics Committee.
Recruitment of all three groups occurred between March 2011 and June 2011.
Advertising posters were posted on wards calling for suitable patients and family carers as participants. Nurse unit managers and allied health professionals of the respective wards were also approached for identification of suitable patients and/or family caregivers for interviews. All older adult subjects (n = 16) and caregivers (n = 8) were recruited through the staffidentification process. There were five male older adults and three male caregivers.
The mean (SD) age of older adults was 75.4 (6.9) years and 72.0 (10.1) years for caregivers the reasons for admission to hospital were fracture/orthopaedic (n = 9), stroke (n = 1), hyponatremia (n = 1), ischaemic colitis (n = 1), falls (n = 3), acute delirium (n = 1). All older adult participants bar 2 had either had a fall as a part of their presenting condition, had a history of falls within the past 6 months, or had fallen on the ward prior to being recruited. The two that did not have a history of falls had neurological diagnoses (stroke, delirium) that placed them at high risk of having falls. All caregivers recruited lived with the older adult participant, all cared for them full-time, six were spouses and two were daughters. Health professionals (n = 33) were recruited by expression of interest in response to e-mail advertising and by 'snowball' sampling. 'Snowball' sampling involved asking health professionals who had already been recruited into the study to identify additional health professionals who may participate in the study. The health professionals recruited included nurses (n = 12), occupational therapists (n = 7), physiotherapists (n = 10), social workers (n = 1), podiatrists (n = 1) and case managers (n = 2).
Consent to participate was gained before interviews and focus groups were conducted. Interviews were conducted by an investigator (DAL) who is an experienced physiotherapist in the field of gerontology. All interviews and focus groups followed the same interview schedule within each group of participants, and all were recorded with a digital audio recorder.
Data gathering
Participants in the patient group received two interviews. The first interview was conducted one to 2 weeks post-discharge from the hospital, and focussed on the inpatient experience. We waited until the patient had been discharged, so they would not feel pressured to provide responses that reflect positively upon the hospital and hospital staffas if they had still been inpatients. A second interview was conducted 3 months after discharge and focussed on the experience of the transition period post-discharge. A face to face interview took place in the patient's home on both occasions unless the patient's residence was geographically remote, in which case a telephone interview conducted. The interviews ranged from 30 to 60 min in duration. The total number of interviews for this group was 30 ( n = 16). Two patients did not complete a second interview, one due to ill health and the other did not wish to participate.
Participants in the caregiver group received two interviews. Both interviews were conducted at the same time as the patient group, and ranged from 30 to 60 min in duration. The total number of interviews for this group was 14 (n = 8). One caregiver declined the second interview due to ill health, and another refused to participate further. Patient and caregiver were allowed to be in the same room at the time of the interview; however they were discouraged from engaging in the other person's interview. The investigators recognized that this may limit the degree of disclosure by older adults or their care-givers with regards to areas of disagreement or tension between them. However, the investigators felt that offering these participants the choice as to whether they would be present or not for others' interview would be empowering them and help build trust with the investigators, rather than building a perception that they were being 'checked up on in secret'.
Topics of discussion in the first interview included patient/caregivers' general impressions of the hospitalization experience, and engaging with hospital staffand the hospital environment, patient/caregivers' perceptions of why falls occur in hospitals, how patients responded to risk of falls, why they took risks, factors driving risk taking behaviour that may result in falls, patient/caregiver's recollection of and reaction to involvement in patient care during hospitalization and in planning for transition home. An example of a direct question used to elicit description of a risk-taking activity was 'Did you do anything that you think put you
at risk of falling over while in hospital?' which was followed by probing and prompting to elicit a narrative account of the activity, its antecedents and outcomes. Topics of discussion in the second interview focussed on risk taking and falls during the post-hospitalization period.
Participants in the health-professional group attended one of six focus groups. Each had five to six participants, and was purposefully structured to have three different health professional disciplines. The focus groups ranged from 30 to 60 min in duration. Topics of discussion included health professional perceptions of their role in preventing patient falls during and after hospitalization, perceptions of why patients fall, why patients take risks, the factors underlying risk taking and recollections of what health professionals say to patients and their support persons for the prevention of falls during hospitalization and in preparation for the transition period.
Analysis
A framework analysis approach was utilized to familiarize investigators with the data, to identify a thematic framework to separate the data, to index and apply codes to the data, to group codes into categories and link these to the appropriate part of the thematic framework and identify association between individual categories, broader category groupings and other concepts within the framework. 21 We did not seek to triangulate individual issues between stakeholder perspectives as evidence of their existence as the investigators anticipated that the perspectives held by some stakeholders would directly conflict with that of others. For example, when asked about why a patient tried to walk to the toilet on their own when they had been told to ask for help, a staffmember might say the patient is being 'non-compliant' with instructions whereas the patient might say that the staffdo not come when you ask for them to come and that they are not providing the assistance they promised. A constructivism approach to building understanding encourages these divergent individual recollections to be coalesced into a broader understanding of the phenomenon than any one individual perspective allows, 20 and was thus pursued in this analysis.
NVIVO computer statistical software 9.1 (QSR International Pty Ltd, Doncaster, Vic., Australia) was used to assist with coding, charting, and mapping data from the audio recordings. Analysis, coding, and mapping of data were led by DAL and TH collaboratively. Data analysis was on-going during the data collection process, and was iteratively used to refine the questions; prompts and redirections that were used as the study progressed.
Our intent was to gather and synthesize emic (insider) views on the risk-taking phenomenon, however, the investigators recognized the possibility that pre-existing etic (outsider) investigator views may influence how the data were coded, and subsequently analysed. Member checking was performed with five (two older adults, three health professionals) participants following completion of data coding to examine whether investigator coding and interpretation of data were consistent with that of the participants. Minor disagreements were resolved following clarification and explanation of the codes, thus the framework analysis continued without recoding of data.
Sample size consideration
The study was designed to allow for recruitment of up to 36 hospitalized older adults, 24 family caregivers and 36 health professionals. The iterative data collection and analysis approach identified that saturation of themes and data codes had been reached after analysis of 30 interviews with the 16 patients, 14 interviews with 8 carers and 6 focus groups involving the 33 health professionals.
Findings
We first identified three broad categories of data, representing constructs, relating to risk taking behaviour. The first broad category was considered to be the base elements of risk
taking. These were the older adult, their environment, and the task that may be attempted by the older adult while in hospital or after discharge. The environment consisted of both the physical environment and the older adult's significant others (health professionals and caregivers). None of the participants directly referred to these elements in this way, rather, these elements implicitly emerged from descriptions of risk taking provided. For example, one participant described wanting to go the toilet (activity), but that they were in a hurry (the older adult) and that an over-toilet chair was out of position (environment) (Table 1, statement 2). These factors were therefore considered to interact and were conceptualized as three overlapping concepts in our framework (Fig. 1). The tasks related to risk taking tended to differ between the hospital and post-discharge settings. In hospital, description of taking risks related to toileting and mobilizing around the bedroom area and toilet. Post-discharge, there was the addition of outdoor activities such as gardening, and household activities.
The second broad category was considered to be the nature of risk taking itself. We conceptualized two categories of risk; voluntary and enforced risk taking. Enforced risk taking was defined as instances where an older adult felt they have no alternative, but to attempt to perform the task (Table 1, statement 1). Voluntary risk taking was conceptualized as instances where an individual felt they had a choice as to whether they performed the activity or not (Table 1, statement 2). Voluntary risk taking was also a feature of the post-discharge period (Table 1, statement 3). Voluntary risk taking was further conceptualized as having subcategories of informed and mal-informed voluntary risk taking. Informed, voluntary risk taking was considered to be when the individual decided to take a risk when he or she was aware of the risks involved. Voluntary, malinformed risk taking was considered to be when the individual decided to take a risk when not fully aware of the risks involved. It should be noted that these classifications refer to actions rather than as terms to classify/
characterize individuals as a person may at one time take a mal-informed risk and then an informed risk at another.
We present enforced risk and voluntary risk taking as distinct areas, whereas in reality it may be more of a continuum depending on the activity the individual performs. There is overlay between the perception of being essential by the older adults and that of others, e.g. although a health professional might believe gardening is optional, a patient may believe it to be essential. For the purpose of this analysis, we focused upon the perceptions of the older adult as they were in most instances the decision maker as to whether an activity was attempted and the associated risks this task posed.
The third broad category group was factors that described how the elements of risk taking combined to result in the subcategories of risk taking described. There were five key subcategories identified within this set that we refer to as nodes, which were interconnected between themselves, the elements of risk taking and the subcategories of risk taking creating pathways of risk taking described. Development of these pathways was initially driven by combining statements by participants under the central code for that pathway (e.g. for the 'risk compensation' pathway, the central code was driven by health-professional statements that some older adults did not have insight into their reduced physical capacity). These codes were then separated and connected to related codes to reveal a deeper understanding of that concept (e.g. statements that patients were in 'denial' [Table 1, statement 5] revealed that some patients may be aware of their physical limitations, but did not to accept these cognitions, resulting in the same outcome as those who did not recognize their physical limitations) and factors influencing that concept. Both direct statements by participants and etic conceptualizations of the investigators were used to build the frameworks that described these pathways. Interconnections between these pathways are conceptualized in Fig. 1. Each of these five nodes and the pathways surrounding them are now described in detail.
Table 1 Participant quote table
Table 1. Continued
Table 1. Continued
Node (i): risk compensation
The pathway involving the node of 'risk compensation' is conceptualized in Fig. 2. We defined risk compensation as the adjustment of behaviour in response to the risk perceived by the older adult so that the task can be performed in a safe manner. When the older adult does not have sufficient 'ability to perform a task' relative to the 'difficulty of the task', the older adult needs to use 'risk compensation' to safely complete or avoid the task. The older adult's 'ability to perform a task' is likely to be lower than that experienced pre-morbidly, owing to their 'health' (illness, injury or surgery which led to the hospitalization). This creates the need for the older adult to have 'awareness of self and ability' and their reduced level of capacity. Hospital staffopenly questioned whether many older adults had the ability to recognize this due to 'cognitive decline' (Table 1, statement 4).
Performing tasks in a 'different environment' to what they are used to may increase 'difficulty of the task' and requires that older adults give 'active consideration' to these demands. These environmental differences were spoken of in relation to the hospital environment being different and increasing 'difficulty of the task' (Table 1, statement 6). Where there was
Figure 1 Overall conceptual framework of risk taking by older adults during hospitalization and following discharge.
Risk Taking
Voluntary
Mal
informed
Informed
Enforced
Risk
compensation
Testing
physical
boundaries
Communication
failure
Decreased or
delayed
provision of
assistance
Not asking for
help
Environment
Older adult
Task
'awareness of demand of a task' and this was given 'active consideration' patients reported 'risk compensation' however, familiarity with the home environment may have contributed to less 'risk compensation' following discharge from hospital (Table 1, statement 9).
Health professionals perceived that some older adults may also experience a false sense of security through the presence of potential 'assistance from others', that because there were hospital staffnearby, they were safe when they attempted activities (Table 1, statement 7).
node was considered to be a step following on from the 'risk compensation' node (Fig. 1), where appropriate risk compensation often prompted older adults to ask for help. Factors specific to the older adult were related mainly to their attitudes and beliefs (Fig. 3). Some had 'belief that they can perform the task without help' or had a very strong 'desire for independence'.. Others reported 'not wanting to be a burden' to significant others, particularly hospital staff(Table 1, statement 10).
Changing behaviour in light of changed physical capacity appeared to be impeded by previous habits and 'resistance to change' (Table 1, statement 8).
Node (ii): asking for help
We defined the node of 'asking for help' as occasions where older adults needed to seek assistance to perform activities due to reduced ability to complete the task on their own. This
Health professionals perceived that some older adults had 'impaired capacity to ask for help' (Table 1, statement 11).
Health professionals also identified an overlay of 'cultural beliefs' regarding the role older adults' thought they should have as patients, the role of staffand of their family (Table 1, statement 12).
Factors relating to the interaction between older adults and their social environment were predominantly perceptions held or experiences had by older adults that were influenced by
Figure 2 Conceptualization of risk compensation ability pathway.
Active
consideration
Older adult
Task
Environment
Risk
compensation
Awareness
of self and
ability
Awareness
of demand
of task
Difficulty of
task
Different
environment
Sensory
loss
Cognitive
decline
Health
Resistance
to change
Denial
Ability to
perform task
Assistance
from others
their interactions with staff. Some had a 'perception that staffare too busy to help', a 'perception that staffare not allowed to help' if lifting was involved or a 'perception staffwill not like them' if they asked for help too often. Although one could speculate that these perceptions were ill-informed, examples were provided where these had been influenced by interactions with staff(Table 1, statements 13, 14 and 15). These and other 'negative past experiences' may reduce 'trust in the health professional' and provide disincentive for older adults to seek help again in future.
It is possible that some communications between staffand other older adult hospital inpatients may have been misinterpreted, and this perpetuated misconceptions about asking for help (Table 1, statement 16). Older adults' perception of the demeanour of the staffand whether the 'older adult thinks staff look unfriendly' affected their willingness to ask for help. It is possible this may also have been related to negative past experiences (Table 1, statement 17).
Some older adults felt the 'act of receiving help causes embarrassment' (particularly with toileting), while others reported they 'feel embarrassed that they need help' (Table 1, statement 18).
Node (iii): testing physical boundaries
Attempting to perform activities that the older adult had not previously attempted as they had become ill or had surgery is an important element of the rehabilitation process. This emerged as a central concept in several descriptions of risk taking from all groups of participants where the older adults attempted a previously performed activity that was beyond the older adult's present physical capability. The risk taking pathway involving the node of 'testing physical boundaries' in the rehabilitation or recovery process is presented (Fig. 4). The motivation for an older adult to test their own physical boundaries appeared to be largely internally generated. Older adults described being motivated by a 'desire to be independent', 'desire to go home' and 'desire to return to their previous lifestyle'. Health professionals and some older adults thought that older adults were consciously aware of when risks were being taken for this reason (Table 1, statements 19 and 20).
Caregivers and health professionals also encouraged this to varying degrees, at times creating a three-way dialogue on this issue ('discouragement/encouragement/enablement to test physical boundaries'). Disagreements between
Figure 3 Conceptualization of asking for help pathway.
Older adult
Task
Environment
Act of receiving
help causes
embarrassment
Cultural beliefs
Perception staff
will not like
patient
Feels
embarrassed that
they need help
Perception staff
are too busy to
help
Perception staff
not allowed to
help
Belief they can
perform the task
without help
Impaired capacity
to ask for help
Older adult
thinks staff look
unfriendly
Negative past
experience
Not wanting to be
a burden
Desire for
independence
Trust of health
professional
Asking for
help
Figure 4 Conceptualization of testing physical boundaries pathway.
Testing physical
boundaries
Desire to test physical
boundaries
Desire to be
independent
Therapy &
exercise
Discouragement/
encouragement/
enablement to test
physical boundaries
Desire to return to
previous lifestyle
Desire to go
home
Health professional
objective to
rehabilitate
Health professional
objective to ensure
safety
Confidence to
test physical
boundaries
Older adult
Environment
Task
Supported
Unsupported
Family/care givers
desire for older adult
to be independent
the older adult and the caregivers/family, the family/caregivers and health professionals and between the health professionals and the older adults were described. Often in these disagreements, the health professionals were more conservative in the level of risk they were prepared for the older adult to take when testing their physical boundaries when on their own. Care-givers expressed 'desire for the older adult to be independent' while health professionals
expressed competing demands to ensure the older adult was rehabilitating ('health professional objective to rehabilitate') but in a safe manner ('health professional objective to ensure safety'). Thus, if the older adult and/or family members were more willing to test physical boundaries than the health professional was, the health professional would recommend against what they viewed as excessive risk taking. Health professionals cited genuine concern for the safety of the older adult and argued that others did not fully appreciate the risk that was there (Table 1, statement 21 and 22).
Health professionals were not always trying to discourage older adults from testing their physical boundaries. Some described actively working with patients through 'therapy and exercise' and provision of functional retraining activities to assist them to test their physical boundaries (Table 1, statement 23).
An important distinction here between therapist facilitated and older adult independently initiated testing of physical boundaries was the presence of the health professional to assist the older adult if they did lose their balance, providing a more protected environment in which to take this risk. Thus, it became apparent that there were subgroups of testing physical boundaries; testing that took place in a supported environment ('supported testing of physical boundaries') and 'unsupported testing of physical boundaries'.
When an older adult successfully completed an activity where they tested their physical boundaries, they often described their 'confidence to test physical boundaries' as improving. This often encouraged further testing of physical boundaries. This could become problematic where repeated iterations of testing physical boundaries continued with increasingly difficult activities until a failure or near miss occurred (Table 1, statement 24).
Node (iv): failure of communication directed to older adult
'Communication failure' between older adults, caregivers, family members and health profes- sionals were often criticized as being a central component of why older adults take risks (Fig. 5). Several factors were identified as driving the need for frequent, accurate and clear communication of information between and within the different stakeholder groups. Handing-over of responsibility for the care of the older adult between shifts and between the hospital and post-discharge period created need for communication between health professionals and caregivers. The dynamic nature of older adults' physical abilities (both reduction in ability initially followed by gradual improvement during recovery and rehabilitation) also created ongoing need for discussion between the stakeholder groups.
'Differences in opinion between health professionals', which may have been mediated by differing professional backgrounds, philosophies, professional power differentials or levels of experience, created potential for inconsistent, 'mixed or incorrect information' being given to older adults (Table 1, statement 25 and 26).
Insufficient communication ('amount of information') was a common problem identified by all study participant groups, and was thought to be largely driven by time and resourcing restrictions on health professionals ('health professional workload') (Table 1, statement 27).
Deficiencies in 'health professional communication skills' were identified as contributing to communication failure. The 'communication systems', routines and procedures in place to facilitate communication between health professionals and with other stakeholders were identified as important factors that required health professionals to understand and employ these systems (Table 1, statement 28).
Some factors related to the older adult were seen to impede communication, specifically whether the patient had a 'cognitive impairment', and whether the patient was able to communicate in English ('language barrier'). However, if an interpreter was available (family member or professional interpreter), the impact of being from a non-English speaking background on communication failure was reduced (Table 1, statement 29).
Figure 5 Conceptualization of failure of communication directed to older adult pathway.
Environment
Cognitive
impairment
Difference in
opinions between
health professionals
Communication
systems
Communication failure
Amount of
information
Older adult
comprehends
incorrect information
Older adult unable
to comprehend
correct information
Timing of
communication
Language of
communication
Mixed/
incorrect
information
Sensory
impairment
Language
barrier
Health
professional
workload
Interpreter
availability
Communication
training
Health service systems/resources
Communication
approach
Older adult
Family member/
care giver
availability
Health
professional
communication
skills
Node (v): decreased or delayed provision of assistance
'Decreased or delayed provision of assistance' was a common factor leading to all forms of risk taking (Fig. 6). Conceptually, this node can follow on from risk taking pathways through the nodes relating to risk compensation and asking for help (Fig. 1). However, assistance can be provided even when help is not explicitly requested; indicating that decision making of family, caregivers and hospital staff independently of the older adult can play a role in managing risks taken by the older adult. Indeed, provision of assistance could override even intentional risk taking efforts by the older adult.
Factors related to decreased or delayed provision of assistance following request appear to be environmental or based upon the interaction between the older adult and the person whose assistance they are seeking. The environmental factors involving health professionals were 'health professional time shortage' and 'competing tasks amongst health professionals'. Participants from each stakeholder group identified that hospital-based health professionals had difficulty at times providing assistance requested by older adults at the time requested or within a timeframe expected by the older adult. Hospital staffcited that often they had competing tasks to perform, that staffing shortages compounded this problem, and that it was particularly difficult when multiple older adults were requesting assistance at once (Table 1, statement 30).
The 'physical structure of the ward environment' was also cited by health professionals as a reason for decreased or delayed provision of assistance. This was particularly the case if the staffdid not have direct vision of the patient from the nurses' station, and the effect on the risk of an older adult falling was amplified if the patient did not or could not use the nurse buzzer system (Table 1, statement 31).
'Health professional/family member/older adult interaction', primarily through asking for help, was conceptualized as affecting whether older adults received assistance or not. If an older adult did not ask for help in hospital, they were less likely to receive it. Thus, the node of provision 'decreased or delayed provision of assistance' was closely linked to the node of asking for help (Fig. 1).
Health professionals described 'discharge planning processes' as influencing whether
Figure 6 Conceptualization of decreased or delayed provision of assistance pathway.
Older adult
Environment
Health service systems/resources
Location: Home or
hospital
Task
Health
professional
time shortage
Location
within ward
environment
Competing
tasks amongst
health
professionals
Decreased or
delayed
provision of
assistance
Health
professional/
family member
/older adult
interaction
Family member/
caregiver
rostering of care
provision
Physical
structure of
ward
environment
Health
Ability to
perform
task
Discharge
planning
processes
patients receive sufficient assistance while at home with particular criticism that patients are discharged too early. Concern was raised that patients do not have sufficient 'health' and physical 'ability to perform tasks' they will need to perform in their home environment and that this influences whether they are sent home. Hospital staffdescribed a change in discharge planning processes over the past decade such that older adults were being placed in a position of greater enforced risk over the past decade (Table 1, statement 32).
work and does not assume a rational choice is being made by an informed individual as previously assumed. 11 – 14
Support was described as being provided by formal and informal caregivers during the post-discharge period in response to the needs of the older adult. An example of a highly organized 'family member/caregiver rostering of care provision' response from an older adult's family was described (Table 1, statement 33).
Discussion
There are many factors that influence risk taking behaviour in older adults who have been hospitalized. This research has developed a framework for understanding risk taking behaviours of older adults in relation to falls that advances upon previous work in this field because it has explicitly sought to incorporate the role of significant others within the frame-
We do not contend that risk taking behaviour, of itself, is a problem. Our data have highlighted that risk taking is an important part of the rehabilitation process and returning to independence by the older adult. However, the possibility that risk taking will be excessive and result in falls with subsequent injury creates problems for older adults, their caregivers and health professionals alike. The challenge instead appears to be ensuring that risk taking by the older adult is informed and voluntary where possible, rather than mal-informed or enforced, and that risk taking be undertaken in a supported environment. Health services, health professionals and caregivers can support this by addressing problems associated with communication failures, by creating opportunities for risk taking to be undertaken in controlled, supported environments, and by facilitating older adults to actively consider their risk of falling with specific tasks so that they can appropriately compensate for their physical limitations.
Enforced risk taking was conceptualized as largely being attributable to decreased or delayed provision of assistance, combined with the perceived necessity of the older adult to perform the activity and the limited physical
capacity of the older adult to perform the activity. Health-service policies aiming to reduce the length of inpatient admissions were identified by health professionals as contributing to this. Funding policies have generally tightened in developed nations in recent years to try to limit growth in public health care expenditures, 22 thus, it is not surprising that pressures to minimize length of stay and subsequent cost exist. However, this creates a tradeoffbetween the level of enforced risk that older adults have to take, and the health resource savings that have been sought after, and may be a factor involved in hospital re-presentation due to a fall following an initial presentation.
The findings of this research are consistent with findings from quantitative research approaches used in this population. For example, the inter-relation between some patientrelated factors in our framework, specifically cognitive impairment and risk compensation ability, were concordant with the early research findings in this area. A trial of one-to-one patient education based on the health belief model aiming to modify how high risk activities were performed on a hospital ward (risk compensation) demonstrated that falls could be reduced amongst cognitively intact older adults in the hospital setting, and that goals could be set to modify how specific activities were performed. 23 However, this program was not beneficial for older adults who were cognitively impaired, highlighting the importance of the cognitive impairment factor on risk compensation ability. Previous work has also highlighted that people with risk factors for falls following discharge can experience lower rates of falls if support services are provided to them, 7 a finding consistent with our framework.
This research was limited as it was conducted within one geographic region and multiple hospitals within one health service. Hence, it is possible that some of the factors identified may be relevant only to this particular context. Recruitment of only participants who could speak English may have limited the insights potentially gained from older adults with culturally and linguistically diverse backgrounds, though some insights were gained on this issue from the health professional perspective. The first patient and caregiver interview was conducted 1 – 2 weeks post discharge, specifically so that older adults would feel free to give an open and honest account of their experiences in hospital. However, this may also have led to some recall bias, and reprioritization of the importance of some issues as they were perceived at that point in time.
Interpretation of our study findings and conclusions should pay heed to the background experiences and perspectives of the investigators that may have influenced them in this task. Each of the investigators had a clinical background with varying levels of experience working older adults in hospital. They may therefore have more readily highlighted factors expressed by health professionals that impact on the ability of hospital staffto provide assistance that are outside of their control (e.g. the perception of a lack of time and too many competing activities) as the investigators had experienced these same frustrations in their previous clinical roles. It is also likely that previous research work conducted by the investigators with a range of theoretical models (such as the Health Belief Model 24 and Person– Environment–Occupation model 25 ) influenced how they conceptualized interconnections between emergent codes from the analysis.
Development of our risk taking framework permits further investigation of factors that may contribute to falls and inform interventions for their prevention. Where risk taking has led to a fall, it is now possible to classify the type of risk taking that took place and identify the factors that contributed to it. Similar work to the present study should also be conducted to determine perspectives of medical staffon the risk taking of older adults, and that of older adults from non-English speaking backgrounds, both of whom were not included in the present study.
Acknowledgements
THa was supported by an Australian National Health and Medical Research Council Career Development Award.
THa is the director of Hospital Falls Prevention Solutions Pty Ltd. This company provides training in the 'Safe Recovery' patient education program which was mentioned in the present manuscript.
THa has received payment for expert witness testimony in the area of falls in hospitals.
THa has received payment for providing presentations at conferences in the area of falls in hospitals.
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9 Hill A, Hill K, Brauer S et al. Evaluation of the effect of patient education on rates of falls in older hospital patients: description of a randomised controlled trial. BMC Geriatrics, 2009; 9: 14.
10 Furby L, Beyth-Marom R. Risk taking in adolescence: a decision-making perspective. Developmental Review, 1992; 12: 1–44.
11 Keeney R, Raiffa H. Decisions with Multiple Objectives: Preferences and Value Tradeoffs. New York: Wiley, 1976.
12 Friedman M, Savage LJ. The utility analysis of choices involving risk. The Journal of Political Economy, 1948; 56: 279–304.
13 Kahneman D, Tversky A. Prospect theory: an analysis of decision under risk. Econometrica: Journal of the Econometric Society, 1979; 47: 263–291.
14 Byrnes JP, Miller DC, Schafer WD. Gender differences in risk taking: a meta-analysis. Psychological Bulletin, 1999; 125: 367.
15 Haines TP, McPhail S. Threat appraisal for harm from falls: insights for development of educationbased intervention. Open Longevity Science, 2011; 5: 1.
16 Hill AM, McPhail S, Hoffmann T et al. A randomized trial comparing digital video disc with written delivery of falls prevention education for older patients in hospital. Journal of the American Geriatrics Society, 2009; 57: 1458–1463.
17 Zhang JG, Ishikawa-Takata K, Yamazaki H, Ohta T. Is a type A behavior pattern associated with falling among the community-dwelling elderly? Archives of Gerontology and Geriatrics, 2004; 38: 145–152.
18 Kloseck M, Hobson S, Crilly R, Vandervoort A, Ward-Griffin C. The influence of personality on falling and engagement in daily activities by community-dwelling older adults. Physical & Occupational Therapy in Geriatrics, 2007; 26: 1–17.
19 Patton MQ. Qualitative Research & Evaluation Methods, 3rd edn. Thousand Oaks, CA, USA: Sage Publications, 2001.
20 Guba EG, Lincoln YS. Competing paradigms in qualitative research. Handbook of Qualitative Research, 1994; 2: 163–194.
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22 Jones CI. Why Have Health Expenditures as a Share of GDP Risen So Much? Mass, USA: National Bureau of Economic Research Cambridge, 2002.
23 Haines TP, Hill AM, Hill KD et al. Patient education to prevent falls among older hospital inpatients: a randomized controlled trial. Archives of Internal Medicine, 2011; 171: 516–524.
24 Janz NK, Becker MH. The Health Belief Model: a decade later. Health Education Quarterly, 1984; 11: 1–47.
25 Law M. The Person–Environment–Occupation model: a transactive approach to occupational performance. Canadian Journal of Occupational Therapy, 1996; 63: n1.
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Degree powers in graphs with a forbidden even cycle
Vladimir Nikiforov*
Department of Mathematical Sciences, University of Memphis,
Memphis, TN 38152, USA,
[email protected]
Submitted: Dec 27, 2008; Accepted: Aug 11, 2009; Published: Aug 21, 2009
Mathematics Subject Classifications: 05C35, 05C38
Abstract
Let $C_l$ denote the cycle of length $l$. For $p \geq 2$ and integer $k \geq 1$, we prove that the function
$$\phi(k, p, n) = \max \left\{ \sum_{u \in V(G)} d^p(u) : G \text{ is a graph of order } n \text{ containing no } C_{2k+2} \right\}$$
satisfies $\phi(k, p, n) = kn^p(1 + o(1))$. This settles a conjecture of Caro and Yuster. Our proof is based on a new sufficient condition for long paths.
1 Introduction
Our notation and terminology follow [1]; in particular, $C_l$ denotes the cycle of length $l$.
For $p \geq 2$ and integer $k \geq 1$, Caro and Yuster [3], among other things, studied the function
$$\phi(k, p, n) = \max \left\{ \sum_{u \in V(G)} d^p_G(u) : G \text{ is a graph of order } n \text{ without a } C_{2k+2} \right\}$$
and conjectured that
$$\phi(k, p, n) = kn^p(1 + o(1)). \tag{1}$$
The graph $K_k + \overline{K}_{n-k}$, i.e., the join of $K_k$ and $\overline{K}_{n-k}$, gives $\phi(k, p, n) > k(n-1)^p$, so to prove (1), a matching upper bound is necessary. We give such a bound in Corollary 3 below. Our main tool, stated in Lemma 1, is a new sufficient condition for long paths. This result has other applications as well, for instance, the following spectral bound, proved in [5]:
*This research has been supported by NSF Grant # DMS-0906634.
Let $G$ be a graph of order $n$ and $\mu$ be the largest eigenvalue of its adjacency matrix. If $G$ does not contain $C_{2k+2}$, then
$$\mu^2 - k\mu \leq k(n-1).$$
## 2 Main results
We write $|X|$ for the cardinality of a finite set $X$. Let $G$ be a graph, and $X$ and $Y$ be disjoint sets of vertices of $G$. We write:
- $V(G)$ for the vertex set of $G$ and $|G|$ for $|V(G)|$;
- $e_G(X)$ for the number of edges induced by $X$;
- $e_G(X,Y)$ for the number of edges joining vertices in $X$ to vertices in $Y$;
- $G-u$ for the graph obtained by removing the vertex $u \in V(G)$;
- $\Gamma_G(u)$ for the set of neighbors of the vertex $u$ and $d_G(u)$ for $|\Gamma_G(u)|$.
The main result of this note is the following lemma.
**Lemma 1** Suppose that $k \geq 1$ and let the vertices of a graph $G$ be partitioned into two sets $A$ and $B$.
(1) If
$$2e_G(A) + e_G(A,B) > (2k-2)|A| + k|B|,$$
then there exists a path of order $2k$ or $2k+1$ with both ends in $A$.
(2) If
$$2e_G(A) + e_G(A,B) > (2k-1)|A| + k|B|,$$
then there exists a path of order $2k+1$ with both ends in $A$.
Note that if we choose the set $B$ to be empty, Lemma 1 amounts to a classical result of Erdős and Gallai:
*If a graph of order $n$ has more than $kn/2$ edges, then it contains a path of order $k+2$.*
We postpone the proof of Lemma 1 to Section 3 and turn to two consequences.
**Theorem 2** Let $G$ be a graph with $n$ vertices and $m$ edges. If $G$ does not contain a $C_{2k+2}$, then
$$\sum_{u \in V(G)} d_G^2(u) \leq 2km + k(n-1)n.$$
**Proof** Let $u$ be any vertex of $G$. Partition the vertices of the graph $G-u$ into the sets $A = \Gamma_G(u)$ and $B = V(G) \setminus (\Gamma_G(u) \cup \{u\})$. Since $G$ contains no $C_{2k+2}$, the graph $G-u$ does not contain a path of order $2k+1$ with both ends in $A$. Applying Lemma 1, part (2), we see that
$$2e_{G-u}(A) + e_{G-u}(A,B) \leq (2k-1)|A| + k|B|,$$
and hence
$$\sum_{v \in A} d_{G-u}^2(v) \leq 2km + k(n-1)n.$$
and therefore,
\[
\sum_{v \in \Gamma_G(u)} (d_G(v) - 1) = \sum_{v \in \Gamma_G(u)} d_{G-u}(v) = 2e_{G-u}(A) + e_{G-u}(A, B)
\]
\[
\leq (2k-1)|A| + k|B|
\]
\[
= (2k-1)d_G(u) + k(n-d_G(u)-1).
\]
Rearranging both sides, we obtain
\[
\sum_{v \in \Gamma_G(u)} d_G(v) \leq kd_G(u) + k(n-1).
\]
Adding these inequalities for all vertices \(u \in V(G)\), we find out that
\[
\sum_{u \in V(G)} \sum_{v \in \Gamma_G(u)} d_G(v) \leq k \sum_{u \in V(G)} d_G(u) + k(n-1)n = 2km + k(n-1)n.
\]
To complete the proof of the theorem note that the term \(d_G(v)\) appears in the left-hand sum exactly \(d_G(v)\) times, and so
\[
\sum_{u \in V(G)} \sum_{v \in \Gamma_G(u)} d_G(v) = \sum_{v \in V(G)} d_G^2(v).
\]
Here is a corollary of Theorem 2 that gives the upper bound for the proof of (1).
**Corollary 3** Let \(G\) be a graph with \(n\) vertices. If \(G\) does not contain a \(C_{2k+2}\), then for every \(p \geq 2\),
\[
\sum_{u \in V(G)} d_G^p(u) \leq kn^p + O(n^{p-1/2}).
\]
**Proof** Letting \(m\) be the number of edges of \(G\), we first deduce an upper bound on \(m\). Theorem 2 and the AM-QM inequality imply that
\[
\frac{4m^2}{n} \leq \sum_{u \in V(G)} d_G^2(u) \leq 2km + k(n-1)n,
\]
and so,
\[
m \leq -kn + n\sqrt{k(n-1)} + k^2 < n\sqrt{kn}.
\] (4)
Note that much stronger upper bounds on \(m\) are known (e.g., see [2] and [6]), but this one is simple and unconditional.
Now Theorem 2 and inequality (4) imply that
\[
\sum_{u \in V(G)} d_G^p(u) < \sum_{u \in V(G)} n^{p-2}d_G^2(u) < kn^p + 2kmn^{p-2} < kn^p + 2(kn)^{3/2}n^{p-2}
\]
\[
= kn^p + O(n^{p-1/2}),
\]
completing the proof. \(\square\)
Note that we need only part (2) of Lemma 1 to prove Theorem 2 and Corollary 3. However, part (1) of Lemma 1 may have also applications, as shown in [5].
3 Proof of Lemma 1
To simplify the proof of Lemma 1 we state two routine lemmas whose proofs are omitted.
**Lemma 4** Let $P = (v_1, \ldots, v_p)$ be a path of maximum order in a connected non-Hamiltonian graph $G$. Then $p \geq d_G(v_1) + d_G(v_p) + 1$.
**Lemma 5** Let $P = (v_1, \ldots, v_p)$ be a path of maximum order in a graph $G$. Then either $v_1$ is joined to two consecutive vertices of $P$ or $G$ contains a cycle of order at least $2d_G(v_1)$.
**Proof of Lemma 1** For convenience we shall assume that the set $B$ is independent. Also, we shall call a path with both ends in $A$ an $A$-path.
**Claim 6** If $G$ contains an $A$-path of order $p > 2$, then $G$ contains an $A$-path of order $p - 2$.
Indeed, let $(v_1, \ldots, v_p)$ be an $A$-path. If $v_2 \in B$, then $v_3 \in A$, and so $(v_3, \ldots, v_p)$ is an $A$-path of order $p - 2$. If $v_{p-1} \in B$, then $v_{p-2} \in A$, and so $(v_1, \ldots, v_{p-2})$ is an $A$-path of order $p - 2$. Finally, if both $v_2 \in A$ and $v_{p-1} \in A$, then $(v_2, \ldots, v_{p-1})$ is an $A$-path of order $p - 2$.
The proofs of the two parts of Lemma 1 are very similar, but since they differ in the details, we shall present them separately.
**Proof of part (1)**
From Claim 6 we easily obtain the following consequence:
**Claim 7** If $G$ contains an $A$-path of order $p \geq 2k$, then $G$ contains an $A$-path of order $2k$ or $2k + 1$.
This in turn implies
**Claim 8** If $G$ contains a cycle $C_p$ for some $p \geq 2k + 1$, then $G$ contains an $A$-path of order $2k$ or $2k + 1$.
Indeed, let $C = (v_1, \ldots, v_p, v_1)$ be a cycle of order $p \geq 2k + 1$. The assertion is obvious if $C$ is entirely in $A$, so let assume that $C$ contains a vertex of $B$, say $v_1 \in B$. Then $v_2 \in A$ and $v_p \in A$; hence, $(v_2, \ldots, v_p)$ is an $A$-path of order at least $2k$. In view of Claim 7, this completes the proof of Claim 8.
To complete the proof of part (1) we shall use induction on the order of $G$. First we show that condition (2) implies that $|G| \geq 2k$. Indeed, assume that $|G| \leq 2k - 1$. We have
$$|A|^2 - |A| + |A||B| \geq 2e_G(A) + e_G(A,B) > (2k - 2)|A| + k|B|$$
and so,
$$|G|(|A| - k) = (|A| + |B|)(|A| - k) > (k - 1)|A|.$$
Hence, we find that
\[
(2k - 1) (|A| - k) > (k - 1) |A|
\]
and so, \(|A| > 2k - 1\), a contradiction with \(|A| \leq |G|\).
The conclusion of Lemma 1, part (1) follows when \(|G| \leq 2k - 1\) since then the hypothesis is false. Assume now that \(|G| \geq 2k\) and that the Lemma holds for graphs with fewer vertices than \(G\). It is easy to see that this assumption implies the assertion if \(G\) is disconnected. Indeed, let \(G_1, \ldots, G_s\) be the components of \(G\). Assuming that \(G\) has no \(A\)-path of order \(2k + 1\), the inductive assumption implies that each component \(G_i\) satisfies
\[
2e_{G_i}(A_i) + e_{G_i}(A_i, B_i) \leq (2k - 2)|A_i| + k|B_i|,
\]
where
\[
A_i = A \cap V(G_i) \quad \text{and} \quad B_i = B \cap V(G_i).
\]
Summing (5) for \(i = 1, \ldots, s\), we obtain a contradiction to (2).
Thus, to the end of the proof we shall assume that \(G\) is connected. Also, we can assume that \(G\) is non-Hamiltonian. Indeed, in view of Claim 8, this is obvious when \(|G| > 2k\). If \(|G| = 2k\) and \(G\) is Hamiltonian, then no two consecutive vertices along the Hamiltonian cycle belong to \(A\), and since \(B\) is independent, we have \(|B| = |A| = k\). Then
\[
k(2k - 1) \geq 2e_G(A) + e_G(A, B) > (2k - 2)|A| + k|B| = k(2k - 1),
\]
contradicting (2). Thus, we shall assume that \(G\) is non-Hamiltonian.
The induction step is completed if there is a vertex \(u \in B\) such that \(d_G(u) \leq k\). Indeed the sets \(A\) and \(B' = B \setminus \{u\}\) partition the vertices of \(G - u\) and also
\[
2e_{G-u}(A) + e_{G-u}(A, B) = 2e_G(A) + e_G(A, B) - d_G(u) > (2k - 2)|A| + k|B| - k \\
= (2k - 2)|A| + k|B'|;
\]
hence \(G - u\) contains an \(A\)-path of order at least \(2k\), completing the proof. Thus, to the end of the proof we shall assume that
\[
(a) \quad d_G(u) \geq k + 1 \text{ for every vertex } u \in B.
\]
For every vertex \(u \in A\), write \(d'_G(u)\) for its neighbors in \(A\) and \(d''_G(u)\) for its neighbors in \(B\). The induction step can be completed if there is a vertex \(u \in A\) such that \(2d'_G(u) + d''_G(u) \leq 2k - 2\). Indeed, if \(u\) is such a vertex, note that the sets \(A' = A \setminus \{u\}\) and \(B\) partition the vertices of \(G - u\) and also
\[
2e_{G-u}(A) + e_{G-u}(A, B) = 2e_G(A) + e_G(A, B) - 2d'_G(u) - d''_G(u) \\
> (2k - 2)|A| + k|B| - 2k + 2 \\
= (2k - 2)|A'| + k|B|;
\]
hence \(G - u\) contains an \(A\)-path of order at least \(2k\), completing the proof. Hence we have \(2d'_G(u) + d''_G(u) \geq 2k - 1\), and so \(d_G(u) \geq k\). Thus, to the end of the proof, we shall assume that:
(b) \( d_G(u) \geq k \) for every vertex \( u \in A \).
Select now a path \( P = (v_1, \ldots, v_p) \) of maximum length in \( G \). To complete the induction step we shall consider three cases: (i) \( v_1 \in B, \ v_p \in B \); (ii) \( v_1 \in B, \ v_p \in A \), and (iii) \( v_1 \in A, \ v_p \in A \).
**Case (i):** \( v_1 \in B, \ v_p \in B \)
In view of assumption (a) we have \( d_G(v_1) + d_G(v_p) \geq 2k + 2 \), and Lemma 4 implies that \( p \geq 2k + 3 \). We see that \( (v_2, \ldots, v_{p-1}) \) is an \( A \)-path of order at least \( 2k + 1 \), completing the proof by Claim 7.
**Case (ii):** \( v_1 \in B, \ v_p \in A \)
In view of assumptions (a) and (b) we have \( d_G(v_1) + d_G(v_p) \geq 2k + 1 \), and Lemma 4 implies that \( p \geq 2k + 2 \), and so, \( (v_2, \ldots, v_p) \) is an \( A \)-path of order at least \( 2k + 1 \). This completes the proof by Claim 7.
**Case (iii):** \( v_1 \in A, \ v_p \in A \)
In view of assumption (b) we have \( d_G(v_1) + d_G(v_p) \geq 2k \), and Lemma 4 implies that \( p \geq 2k + 1 \). Since \( (v_1, \ldots, v_p) \) is an \( A \)-path of order at least \( 2k + 1 \), by Claim 7, the proof of part (A) of Lemma 1 is completed.
**Proof of part (2)**
From Claim 6 we easily obtain the following consequence:
**Claim 9** If \( G \) contains an \( A \)-path of odd order \( p \geq 2k + 1 \), then \( G \) contains an \( A \)-path of order exactly \( 2k + 1 \).
From Claim 9 we deduce another consequence:
**Claim 10** If \( G \) contains a cycle \( C_p \) for some \( p \geq 2k + 1 \), then \( G \) contains an \( A \)-path of order exactly \( 2k + 1 \).
Indeed, let \( C = (v_1, \ldots, v_p, v_1) \) be a cycle of order \( p \geq 2k + 1 \). If \( p \) is odd, then some two consecutive vertices of \( C \) belong to \( A \), say the vertices \( v_1 \) and \( v_2 \). Then \( (v_2, \ldots, v_p, v_1) \) is an \( A \)-path of odd order \( p \geq 2k + 1 \), and by Claim 9 the assertion follows. If \( p \) is even, then \( p \geq 2k + 2 \). The assertion is obvious if \( C \) is entirely in \( A \), so let assume that \( C \) contains a vertex of \( B \), say \( v_1 \in B \). Then \( v_2 \in A \) and \( v_p \in A \); hence \( (v_2, \ldots, v_p) \) is an \( A \)-path of odd order at least \( 2k + 1 \), completing the proof of Claim 10.
To complete the proof of Lemma 1 we shall use induction on the order of \( G \). First we show that condition (3) implies that \( |G| \geq 2k + 1 \). Indeed, assume that \( |G| \leq 2k \). We have
\[
|A|^2 - |A| + |A||B| \geq 2e_G(A) + e_G(A,B) > (2k - 1)|A| + k|B|
\]
and so,
\[
|G|(|A| - k) = (|A| + |B|)(|A| - k) > k|A|.
\]
Hence, we find that \(2k \left(|A| - k\right) > k |A|\), and \(|A| > 2k\), contradicting that \(|A| \leq |G|\).
The conclusion of Lemma 1, part (2) follows when \(|G| \leq 2k\) since then the hypothesis is false. Assume now that \(|G| \geq 2k + 1\) and that the assertion holds for graphs with fewer vertices than \(G\). As in part (1), it is easy to see that this assumption implies the assertion if \(G\) is disconnected, so to the end of the proof we shall assume that \(G\) is connected. Also, in view of Claim 10 and \(|G| \geq 2k + 1\), we shall assume that \(G\) is non-Hamiltonian.
The induction step is completed if there is a vertex \(u \in B\) such that \(d_G(u) \leq k\). Indeed the sets \(A\) and \(B' = B \setminus \{u\}\) partition the vertices of \(G - u\) and also
\[
2e_{G-u}(A) + e_{G-u}(A,B) = 2e_G(A) + e_G(A,B) - d_G(u)
\]
\[
> (2k-1)|A| + k|B| - k
\]
\[
= (2k-1)|A| + k|B'|;
\]
hence \(G - u\) contains an \(A\)-path of order \(2k + 1\), completing the proof. Thus, to the end of the proof we shall assume that:
(a) \(d_G(u) \geq k + 1\) for every vertex \(u \in B\).
For every vertex \(u \in A\), write \(d'_G(u)\) for its neighbors in \(A\) and \(d''_G(u)\) for its neighbors in \(B\). The induction step can be completed if there is a vertex \(u \in A\) such that \(2d'_G(u) + d''_G(u) \leq 2k - 1\). Indeed, if \(u\) is such a vertex, note that the sets \(A' = A \setminus \{u\}\) and \(B\) partition the vertices of \(G - u\) and also
\[
2e_{G-u}(A) + e_{G-u}(A,B) = 2e_G(A) + e_G(A,B) - 2d'_G(u) - d''_G(u)
\]
\[
> (2k-1)|A| + k|B| - 2k + 1
\]
\[
= (2k-1)|A'| + k|B|;
\]
hence \(G - u\) contains an \(A\)-path of order \(2k + 1\), completing the proof. Thus, to the end of the proof, we shall assume that:
(b) \(d_G(u) \geq k\) for every vertex \(u \in A\) and if \(u\) has neighbors in \(B\), then \(d_G(u) \geq k + 1\).
Select now a path \(P = (v_1, \ldots, v_p)\) of maximum length in \(G\). To complete the induction step we shall consider three cases: (i) \(v_1 \in B\), \(v_p \in B\); (ii) \(v_1 \in B\), \(v_p \in A\), and (iii) \(v_1 \in A\), \(v_p \in A\).
**Case (i):** \(v_1 \in B\), \(v_p \in B\)
In view of assumption (b) we have \(d_G(v_1) + d_G(v_p) \geq 2k + 2\), and Lemma 4 implies that \(p \geq 2k + 3\). If \(p\) is odd, we see that \((v_2, \ldots, v_{p-1})\) is an \(A\)-path of order at least \(2k + 1\), and by Claim 9, the proof is completed.
Suppose now that \(p\) is even. Applying Lemma 5, we see that either \(G\) has a cycle of order at least \(2d_G(v_1) \geq 2k + 2\), or \(v_1\) is joined to \(v_i\) and \(v_{i+1}\) for some \(i \in \{2, \ldots, p - 2\}\). In the first case we complete the proof by Claim 10; in the second case we see that the sequence
\((v_2, v_3, \ldots, v_i, v_1, v_{i+1}, v_{i+2}, \ldots, v_{p-1})\)
is an $A$-path of order $p - 1$. Since $p - 1$ is odd and $p - 1 \geq 2k + 3$, the proof is completed by Claim 9.
**Case (ii):** $v_1 \in B$, $v_p \in A$
In view of assumptions $(a)$ and $(b)$ we have $d_G(v_1) + d_G(v_p) \geq 2k + 1$, and Lemma 4 implies that $p \geq 2k + 2$. If $p$ is even, we see that $(v_2, \ldots, v_{p-1})$ is an $A$-path of order at least $2k + 1$, and by Claim 9, the proof is completed.
Suppose now that $p$ is odd. Applying Lemma 5, we see that either $G$ has a cycle of order at least $2d_G(v_1) \geq 2k + 2$, or $v_1$ is joined to $v_i$ and $v_{i+1}$ for some $i \in \{2, \ldots, p - 1\}$. In the first case we complete the proof by Claim 10; in the second case we see that the sequence
$$(v_2, v_3, \ldots, v_i, v_1, v_{i+1}, v_{i+2}, \ldots, v_p)$$
is an $A$-path of order $p$. Since $p$ is odd and $p \geq 2k + 2$, the proof is completed by Claim 9.
**Case (iii):** $v_1 \in A$, $v_p \in A$
In view of assumption $(b)$ we have $d_G(v_1) + d_G(v_p) \geq 2k$, and Lemma 4 implies that $p \geq 2k + 1$. If $p$ is odd, the proof is completed by Claim 9.
Suppose now that $p$ is even, and therefore, $p \geq 2k + 2$. If $v_2 \in A$, then the sequence $(v_2, \ldots, v_p)$ is an $A$-path of odd order $p - 1 \geq 2k + 1$, completing the proof by Claim 9. If $v_2 \in B$, we see that $v_1$ has a neighbor in $B$, and so, $d_G(v_1) \geq k + 1$.
Applying Lemma 5, we see that either $G$ has a cycle of order at least $2d_G(v_1) \geq 2k + 2$, or $v_1$ is joined to $v_i$ and $v_{i+1}$ for some $i \in \{2, \ldots, p - 2\}$. In the first case we complete the proof by Claim 10. In the second case we shall exhibit an $A$-path of order $p - 1$. Indeed, if $i = 2$, let
$$Q = (v_1, v_3, v_4, \ldots, v_p),$$
and if $i \geq 3$, let
$$Q = (v_3, \ldots, v_i, v_1, v_{i+1}, v_{i+2}, \ldots, v_p).$$
In either case $Q$ is an $A$-path of order $p - 1$. Since $p - 1$ is odd and $p - 1 \geq 2k + 1$, the proof is completed by Claim 9.
This completes the proof of Lemma 1. $\square$
**Acknowledgment** Thanks are due to Dick Schelp and Ago Riet for useful discussions on Lemma 1.
**References**
[1] B. Bollobás, *Modern Graph Theory*, Graduate Texts in Mathematics, **184**, Springer-Verlag, New York (1998), xiv+394 pp.
[2] J. A. Bondy and M. Simonovits, Cycles of even length in graphs, *J. Comb. Theory Ser. B* **16** (1974), 97–105.
[3] Y. Caro, R. Yuster, A Turán type problem concerning the powers of the degrees of a graph, *Electron. J. Comb.* 7 (2000), RP 47.
[4] P. Erdős, T. Gallai, On maximal paths and circuits of graphs, *Acta Math. Acad. Sci. Hungar.* 10 (1959), 337–356.
[5] V. Nikiforov, The spectral radius of graphs without paths and cycles of specified length, to appear in *Linear Algebra Appl*. Preprint available at arXiv:0903.535
[6] J. Verstraëte, On arithmetic progressions of cycle lengths in graphs, *Combin. Probab. Comput.* 9 (2000), 369–373.
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Middle School Handbook
2019-2020
Welcome from the Headmaster
I hope you will carefully read the guidelines and rules set out in this handbook. They outline the basic responsibilities that come with being a student at The Hun School, and they fairly balance the structure and the freedom appropriate for a community of learners.
More fundamentally than rules, though, our School is based on values: academic excellence, integrity, kindness, respect, trust, and commitment. In a nutshell, we expect that you will be considerate of others, and that you will ask much of yourself. Our community depends on your striving toward those standards, and so does the quality of your experience here.
Remember the rules, and don't forget the reasons that underlie them!
Please understand that no set of rules or guidelines can cover every conceivable situation that might arise. The rules, policies, and procedures set forth in the handbook are intended to apply under most circumstances, but some situations may require immediate or non- standard responses. The handbook does not limit the authority of The Hun School to deviate from the rules and procedures set forth in the handbook, or to deal with individual circumstances as they arise in the manner deemed most appropriate by the School. The policies may also be revised or updated periodically, even during the school year. Any student or parent with a question about any handbook policy or statement should feel free to speak with the Middle School head.
For more than a century, students have been this School's proudest asset. Now we are counting on your energy, talent, and simple human goodness to keep The Hun School tradition strong.
Best wishes for a happy and rewarding year!
Jonathan G. Brougham Headmaster
CONTENTS
Honor Code Penalties
16
Mission
The Hun School of Princeton empowers each student to thrive in a diverse and ever changing world, by nurturing resilient character, providing individual mentorship, and inspiring vigorous and joyful learning.
School Principles
Academic Excellence
Integrity Kindness Respect Trust Commitment
Parental Commitment
By enrolling a student in The Hun School, parents are expressing a belief in the philosophy and expectations of the School, as well as the professionalism of its faculty and administration. We expect parents to reinforce and support the School's rules pertaining to academic expectations and behavior.
Middle School Daily Schedule
The Daily Schedule for The Hun School of Princeton Middle School is shown above.
Special schedules are published by the administration for non-routine school days such as Convocation Day, service learning days, examination period days, assembly days, and early dismissal days.
Academic School Day
The school day extends from 8:25 a.m. to 3:15 p.m. on an eight-day cycle with classes of 45 or 50 minutes. Days are lettered A-H instead of being named Monday to Friday. Cold breakfast and lunch are provided daily for all students; the entire Middle School eats together and shares the Dining Hall with the Upper School (Middle School students may not eat lunch in Global Commons). Daily lunch menus are regularly posted on RaiderNet. The period after lunch rotates as follows: Monday – Advisory, Tuesday – Study and Support, Wednesday – Clubs, Thursday – Study and Support, Friday – Study and Support. All students are required to attend the end-of-day athletics period.
ATTENDANCE POLICIES
Regular school attendance is vital at The Hun School of Princeton, and students in good health are expected to attend school whenever possible. The School calendar is published well in advance of the school year so that parents and students may make personal plans that do not interfere with school time. We are responsive to individual situations and will excuse students to attend funerals, weddings, and religious services. We do not excuse students to extend vacations or take family trips. All requests for absences should be sent to the assistant to the Middle School head, as individual teachers do not excuse students from school. Students are expected to take the responsibility of meeting with their teachers for any planned absence to request missed work.
Absences and Lateness
If a student is going to be absent from school, parents are asked to telephone the Middle School office by 9:00 a.m. (609) 921-7600, extension 2247 and inform the assistant to the Middle School head as to the reason for the absence.
It is so important for Middle School age children to arrive to school early to give them time to organize their materials, seek extra help, and to prepare for the day. Students are asked to be at school by 8:15 a.m. in order to have enough time to prepare for the academic day. First period begins promptly at 8:25 a.m., except on Mondays when Morning Meeting begins at 8:15 a.m. Any student not in his or her seat at 8:25 a.m. will be considered late for school. Three lates will trigger a warning slip (see Discipline section).
Lateness to school is excused only for medical reasons, students arriving late to school due to the provided bus service, or due to mechanical problems with cars. In case of extreme weather conditions, allowances will be made.
Students arriving late to school must first report to the assistant to the Middle School head in the Middle School Office.
Illness
Students who become ill at school will be sent to the School nurse. They should alert the teachers of the classes they are currently in, or if between classes, the teachers of the classes in which they are scheduled next, unless the condition is serious enough to demand urgent and immediate attention. They should then report to the Middle School Office and the nurse will be called. Depending on their condition, the nurse may discharge students, allow them to remain in the health clinic, or arrange for them to return home. If the nurse deems it necessary for a student to remain in the health clinic through a class period change, the nurse so informs the Middle School Office. Failure on a student's part to communicate responsibly may result in disciplinary and academic consequences, including those for an unexcused absence.
Extended Absences
In the event that a student is absent from school for more than three academic days in a row for medical or mental health reasons, clearance to return to school must be provided by the responsible medical authorities in writing to the assistant to the Middle School head prior to the student returning to campus or to class. Failure to provide this documentation is grounds
for The Hun School to cancel an enrollment contract and require the student to leave school.
Closed Campus
Students must remain within the perimeter of the campus during the academic day unless on a faculty-directed group outing.
Departure From Campus or Early Dismissal
It is possible to be excused early for valid reasons by following this procedure:
1. Prior to first period, turn in a written request signed by a parent, or have a parent phone or email the assistant to the Middle School head.
2. A parent or guardian must report to the Middle School Office and sign the student out. Students will not be allowed to leave the office without an adult signing them out in-person.
3. If the student returns to campus, he or she must immediately report to the Middle School Office to sign in. Students may not return for evening social events unless the dismissal included a doctor's note.
Absences and Academic Credit
A student with twelve or more absences in a given year is subject to failing the course for the year. In such instances, the Middle School Head's Advisory Group will review the case and make a recommendation to the Middle School head.
Absences and Homework
Homework for excused absences is posted on The Hun School website under the RaiderNet link. If the homework is not posted, please email the teacher directly (check the School directory for correct spelling of names), message the teacher through RaiderNet, or leave a voicemail for the teacher. If you need additional assistance, contact the Middle School Office, extension 2247.
School Closings
School closings due to weather or other emergencies will be communicated to each family through automated phone calls and emails. School closing information will also be posted on the School website. These closings will also be announced on radio stations WHWH [1350 AM], WCTC [1450 AM], WPST [94.5 FM], WKXW [101.5 FM], WMGQ [98.3 FM], and WBCB [1490 AM] and will also be listed on 6abc.com and nj1015.com. The answering machine on the School switchboard will provide closing information after 6:30 a.m.
Middle School Academics
Academic Expectations, Reports, and Honors
Curriculum Summary
* designates the number of class meetings during the 8-day cycle
Quarter and Semester Electives
In order to broaden their experiences and develop new interests, students participate in quarter and semester long electives. These ungraded courses vary from year to year based upon the interest of the students and faculty. Because enrollment is sometimes limited, students will be asked to make several choices each quarter.
Grades and Reports
The year is divided into three trimesters with grade reports sent to parents following each marking period. The final, or yearly grade in each course is the average of the three trimester grades. The maximum grade for any course is 100. Grades are numeric according to the following scale:
Letter Equivalent
Mid-Year Exams
A ninety-minute examination is administered for all academic courses at the end of the second trimester for the sixth grade and one-hour and forty-five minute exams for the seventh and eighth grades.
Exams are given for two reasons. Firstly, they provide the opportunity to review and reflect upon a trimester's worth of learning. Additionally, exams allow opportunity to improve important skills of collecting and synthesizing a large amount of material. Each teacher will have spent class time reviewing the work and provide the student with review materials. Prior to exams, teachers model the preparation needed for success with review sessions, study blocks, and mind/body breaks such as yoga and meditation.
Following the exams, teachers will help students reflect on how they prepared for the exam. Exam grades are weighted as 10% of the trimester grade. Exam conditions vary greatly by department (i.e. some are open notes, some are not, some are objective, some subjective or essay work). Dismissal on these days is usually at noon.
Academic Honors
The Honor Roll is determined by trimester GPA. Only full-year courses are used to calculate the Honor Roll. Honor Roll requirements are as follows:
Honors:
Average of 87 to 92, with no grade below 80
High Honors: Average of 93 or above with no grade below 85
Averages are not rounded to the nearest whole number for the honor roll.
Valedictory Awards
The Valedictory Award is presented to a member of the eighth-grade class who has earned the highest cumulative grade point average over the course of at least the previous two years as a student at The Hun School of Princeton. Students who transfer to The Hun School for the eighth grade or spend one or more trimesters away from the School are ineligible.
Homework
The primary purpose of homework is to reinforce or preview concepts explored in class. Students should expect to spend approximately twenty minutes per night on each subject. The effort put forth on assignments will provide the student with valuable practice opportunities. It will also provide the teacher with a more accurate profile of what the student is able to do. Students should do homework with as little assistance as possible. If, after conscientious effort, the student feels greatly in need of help, he or she should seek it.
Certain homework may be assigned on which no assistance should be obtained. The conditions under which this is done will be clearly outlined by the teacher. Some homework assignments may be intended as group projects or activities; these will be clearly indicated by the teacher.
Students who are absent are responsible for keeping up with assignments. When a student is absent, teachers will submit any work that cannot be found on RaiderNet to the Middle School Office so that it is ready for parents, siblings, or classmates to pick up in the office by 3:00 p.m. that afternoon. Students who are able to work at home during the absence should
do their best to complete assignments. If no one is able to pick up homework, upon return to school, the student should pick up his or her homework in the office. Students unable to complete homework because of illness will be given adequate time to do so after returning to school. Students returning to school after an absence are responsible to see their teachers as soon as possible to help them catch up with missed work.
Summer Reading
The Summer Reading Program is designed to maintain reading skills during the summer and to foster a life-long interest in reading. A complete list of summer reading books required for the various courses is distributed at the end of the academic year and is available on The Hun School website.
Academic Review
If students encounter difficulty in achieving academic success, they can and should expect full support from their teachers and advisor as they work to improve. The Hun School is committed to the individual success of every student in our community. However, at such a time, the student may also be placed on Academic Review in order to support their improvement. Following each marking period, the Middle School Head's Advisory Team meets to discuss students with an overall grade point average of 70 or below, with one or more failing grades, or with two or more grades in the 60s. The Team makes one of the following recommendations:
Academic Warning
Students are placed on Academic Warning when they have an average of 70 or below, are failing one or more courses, have two or more course grades in the 60s, or, at the discretion of the Middle School Head's Advisory Group. Parents of students on Academic Warning will receive a letter.
Academic Probation
A student failing two or more courses in a marking period, or who has been on Academic Warning without improvement for two consecutive marking periods could be placed on Academic Probation. Academic Probation indicates that a student's enrollment status is in immediate jeopardy, and without improvement, the student should not expect an invitation to re-enroll. Students placed on Academic Probation are required to attend an Action Plan meeting with their advisor, the Middle School head, and their parents.
Dismissal or Non-Renewal
In cases of continued academic difficulty without improvement, the Middle School Head's Advisory Group may recommend non-renewal or dismissal to the headmaster. Students who fail a course or have two or more grades in the 60s will be required to attend summer school before enrollment in the next grade. Students must pass English, math and complete the athletics requirement to be promoted to the next grade.
Sometimes, despite the best efforts of parents and the School, a student simply fails to thrive at The Hun School. When a student is continually unhappy, upset, or emotionally negative; regularly misses or is late to School obligations; persistently fails to complete work or duties; or generally does not make the effort needed to be a positively contributing member of our
community, he or she risks being required to leave the School. This is usually through a disciplinary action but may be an educational decision that conveys that the School and the student are not a good match for each other. The headmaster reserves the right at any time to ask a student to leave the School if he or she deems it in the best interest of the student in question or the School.
Extracurricular Adjustments
It is important to note that academic achievement is the School's priority. When students fail to meet their academic requirements in a satisfactory manner their participation in extracurricular activities may be reduced by the School. When students fail to keep up to date in assignments, tests, etc., academic advisors may recommend to the athletic director, activity sponsor, or Middle School head that participation be reduced until work is brought up to date. In an extreme situation, the Middle School head may remove a student from an extracurricular activity, event, or program if it is determined that such action is warranted to promote academic effort or success. It should be noted that the School expects all students to be able to succeed academically while participating in extracurricular activities.
Continuing Enrollment and Re-Enrollments
Each spring the School issues re-enrollment contracts to students for the following year. Reenrollment is not guaranteed and is at the discretion of the School. Students on disciplinary or academic probation may have their re-enrollment contracts held until evidence of improvement is apparent. Those students whose families have not met their financial commitment may also have their re-enrollment agreement withheld. Students who have withdrawn or have been separated from The Hun School and wish to return must re-apply through the Admissions Office.
Medical Withdrawal
The Hun School may, at any time, require the medical withdrawal of a student, and the School reserves the right to send any student home if extensive care becomes necessary, or if the School, in its sole discretion, views a medical withdrawal as the most appropriate response to a student's medical situation. It also reserves the right to review, assess, and make decisions on each individual case if a student is out of school for a prolonged period of time. In connection with a student's absence or return, the School, in its discretion, may require communication from a health professional.
The Hun School Honor Code
The foundation of any academic institution is the expectation that work is done and students conduct themselves in an honorable and ethical fashion. When all members of a community of scholars take honorable work and behavior seriously, there is a sense of trust and respect built among all members. When some members of the community do not conduct themselves honorably, the mutual trust and respect begin to break down. Therefore, all members of The Hun School community are expected to live by The Hun School Honor Code. The value of a Hun School education is partly dependent on the reputation of the School for setting high standards of honor among its students.
The Hun School Honor Code Philosophy: As a student at The Hun School of Princeton, I seek knowledge with honor. I am committed to achieving academic excellence while demonstrating respect, kindness, integrity, and trust both in and out of school. I understand that the success of my education is directly tied to submitting my own work, and that is the only way that I can improve.
The Hun School Honor Code: I pledge on my honor not to lie, cheat, or steal and to support my classmates in doing the same.
The Hun School Honor Pledge: To demonstrate my support for this code, I will include on all tests, quizzes, papers, and exams the following statement: "By signing my name, I attest that whether or not this is my best work, it is my work, and I am proud of that." I will also write "On my honor" as an abbreviation of the full Honor Code, on all other work that bears my name.
The Honor Code and Homework
Homework often presents a confusing Honor Code situation. Most homework is given as a learning experience and it is all right for you to get help in completing it. However, it is an Honor Code violation to get help with graded assignments given to measure what you have learned or what skills you have mastered. Examples include:
* Getting help solving math problems for which you will receive a grade.
* Getting help editing an essay, term, or research paper when the teacher has indicated you will be graded on your ability to write, spell, and use proper grammar. Note: Make sure you always know if it is permissible to use the Peer Tutoring Center for help on an assignment.
* Copying or paraphrasing another student's work in whole or in part.
* Turning someone else's work in as your own.
* Giving help to another student working on an assignment that will be graded and the teacher has indicated that the student must work alone.
As a general rule, any attempt to make yourself look academically better than you are by getting help on, or being deceptive about, graded assignments is dishonorable.
The Honor Code and Tests
Obtaining, or giving, unfair help with quizzes and tests is an Honor Code violation. Examples include:
* Discussing a quiz or test with someone who has taken that quiz or test already in an earlier class period.
* Bringing hidden notes and using them during a test or quiz. Having such notes in your possession indicates the intent to cheat and is therefore dishonorable.
* Looking at another student's work during a test or quiz.
* Communicating with another student through any kind of noise, silent signal, or the use of technology during a quiz or test. This includes allowing another student to see and copy your work.
* Stealing or obtaining a copy of a quiz or test before it is administered.
The Honor Code and Plagiarism
In doing homework, it is also important to avoid the problem of plagiarism. Plagiarism is defined in Webster's New World Dictionary online as, "the act of copying or stealing someone else's words or ideas and passing them off as your own work." Please note that the use of another person's ideas can also be plagiarism. Examples (provided by Plagiarism.org) include:
* Turning in someone else's work as your own.
* Copying words or ideas from someone else without giving proper credit.
* Failing to put a quotation in quotation marks.
* Giving incorrect information about the source of a quotation.
* Changing words but copying the sentence structure and meaning of a passage without giving credit.
* Copying so many words or ideas from a source that it makes up the majority of your work, whether you give credit or not.
Please note: Plagiarism can occur in any department and any class. Students may not write expository essays in their biology class, but plagiarism is possible, and students must be careful to use their own language and ideas and to credit their sources when they do not.
Preventing Plagiarism
The purpose of documenting sources is to give credit to the people who provided information for your paper. Remember that each teacher may have different requirements for documentation (what and how). One of your most important jobs is to know what your teacher's requirements are for documenting your sources. In addition, steps to take to avoid plagiarism include:
* Consulting with your teacher: don't guess or assume – ask.
* Planning your work or paper ahead of time: plagiarism often happens when students are disorganized and rushing.
* Taking effective notes: make sure you know which language and ideas belong to another source and make note of that source.
* Knowing how to paraphrase: don't simply replace one or two key words in a sentence written by another. Put the information into your own words. Credit the source.
* When in doubt, cite your sources
The Honor Code and the Library and Media Center
Because the Library and Media Center is central to the academic program and we want all students to have equal access to its materials, it is an Honor Code violation any time you
improperly take materials belonging to the Library and Media Center to keep others from using those materials.
The Honor Code and Science Lab Reports
While you work in the lab with a partner and each of you has the exact same data to report, the conclusions you draw, especially their wording, are expected to be your own. Copying or paraphrasing the conclusion from anyone else's Lab Report is a violation of the Honor Code.
The Honor Code, Technology, and the Internet
Be sure to read the Acceptable Use Policy for Electronic Devices and Information Resources in this book. Inappropriate use of the information obtained from local computers or the Internet may result in violations of either the Honor Code of the Discipline Code.
Students who use their devices (cell phone, tablet, or laptop) in any way during a test, quiz, or exam without permission from the teacher or proctor will be brought to the Middle School head. All technology should be left outside of an exam unless the teacher has instructed otherwise.
Honor Code Violations
The concept of honor and respect for the Honor Code, and adherence to it, cannot be separated. It is essential that faculty and students take action when they witness dishonorable conduct. To ignore infractions of the Honor Code is to condone them. We recognize that taking such action is serious and difficult. In recognition of this, the Honor Code encourages us to respond in the following ways:
1. Approach the individual involved and communicate clearly that you witnessed a violation. Ask the student to do the honorable thing and report him or herself, or inform the student of your intention to do so.
2. Report the individual to one of the following:
a. The Middle School head
b. A member of the faculty
Any professional staff member who receives information about an honor violation must take the matter to the Middle School head, who will then decide how to proceed. What must be remembered is that giving away your integrity is easy; earning it back is very difficult. Although acting honorably may appear to be a hard road to follow, in the end, integrity is one's most valuable possession. All of us make mistakes. Be sure not to compound problems by acting dishonorably.
Honor Code Penalties
Each case of an Honor Code infraction is handled individually, and our goal is for the students to learn from his or her mistake, but generally three things happen:
* The student has a conference with the Middle School head.
* Parents are notified.
* Appropriate consequence is levied.
o A grade of F is routinely given for any work involved.
o The student might receive a detention to complete an appropriate exercise to reinforce his or her understanding of the Honor Code.
o Suspension is a possible punishment for a repeated honor offense.
No specific mention of the individual involved is made public to the student body, but the faculty is notified.
o Separation from the School is possible at the headmaster's discretion.
It is important to remember that lying, or being misleading, about your involvement in any dishonorable situations is a further dishonorable action.
Student Support Services
Academic Support
Faculty Advisors
Each student is assigned a faculty advisor who serves both as a liaison between the student and the School and also as a supporter of the student in her or his work at The Hun School. The advisor supports the student's curricular, extracurricular, and social progress, raises concerns, gives encouragement, and applauds achievements. Advisor groups may engage in activities such as getting-to-know-each-other exercises, setting goals, reflecting on progress, helping improve organization, helping build positive relationships, and other relevant socialemotional topics.
Each advisor is responsible for a group of eight to ten students from all three grades levels. While it is possible to have the same advisor for each year, we believe that it is most beneficial for students to experience relationships with as many different adults as possible during their time in the Middle School. Advisors typically call parents at the beginning of the year and when a significant event occurs that parents need to know about.
Students meet with their advisors for special programs and also convene for one 37-minute advisory period per week. Advisors supplement these sessions with individual meetings as appropriate and will also see their advisees during Study and Support periods.
Although parents are encouraged to communicate directly with teachers for academic issues related to a particular class, a student's advisor is a point of contact for questions related to general school life or overall academic progress for students.
Student Success Teams
During the academic year, advisors and core-subject teachers of each grade will meet to discuss students who may need extra support to improve. The Middle School counselor and the student's advisor will counsel students on all aspects of academic and extracurricular matters and facilitate their access to the various academic support services.
Learning Lab in Buck
The Learning Lab is a resource available to students to support their achievement in content area courses. The Center is open after the last academic period from 3:15 p.m. until 4:00 p.m., Monday through Thursday. Students may make appointments through the Middle School Support Specialist for specific help or participate on a drop-in basis. Students may also be referred to the Learning Lab by their teachers, by their advisors, or their parents.
Academic Learning Skills Program
The Hun School's Academic Learning Skills Program (ALSP) offers academic, personal management, and executive function skills instruction within the context of a college preparatory curriculum. The program's goal is to help students with a professionally diagnosed learning difference develop the strategies necessary to meet their academic goals and acquire the necessary skills to become independent lifelong learners.
The ALSP provides an individualized curriculum to teach students compensatory skills, study strategies, and self-advocacy techniques while preparing the student for college. Along with academic and study skills instruction the program seeks to monitor the ALSP student's progress by providing ongoing collaboration with classroom teachers to address a variety of learning styles to maximize student achievement.
All students who apply to the ALSP are required to follow the application procedures outlined by the Hun School Admissions Office. Additionally, the School requests that candidates provide the psycho-educational evaluation that documents the learning difference and the Wechsler Intelligence Scale for Children (WISC) subtest scores as indicators of learning potential. The ALSP serves those who will benefit from the program's skill-based instruction while fully immersed in the School's college preparatory program and fulfilling all School requirements for graduation.
Consistent with the Mission of the School, the ALSP provides instruction, which is directed, to the student's specific learning differences by developing and implementing an individualized curriculum that is dedicated to the growth and development of the individual. The (Tier 1) ALSP is a full year, graded, one credit class. A (Tier 2) ALSP is offered to students who have completed one year of the Tier 1 program and are able to transition to a half-credit part-time program. An additional fee is charged for both programs.
Policy on the Documentation of Learning Issues and in Requesting Accommodations
In granting basic accommodations to students with documented disabilities in a fair and reasonable way, The Hun School adheres to the guidelines adapted from the College Board in accepting documentation and in granting accommodations for learning disabilities, Attention-Deficit/Hyperactivity Disorder, and psychiatric disabilities.
Students should submit documentation before September 1 in order to receive accommodations by the start of the school year. Students who are diagnosed with a disability during the school year should provide the appropriate documentation to the director of academic support services in order to arrange for accommodations. The Hun School does not offer psychological or educational testing, but we can refer students to several qualified and respected local agencies.
The following guidelines provide an example of the documentation requirements specific to the documentation of a learning disability. Documentation requirements for Attention Deficit/Hyperactivity Disorder and for psychiatric disabilities require similar guidelines:
* A qualified professional must conduct the evaluation.
* Documentation must be current.
* Documentation must include a specific diagnosis.
* Documentation to support the diagnosis must be comprehensive.
* A rationale for requested accommodations must be provided.
For more specific documentation requirements for learning issues, ADHD and for psychiatric disorders, including criteria for diagnosis and acceptable rationale for accommodations, please see the College Board policies on their website at https://www.collegeboard.org/students-with-disabilities/documentationguidelines
Confidentiality Statement: The Hun School will maintain the confidentiality of all evaluations and documentation it receives and will not release any part of the documentation outside of the school context without the student's or family's informed consent.
Standardized Testing
The Comprehensive Test Program 5 (CTP 5) is administered to sixth, seventh, and eighth grade students in the fall trimester. The CTP 5 exam, published by Educational Records Bureau, is a series of tests designed to assess verbal and quantitative abilities and achievement through a multiple-choice format.
The major purpose of the testing program is to learn students' strengths and areas for improvement as well as afford the Middle School faculty an opportunity to compare the effectiveness of the curricula in grades 6, 7, and 8. The national and independent school norms allow each grade to monitor progress over the three years of the program. Because student assessment in middle school is largely performance-based through written and spoken demonstrations of learning, another purpose of the testing program is to give students practice in taking multiple-choice tests in a low risk and relatively comfortable setting. The scores are used internally and are reported only to parents and Middle School teachers.
Library and Media Center
Located in the center of the Chesebro Academic Center, the Perry K. Sellon Information Center serves both Upper School and Middle School students. Its rich resources allow for the pursuit of academic interests and provide areas for quiet reading and reflection. Classes use the library for instruction and research, thereby developing an understanding of new technologies. The librarian works with teachers regularly to enhance content area programs. To ensure competency and independence, all sixth and ninth grade students participate in an introduction to library services through their history course.
In addition to the book collection, the Online Public Access Catalog enables users to locate materials in the Sellon Information Center easily through keyword searching. The collection
is further extended through the use of State inter-library loan services, where students and faculty may borrow books from libraries throughout the State. A regional delivery system ensures a timely receipt of materials as the Center receives two deliveries a week from any library in the State. A network of databases supports student and faculty research. Titles vary from encyclopedias to periodical indexes to specialized products in the areas of literature, poetry, history, art, music, math, and science. Research may also be conducted in languages other than English.
Library hours are 7:30 a.m. - 5:00 p.m. and 7:45 p.m. - 9:45 p.m., Monday through Thursday, and 7:30 a.m. - 3:30 p.m. on Friday.
Counseling Support Services
Counseling Support Services
Our full time Middle School counselor provides services to students, parents, staff, and the community in the following areas:
Direct Services with Students
Direct services are in-person interactions between Hun School counselors and students and include the following:
* School Advisory Program – This curriculum consists of structured lessons designed to assist students attain the desired competencies and to provide all students with the knowledge, attitudes, and skills appropriate for their developmental level. The Hun School counseling program is systematically embedded into our advisory and in collaboration with our teachers in their classroom and group activities.
* Individual Student Planning – The Middle School counselor coordinates ongoing systemic activities designed to assist students in establishing personal goals and developing future plans for success and personal growth.
Responsive Services
Responsive services are activities designed to meet students' immediate needs and concerns. Responsive services may include counseling in individual or small-group settings or crisis response. At these times, students may talk in a relaxed and confidential manner with our counselor about any problem they may be having, including issues with friends, school stress, time management, sports, academic difficulties, or other serious issues.
Indirect Services for Students and Parents
Indirect services are provided on behalf of students as a result of The Hun School counselors' interactions with others including referrals for additional assistance, consultation and collaboration with parents, teachers, other educators, and community organizations. Our counselor understands the stressors involved in raising independent young teens. The middle school years bridge a delicate span between childhood and adulthood. As a member of our Hun School community, our counselor welcomes you to become involved in our parent activities in a variety of ways:
* Our "Parent Learning Community" on RaiderNet provides our parents with an online forum to share celebrations as well as suggestions addressing developmental aspects of caring for healthy adolescents.
* Parent meetings, facilitated by our counselor, allow family members a unique opportunity to get to know each other in a small group setting. We feel each of our families is an integral part of our larger Hun School community. Our meetings provide a wonderful support network as we work together to help your child navigate personal choices.
* Student-led parent discussions may address issues such as technology concerns, Internet responsibility, family dynamics, and peer relations. These evening programs will allow parents and students an opportunity to discuss current topics and share viewpoints in a non-challenging, accepting environment.
* Individual parent consultation is always available by phone. Sometimes adults need a little reassurance or guidance on how to best handle sensitive issues that affect adolescents during the middle school years. It can be painful, at times, to see your child struggle. Or perhaps, a larger concern is impacting you and your family. We encourage you to contact the Middle School counselor for a confidential consultation.
Drug and Alcohol Counseling
The Counseling Office also offers drug and alcohol counseling services to students. The School employs a certified addiction specialist, who may conduct assessments concerning a student's alcohol or drug use, provide counseling and information to students, or make referrals for more intensive treatment programs. Information about these students will remain confidential within professional and legal guidelines.
Health Service
Health Form
The Hun School of Princeton requires each student to submit all health forms prior to the opening of school. These forms are made available online to families in the summer, and students may not attend school until they have been properly completed, signed, and returned to the Health Clinic at The Hun School of Princeton.
Health Clinic
The clinic is located on the first floor of Russell Hall. A registered nurse is available for emergency and acute care 24 hours daily, 7 days a week when School is in session. Nonemergency treatment is provided during routine open clinic hours throughout the Middle School day. For acute care or emergencies, the nurse can be contacted by the Middle School Office, as well as by any teacher.
Privacy
The Hun School will maintain appropriate administrative, technical, and physical safeguards to protect the security of all health-related and counseling information within its care or custody. While it is the obligation of The Hun School to safeguard student medical information, we must also balance matters of privacy and confidentiality with safeguarding the interests and wellbeing of our students and our community. Therefore, parents, guardians, and students consent to provide employees and agents of The Hun School access to students' medical, psychological, or counseling information, as necessary in order to serve the students' best interests. The Hun School will endeavor to maintain appropriate confidentiality and limit the group of individuals with informational access to those who need it.
Community Life
Citizenship
The development of proper character and citizenship is an important part of the School's mission. We require all students to conduct themselves in a manner that reflects the values and ideals of the School. Attendance at The Hun School is a statement of acceptance of these principles by parents and students alike.
Statement of Diversity
At The Hun School, we view diversity as a positive aspect of our lives and an essential aspect of education. The students, staff, parents, Board of Trustees, and friends of the School recognize and respect the fact that diversity exists in the languages we speak, the colors of our skin, our gender and age, the traditions we observe, the structure of our families, the financial and educational resources in our families, and the special needs we may have. We believe that our separate heritages, beliefs, and choices of expression help to define us as individuals, and that our commitment to learning about one another and the larger world unites us as a community.
The Hun School assumes an ongoing responsibility to act as part of a larger community. In our recruitment of families, faculty, and staff, we strive to create a community whose members reflect the diversity inherent in our geographic area, as well as the world. In our curriculum, assembly programs, special events, guest lectures, weekend activities, and extracurricular activities, we work to further our commitment to diversity.
We view the family as the primary source of traditions, celebrations, and values for students. The role of the School is to affirm that each individual has a distinct identity and to help students appreciate their own identities and those of others. We believe that the education we provide will enable students to value themselves while preparing them to participate with pride and confidence in a rich, complex society. We recognize that working to provide such an experience requires dedication and an ongoing commitment of time, energy, and resources.
Founded on the principle of respect, The Hun School is a place where students can listen, question, challenge, probe, and thereby make sense of their world. When students graduate from the School, we hope they will carry with them a strong sense of their identity, a willingness to see the common threads that run through all our lives, and a high regard for the value and breadth of differences.
Athletic Requirements
Team sports activities play an important role in the overall curriculum at The Hun School. These activities offer students unique opportunities to discover and enhance strengths and abilities outside the classroom. Supporting the needs of a student community with a broad variety of interests and talents, extracurricular activities enjoy wide participation and enrich the community throughout the year.
Three-season athletic participation, including games, is required of all Hun Middle School students so that students can participate fully in school life and give back to the School's teams with their personal talents. As an essential part of the Middle School curriculum, athletic participation is accomplished through a wide variety of athletic choices offered during three seasons. Although we expect to be competitive with other teams, we emphasize participation, sportsmanship, enthusiasm, and skill development. Some teams have a "no cut" policy, while others may restrict membership due to facility and interscholastic competition limitations. At the heart of the athletic program in the Middle School is skills development, but careful attention is also placed on the development of sportsmanship concepts, team cooperation, and self-confidence. We offer interscholastic play as well as an opportunity for students to develop coordination and athletic skills in physical education. The athletic director and varsity coaches provide assistance and instruction to the Middle School faculty in all sports to insure safe and proper techniques for the full enjoyment of each activity.
Each student is responsible for providing his or her own athletic gear, including, but not limited to appropriate footwear, socks, mesh shorts, and shirt. Students must also supply their own additional equipment in the sports that require additional clothing, protective equipment, sticks, or racquets. During cold climate times, students should have sweatshirts and sweatpants. Students who neglect to bring required athletic gear on a given day should
report to their coach for appropriate assignments. Students who are injured will be assigned other roles with a team and must still attend practice daily. The athletic requirement is for three seasons, five days per week. Students must attend all games in order to meet the requirement. Outside sports teams, clubs, or training are not accepted as a substitute for the requirement, nor as excuses for missing a game.
Athletics Offered
The following team sports are offered:
* co-ed
Clubs
In order to broaden their experiences and develop new interests, students will join clubs, which vary from year to year based upon the interest of the students and faculty.
The clubs can be selected on a trimester basis and usually meet once a week during the period following lunch. The following clubs have been offered in recent years: Community Service, Diversity, Film, Ecology, Robotics, Math Team, Bridge-Building, Student Government, Disc Golf, Debate, and Power of Positive People.
Dress Code
The Hun School is proud of its tradition of having neat and properly attired students. Our dress code is one of the many ways in which we promote a culture of integrity and respect. Students are expected to be in school dress, as described below, from 7:50 a.m. – 1:55 p.m.
School dress is required for all off-campus field trips, unless otherwise specified by the Middle School head or the headmaster.
Students improperly attired or groomed may not be admitted to class or other school-day events, parents may be called to bring appropriate attire to school, or a morning recess detention may be assigned. Repeated abuse of the dress code will be considered as a Second Tier offense.
Regular Dress Requirements for Boys
* Dress shirts, tucked in and with a tie.
o Flannel is not permitted.
* Boys' pants must meet the following criteria
o Dress pants (worn up around the waist) with belts.
* Cargo pants, and sweatpants are not permitted
* Boys' outerwear may not be worn in School buildings
o Exception: Boys may wear Hun-issued quarter-zip pullovers, crew neck, or V-neck sweaters provided they are in dress code underneath.
o Hats or baseball caps may not be worn inside the school buildings.
* Boys' shoes must meet the following criteria
o Socks and dress shoes or boat shoes without an athletic sole
o Sneakers, high-tops, clogs, combat boots, work boots, and flip-flops are not permitted.
o LL Bean style boots are permitted between December 1 and the start of Spring Break. (Timberland-style work boots are never allowed)
* Boys must be well-groomed and clean-shaven.
o Hair should not extend below the top of the collar.
o Earrings may not be worn on campus at any time.
o Partially shaved heads or extreme hairstyles are not allowed.
o Dyed hair is not allowed.
Regular Dress Requirements for Girls
* Girls' shirts must meet the following criteria
o Either a long or short sleeve dress blouse, or
o Free of slogans, large logos, or graphics
o A long or short sleeve polo shirt
o T-shirts, tank tops, and spaghetti strap tops are not permitted.
o Necklines must appropriately conceal cleavage.
o Sleeveless tops must be covered by a sweater or dress top.
o Flannel or rugby shirts are not permitted.
* Girls' pants must meet the following criteria
o Be chino style or dress pants
o Sweatpants, leggings, spandex, yoga, denim, or frayed pants are not permitted.
* Girls' skirts and dresses must meet the following criteria
o Length no more than 3" above the knee
o Necklines must appropriately conceal cleavage.
o Have no slit or a slit no longer than 2"
o
Dresses must have sleeves or extend to the shoulder. Spaghetti strap, ribbon, or racer back dresses must be worn with a sweater.
o Denim or frayed materials are not permitted.
* Girls' outerwear may not be worn in the School buildings.
o
Exception: Girls may wear a Hun-issued quarter-zip pullover provided they
are in dress code underneath.
o Hats or baseball caps may not be worn inside the school buildings.
* Girls' shoes must meet the following criteria
o Be dress style - ballet, loafer, or oxford
o Have a heel not exceeding three inches
o Closed toe and closed heel, without an athletic sole
o Dress boots and rain boots are permitted
o Sneakers, high-tops, clogs, sandals, combat boots, work boots, Ugg-type boots, and flip-flops are not permitted.
o LL Bean style boots are permitted between December 1 st and the start of Spring Break.
Students may wear dress shorts from the start of school until October 1 st and from Spring Break until the end of the school year.
o Dress shorts are defined as any pair of shorts, which if extended to the ankle, would look like dress pants.
o Cargo or athletic shorts are not permitted.
o The shorts must extend to the top of the kneecap and may extend no longer than to the bottom of the kneecap.
Attire for Dress Down Days
* Jeans or dress shorts and t-shirts, polo, and rugby shirts are allowed
* Footwear may be sneakers/shoes/Ugg-type
* No sweatpants or athletic wear, no leggings or tights
* No hats
* No ripped or torn clothing
* Spirit Weeks could be different
The Middle School Advisor Slip System
Personal responsibility and the opportunity to learn from one's mistakes are central to our mission.
The purpose of the advisor slip system is to help students understand the School's behavior expectations and be better community citizens by structuring advisor-advisee conversations when a student makes a mistake. Infractions are divided into a three-tier system. These tiers are intended to provide general guidance as to the severity of various offenses and their expected disciplinary consequences. However, the School reserves the right to impose whatever disciplinary consequences it deems appropriate in any individual case. All final decisions are reserved to the headmaster.
Warning Slips (First Tier Offenses)
Warning slip offenses are usually handled by the teacher, and are simple, clear infractions of the rules. They include, but are not limited to:
* Disruptive behavior
* Inappropriate language
* Technology misuse including cell phones and iPads
* Disrespecting the School's common area
* Excessive class lateness
* Late to school three times
* Dress code violations
* Wearing headphones in common areas
* Eating in class without permission or chewing gum
* Using an iPad app in class not directed by the teacher (such as Facebook or Instagram) or gaming during the school day
Detention Slips (Second Tier Offenses)
Detention slip offenses are usually handled by the teacher and the advisor. They are more serious and affect others as well as yourself. They include, but are not limited to:
* Disrespect/rudeness to others
* Roughhousing or other physical contact
* Vandalism
* Dishonest behavior
* Bystander to a serious offense
* Failure to follow adult directions
* Any habitual first tier offense
When a student receives a Tier 2 advisor slip from the teacher, the advisor will follow up and have a break or lunchtime conversation with the student. Parents are encouraged to speak with their child if they have any questions. Additionally, they should speak with the advisor if they have further questions. The Middle School head may also meet with the student and appropriate consequences could also include loss of privileges and a parent meeting.
If a student accumulates three warning slips, he or she may be given an assembly detention. If a student accumulates three detention slips or nine warning slips (or any combination adding up to nine points), stiffer penalties (such as an in-school or out-of-school suspension) may be assessed. Slips are logged on RaiderNet and parents receive an automated email when the slip is logged.
In order to give students a fresh start, the accumulation of slips is reset to zero at the start of each trimester.
Again, the system is meant to help structure advisor-advisee conversations that will help students to grow and do their best within our community.
Head Notification Offenses (Third Tier)
Third Tier Violations include more serious breaches of the School's expectations than those requiring a warning or detention slip. They include, but are not limited to:
* Fighting or violence
* Making threats or bias statements
* Extreme or repeated disrespect
* All forms of harassment, bullying, or hazing
* Leaving campus without permission
* Possession and use of fireworks
* Use or possession of alcohol, tobacco products, or drugs on school grounds or on a School-sponsored activity (including drug paraphernalia)
* Academic dishonesty
* Insubordination
* Forgery
* Theft
* Violations of the Acceptable Use Policy for Information Resources, as outlined in this book, may be deemed a Third Tier Violation, depending on the violation
* False absences from class, athletics, or school
* Any habitual tier 2 offense
A Third Tier offense requires an immediate meeting with the Middle School head, who will meet with the student's advisor to discuss the situation. Students who are suspected of committing Third Tier Violations may have their case discussed by a Discipline Advisory Group to determine the consequence. The student could be placed on Disciplinary Warning or Probation for up to eighteen school weeks. Probation means that if there is any reoccurrence of an offense, the student may be subject to immediate separation from the School. A parent conference may also be held.
One of these violations on its own or continual disregard for school rules may result in discipline including, but not limited to: loss of privileges, suspension from school, placement on Disciplinary Warning, or at the headmaster's discretion separation from the School.
Suspension
When a student's behavior is of significant enough concern, the School may decide that the student needs to be separated from the community for some reflection time. In-school suspension takes place in a quiet area away from peers, during which students do not attend classes. Typically, they will work on homework as well as complete a reflection essay. They do not participate in sports and must be picked up at 2:00 p.m. Parents should model out-ofschool suspension in the same way. Academic consequences are as follows: zero for participation; tests and quizzes may be made up at the discretion of the Discipline Advisory Group.
Disciplinary Warning or Probation
A student who commits a Third Tier offense or develops an ongoing pattern of negative behavior may be placed on Disciplinary Warning or Disciplinary Probation as specified by the Middle School head. This may include other restrictions of privileges or participation in School activities. If there is no improvement in attitude or behavior during the specified time, or if other violations occur during this period, further action may be taken, up to, and including separation. Students disciplined while already on Warning or Probation should expect more serious consequences and extension of the status.
Student Cooperation
Students are expected to cooperate openly and honestly in responding to School inquiries about behavior on and off-campus. If a student refuses to participate or cooperate at any stage of an inquiry for whatever reason, including, but not limited to, pending criminal charges, the School reserves the right to act by imposing disciplinary consequences without a statement from the student, or by asking the student to leave School.
Dining Hall Conduct
Students are expected to show good citizenship in the dining hall, which includes cleaning up their table area and returning all dishes, glasses, and utensils. For instance, if someone drops a dish, we pitch in and help, rather than applaud. We say "thank you" to the dining hall staff when picking up food and dropping off dishes. Students may not eat lunch in Global Commons.
Dismissal and Appeals
The School reserves the right to separate a student at any time, subject to the decision of the headmaster. Any appeal of disciplinary action must go through the Office of the Headmaster. Students who are separated from the School because of disciplinary infractions may not return to campus for a period of one year (12 months) from the date of the separation. The headmaster will determine if a student who has been separated from The Hun School will continue to be included in future School or alumni mailings.
Searches
The School reserves the right to inspect, at its discretion, student lockers, and belongings. To ensure compliance with rules and for the protection and safety of members of the community, faculty may conduct searches of students' belongings. In those cases the School has the right to search a student's possessions, not limited to locker, backpack, and personal belongings, whenever the School deems it appropriate.
Out of School and Off-Campus Behavior
Students should be aware that certain activities, even outside of school hours or off school property may result in loss of school privileges and other disciplinary action up to and including suspension or expulsion. Students may be subject to discipline for misconduct which is, or may be, disruptive of the educational process, interferes with the work of the School, is contrary to the mission of the School, impinges on the rights of other students, employees, or members of the School community, or has a direct or immediate effect on the discipline or general welfare of the School, even if such conduct takes place off campus, during non-school hours or on breaks from school. Such conduct will be evaluated at the sole discretion of the School, and the School reserves the right to deviate from the regular disciplinary process as may be deemed necessary under the circumstances. Some examples of
such outside conduct, which may have disciplinary ramifications at The Hun School include:
* Any violation of law
* Underage purchase, use, or possession of alcohol or a controlled substance
* Cyber bullying or other use or misuse of computers, or computer websites (personal, at home, or at school), which do, or could, impact the welfare of any member of the School community or the reputation or functioning of the School. For disciplinary purposes, conduct at school-sponsored events, activities, or trips will be treated in the same manner as on-campus conduct.
Concerning Alcohol and Drugs
The Hun School believes that the use of drugs and alcohol by students interferes with their intellectual and emotional development, and students are expected to be completely drug and alcohol free. The School has therefore created programs to educate our students about the dangers of drugs and alcohol abuse. These include, but are not exclusive to, discussions with and presentations by the School psychologist, assemblies, classroom presentations, consultant visits, and peer counseling programs.
As a part of the School's efforts to assist our students who may voluntarily come forth to discuss a situation or problem they are having with drugs or alcohol or refer someone they know who is having a problem, the School encourages these students to speak with a member of the faculty or the professional counseling staff for guidance. As long as the student is not under the influence, in possession of, or facilitating drugs at the time of this discussion, conferences will be confidential and the student will receive the help necessary to deal with the issue at hand. Students who are counseled may be required to undergo an evaluation by an approved campus counselor or off-campus counselor with the cost of these evaluations borne by the parents. The results of the assessment are shared with the students, their parents, and the counselors. These same students who volunteer for assistance may be required to participate in a program sponsored by the School or an agency in the community.
If there is a suspicion that a student is engaging in alcohol or drug abuse, the School may intervene with the student in any one or a combination of the following ways: The student may be confronted by School personnel. The School may notify a student's parents. The student may be asked to speak in confidence with a School counselor. The student may be asked to see the School nurse. The student may have his or her room, car, or possessions searched by School personnel.
In addition, The Hun School may require without prior notification that a biochemical test for drugs and/or alcohol be performed on a student at any time with or without parental permission. The cost of such testing is the responsibility of the parents or guardians. Failure to appear for testing, failure to provide a sample, or evidence of attempted adulteration may cause a test to be presumed positive. A positive test may result in disciplinary action including possible immediate dismissal.
The School reserves the right to pursue any action it deems reasonably required to protect the safety of its students, faculty, and facilities.
Library Conduct
The library is the academic center of the School, therefore, the space is designated for class instruction and individual quiet study. Students are expected to behave in a manner that respects the right of every student to work in an environment that allows quiet contemplation. Group study will take place in designated spaces within the library. Acceptable uses of library computers are posted throughout and students are expected to use the computers for academic, class-related activities only. Printers are located near each computer and students are expected to choose a printer and to pick up all print jobs.
No food or drink is permitted in the library.
Cell Phones and Other Electronic Devices
The Middle School provides a phone for students to use while on campus. This phone is located in the Middle School Office. Parents can call the Middle School Office throughout the day at (609) 921-7600, extension 2247 until 3:00 p.m. Messages to students will be delivered through this number. Parents must not text message students during the school day.
Students bringing a phone to school must keep it in their locker throughout the day and it must be turned off. Students will not be allowed to use their phones from the time they are dropped off at school in the morning until 3:10 p.m. Students may use cell phones, tablet computers, or personal laptops as permitted by teachers for academic work. They may not be used in the dining hall at any time. Students may not wear headphones or earbuds in the halls or common areas of campus.
Consequences for cell phone use:
* First offense: Warning slip
* Second offense: For the duration of ten school days, the student will submit the cell phone to the Middle School Office each day at the start of school and then pick it up at the end of the day. Parents are notified.
* Third offense: Student is not permitted to have a cell phone at school.
Harassment Policy
Educational Philosophy
The Hun School of Princeton seeks to be a community in which every individual is treated with sensitivity and respect. A basic responsibility of education is to provide a safe and secure environment in which students are free to learn. In order to meet this responsibility, maintain discipline, and teach students respect for the individual (a fundamental principle of our society), it is essential that all enrolled students and employees are able to achieve their maximum potential.
Harassment
The Hun School will not tolerate harassment in any form. Harassment is defined as
behavior toward a student, faculty member, employee, or other member of the School community on the basis of that person's race, creed, color, national origin, ancestry, age, sex, sexual orientation, marital, civil union, or domestic partnership status, disability, or any other category protected by law that has the effect of substantially interfering with that person's educational or work environment. Examples of abusive behavior prohibited by this policy include, but are not limited to, verbal or physical abuse, derogatory or demeaning remarks, insults, epithets, humor, inappropriate gestures, or display of materials.
Sexual Harassment
The School will not tolerate sexual harassment of any member of the School community, including students, faculty, staff, and other employees. Sexual harassment takes many forms and consists of unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature where (1) submission to such conduct is made, either explicitly or implicitly, a term or condition of an individual's employment, or a student's instruction or participation in School activities; (2) submission to, or rejection of, such conduct by an individual is used as the basis for an employee's continued employment, advancement, or evaluation or a student's evaluation; (3) such conduct has the purpose, or effect, of unreasonably interfering with an individual's work or educational performance, or creates an intimidating, hostile, or offensive working or educational environment. Sexual harassment, as set forth above, may include, but is not limited to:
* Unwelcome leering, staring, sexual flirtations, or propositions
* Unwelcome sexual slurs, threats, verbal abuse, derogatory comments, sexually degrading descriptions, or remarks that imply incompetence as a characteristic of gender
* Unwelcome comments about an individual's body
* Unwelcome sexual jokes, stories, drawings, pictures, or gestures
* Unwelcome touching of an individual's body or clothes in a sexual way
* Displaying sexually-suggestive objects or materials in the School
* Conditioning employment opportunities on submission to unwanted sexual advances or conduct
* Conditioning academic and pupil activities on submission to unwanted sexual advances or conduct
Complaint Procedure
We all share a responsibility to ensure that the School environment is free from sexual and other forms of harassment. Faculty, students, and employees are encouraged to come forward immediately if they are subjected to, or witness, incidents of sexual harassment or other inappropriate behavior. The School cannot take action unless it knows of the alleged harassment. All harassment complaints will be promptly and thoroughly investigated. All investigations will be conducted in a manner designed to protect the confidentiality of all parties involved to the extent reasonably possible in light of the School's obligation to conduct a full investigation and take appropriate responsive action where a complaint has been substantiated. There will be no retaliation against a person who has filed a complaint or participated in good faith in an investigation.
Harassment by Students
Complaints of harassment against a student, or group of students, should be reported immediately to a member of the faculty or the Middle School head, either of whom must notify the headmaster. The headmaster, or his designee, will promptly respond to the matter. If in the sole discretion of the headmaster, the circumstances indicate that a full investigation is necessary to resolve the situation, the headmaster will authorize a formal investigation.
A substantiated charge against a student or group of students could result in the following actions:
* Separation from the School
* In-school suspension
* Loss of campus or extracurricular privileges
* Assignment to a harassment prevention or education program
* Community service
* In-school counseling or referral for out-of-school counseling
* Any other action deemed appropriate by the School
Acceptable Use Policy for Information Resources
In this document, "information resources" include any information in electronic or audiovisual format, or any hardware or software, or any connection to internal or external networks that make possible the exchange, access to, and use of information. The Hun School (herein the School) provides its information systems and computing resources for the benefit of its faculty, administration, staff, and students in order to help them fulfill the requirements and objectives of their studies, research, and work-related tasks within the primary context of fulfilling the School's mission. The School may, at its discretion, extend use of its resources to any person, entity, or firm. All users granted access must be aware that the School's information resources have been set in place solely for the purposes of fulfilling the School's mission.
The School requires that those granted access to its information resources respect these purposes and conduct their operations in a manner consistent with them and with the ethical standards of the School, as well as in accordance with the policies and regulations that may be established from time to time by the School. The School makes no warranty, however, expressed or implied, regarding its information resources, their sustained or continued availability, or their fitness for any particular purpose. The School designs its information resources system to meet the needs of a broad base of users, but it is not obligated to fulfill any individual need.
Users have the right to expect that their rightful access to information, their use of networks and equipment authorized to them, and their use of any other resources connected with their authorized access to services will be fostered by the School to a degree that is reasonable and technically feasible. However, in order to preserve the integrity of its resources against accidents, failures, improper use, or other disruption, the School reserves the right to restrict or terminate any user's access and to inspect, copy, remove, or otherwise alter any data file,
or system resource as it deems necessary. (Users should have no expectation of privacy in any information they transmit through or store on the School's computer systems.) This policy applies to all use of the School's computer networks and equipment, whether used on campus or accessed remotely. It applies to all information resources including computers on campus and laptops, tablets, cell phones, or other devices that can store digital information used off campus.
Students are responsible for knowing the rules and policies regarding the use of the information resources provided by the School. These resources are for academic use only, as defined by the School, and their use is subject to all School rules as described in the Discipline Code and Honor Code. It is also important for students to ascertain and obey the specific rules for access and use of information resources that may differ in various campus locations, such as computer labs, library, and classrooms. Finally, students must understand that a violation of any of these rules may result in loss of their account, disciplinary action by the School, and possible legal action.
Standards for Proper Use of Information Resources, Technology, and Networks
It is the policy of the School that information resources will be used by those granted access only in a manner that is consistent with the School's mission and that is in accordance with the policies and regulations that have been and will be established by the School. The School strives to maintain access for its constituents to local, national, and international sources of information and to provide an atmosphere that encourages access to knowledge and sharing of information.
The School works to create an environment in which students, staff, administration, and faculty may feel free to create on their own or collaborate with colleagues both at the School and at other institutions without fear that the products of their intellectual efforts will be violated by misrepresentation, tampering, destruction, or theft. At the same time, the School must retain control of its information resources to protect against improper or unlawful use of these resources.
Access to information resources both within the School and beyond the campus, sharing of information, and security of the intellectual products of the community and of its members, all require that each and every user accept responsibility to protect the rights of the community. Access to the School's information technology environment and associated networks is a privilege, not a right, and must be treated as such by all users of these systems. To ensure the existence and security of the information resource environment, the School's administration may take such actions as in its sole judgment are deemed necessary to identify and to set up technical and procedural mechanisms to make the information technology environment and its internal networks resistant to disruption.
Any user who, without authorization, accesses, uses, or vandalizes the School's information resources, properties, or facilities, including those owned by third parties, threatens the security within which all users exercise their privileges and has, therefore, engaged in unethical and unacceptable conduct.
The School's information resources shall not be used to create any offensive or disruptive messages or data. Among those which are considered offensive are any messages or data which contain sexual implications, racial slurs, gender-specific comments, or any other comment that offensively addresses someone's age, sexual orientation, religious or political beliefs, national origin, or disability.
Information Services and Electronic Devices Code of Conduct
Any student using Hun School or personal computers and iPads asserts the following:
* I agree not to attempt to obtain the password of another person, log on to or use another person's account, or use resources to which I have not been allowed access.
* I will keep my password secure and not allow others the use of my account. I understand that accessing another student's account for any reason is not allowed, even if it has been left logged-in.
* I agree not to use the School's information resources for exchanging commercial software, or transferring files that are considered illegal in content or protected by patent, copyright or license agreement; nor will I use the School's information resources for commercial purposes, product advertisement, or political lobbying.
* I agree not to use the School's information resources for any illegal discussions or activity, nor to download or exchange any files or documents that may be virusinfected, deemed objectionable, pornographic, or violent in nature.
* I will not pass or make available to another person any file or document that can be categorized as homework, an essay, a test, or a quiz unless I have received clear and explicit permission to do so by a faculty member. I also understand that the passing or copying of homework, essays, tests or quizzes in electronic or other format is improper, could be considered plagiarism, and is a violation of the Honor Code.
* I agree that I will exercise good judgment with regard to my use of the Internet. I understand that the Internet is to be used solely for academic purposes. I will ask for guidance, should I be unsure of what constitutes an inappropriate site. (See Internet Disclaimer below.)
* I agree not to intentionally invade the account(s) or work product of another person, hack into a computer or network, vandalize or attempt to modify hardware, software (including operating systems, compilers, utilities, or applications), data files, or other computer equipment of the School or any other individual.
* I agree that the ability to connect to other systems or networks does not give me the right to do so, unless properly authorized.
* I agree not to intentionally subvert network security or cause disruption of any sort in the performance or usability of the School's information resources, including misuse of disk space, slowing down the processor of a workstation or server, monopolizing network bandwidth, and overuse of printer paper.
* Although most computers have security that blocks the downloading of software, students must remember that it is in violation of copyright laws to remove any software from School computers.
* No software is to be copied or downloaded to or from any School computer without proper authorization, and if being copied or downloaded to a School computer from any source, it must first be checked by the School's current virus detection software.
* I agree not to harass others, send anonymous messages or files, intentionally lie about or discredit another individual, use vulgarity or profanity, send abusive or offensive messages via email.
* Offensive content would include, but is not limited to, sexual comments or images, racial slurs, gender-specific comments or any comments that would offend someone on the basis of age, sexual orientation, religious or political beliefs, national origin, or disability.
* I agree not to send chain letters or "mail-bombs" - multiple messages - to a message forum or to an individual's email account. I understand that the development and use of self-replicating code is strictly not allowed.
* I agree not to enter any external chat or message forum intentionally that is not academic in nature. I will not divulge personal information about myself or others via internal or external networks. Should I receive permission to enter one of these areas for academic purposes, I agree not to intentionally cause a disruption in that area by the use of insults, inappropriate messages or comments, or scrolling. Scrolling is the entering of the same character(s) repeatedly thus interrupting the activity of those trying to engage in a conversation.
* I agree not to enter any personal information including my address, phone number, credit card numbers, password, or other confidential information to which strangers should not be privy. I agree not to store personal information on the School's or any other network.
* I agree that I will be responsible for all activity under my account, that I will maintain my account in a timely manner by deleting emails and files that I no longer need, and that I will report any misuse of the School's information resources.
* I agree to abide by any changes to these guidelines or to additional guidelines that the School implements at any time for its information resources.
* I agree not to video or record any member of our School community without his or her consent.
* I agree to use my personal tablet or laptop computer exclusively for academic purposes during the academic day or as directed by my instructors
* Storing information, facts, or formulas to be used in a testing situation without permission on a programmable calculator, MP3 player, iPod, iPad, or cell phone, on a list or in a program, indicates the intent to cheat. Borrowing any device with this information with the intention of using it unethically is also dishonorable. Whether or not this information is used during a quiz or test, having it on the calculator is dishonorable and, therefore, an Honor Code violation.
Electronic Media Policy
It is up to each family to determine whether or not your student can participate in social media or social networking sites. They will not be asked to register for any Hun School groups or class. However, should they obtain parental permission and choose to participate, all school rules are in effect. Further, Hun School students and faculty are not permitted to friend one another on social media. Both are permitted to follow official school channels and interact there.
Inappropriate action in virtual (online) and real spaces may result in appropriate disciplinary action, up to and including withdrawal or expulsion. The evaluation of these actions is at the
sole discretion of the School.
Internet Disclaimer
The Internet is a compendium of computers and networks worldwide that are linked together electronically. There is no one person or organization that coordinates or manages the Internet. Thus, individuals worldwide make any and all types of materials available. The majority of these materials are suitable and many would be considered scholarly works; however, pornographic and other materials deemed unlawful and unsuitable for anyone under eighteen (18) years of age are accessible over the Internet. Since the School cannot always prevent a user from seeking out these materials, the School assumes no responsibility for any unsuitable materials that students or other users find on the Internet.
THE HUN SCHOOL OF PRINCETON 176 Edgerstoune Road Princeton, New Jersey 08540 (609) 921-7600 (609) 921-0371 (fax) hunschool.org
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Friday, 3rd November - 7.30 PM
John Donegan Jazz Quartet
John Doneg an on piano, Tommaso St orace on Alto Sax, Terry Pack on Double Bass and Greg McCarthy on Drums.
AT THE BAPTIST CHURCH, HIGH STREET, RICKMANSWORTH, HERTS. WD3 1EH
Tickets £ 16 at the door. Free entry to all under 25. Reduced prices available with advance booking, and for members and patrons.
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AN4 Recorder / Player Instructions
The AN4 is a solid state, four 15 second, message recorder / player for use with Public address, telephone paging and alarm / access control systems etc. Features on board microphone for local recording, or use the line input with other audio sources. Message repeat looping option. Separate trigger inputs for all 4 messages.
Recording messages
Use the on board microphone or an external line level recorded source, MP3 player etc. See figure 1 for connections. If you want to record using the on-board microphone, select the "microphone" position of the "source" jumper. If you want to record using an external line level audio source, select the "line" position.
Place the AN4 in record mode by pressing the "rec / play" switch. When the record mode LED is lit, the AN4 is ready to record. The recording LED stays lit as long as a recording is being made. When ready to record, short the "play" terminals to the desired message input as long as the message is to be recorded. Maximum recording time is 15 seconds per message. For best results, record 2 seconds of silence before and after the message during recording.
External recording source volume
Set the "Input level" control midrange and make a recording. Several experimental cycles of record / play and adjusting this control + / - will help you achieve a high quality message recording. If using the on board microphone for recording, speak at least 6 inches away from the microphone.
Checking a message recording
Connect a small 8 ohm speaker or play the message back through the system it will be used with to check the quality of the recording. Short the play terminals to play the message. Set the desired playback volume of the message using the "level out" control.
Play mode and play jumpers
If your application requires repeated playing of the recording on a maintained play switch closure, select the "repeat" positions of the dip switch bank. If your application requires playing the message once, upon a momentary switch closure of the play terminals, select the "once" positions of the dip switch bank.
Output level jumper
If connecting "audio out" to a Line level input of external audio equipment, select the "line" position of the output level jumper. If connecting "audio out" to a microphone input (-60db) of external equipment, select the "mic." Position. You can adjust the output level control to set the desired volume to the external system
Speaker output
Use this output to directly drive an 8 ohm speaker for evaluating recordings and stand alone applications of the AN1
Warranty
All ETS products carry a one year parts and labor warranty. This warranty does not cover damages as a result of misuse, improper handling of the unit or exposure to extreme temperatures or moisture. At its discretion, ETS reserves the right to repair or replace this unit under the conditions of the warranty. If you experience problems with your equipment call ETS at: 505-888-3923 to obtain a return authorization number. Equipment requiring repair beyond the warranty period or units that have been damaged or are not covered under the warranty can be repaired by ETS for a minimal cost under most conditions.
Made in the USA
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WALK-IN-INTERVIEW
Eligible candidates are invited to appear for "Walk-In-Interview" for the following posts to be held in the office of the Head, ICAR Research Complex for NEH Region, Tripura Centre, Lembucherra West Tripura at 11:00 A.M. on 09th September, 2022 with complete bio data enclosing all self attested testimonials. However, candidates are hereby asked to strictly follow the advisories & SOPs regarding COVID-19 during the Interview Session.
| Sl. No. | Name & No. of Posts | Name of the Project | Qualification | Age Limit | Emolument |
|---------|---------------------|---------------------|---------------|-----------|-----------|
| 1. | Young Professional-I (01 No.) | NICRA (Crop Improvement) | **Essential:-** B.Sc. (Agriculture Science/Plant Physiology/Plant Biochemistry)
**Desirable:-** M.Sc. (Agriculture /Horticulture/Crop Physiology/Plant Biochemistry) | Minimum 21 year & maximum 45 year with relaxation as per rules. | Rs.25,000/- per month (Fixed) |
Terms & conditions:-
1. The appointment is purely temporary, time bound, contractual and co-terminus nature for specified duration not exceeding the duration of the project with no provision of regularization. Notwithstanding the duration of the project, the appointment may be discontinued at any time by issue of one month’s notice in case of unsatisfactory performance or any administrative reasons.
2. The incumbent is expected to carry out a part of the project objectives independently and/or to assist the Scientist and other workers as per requirement.
3. No TA/DA/Fare is permissible for attending the interview.
4. Candidates fulfilling the qualifications and attending the interview are advised to produce original certificates along with their Bio-Data. One passport size photo and self attested copies of certificates are to be submitted to the office at the time of Interview.
5. The Institute reserves the rights to cancel/postpone the Interview without assigning any reason.
(Ayam Gangarani Devi)
PI of the Project
Distribution:-
1. The AAO, ICAR (RC) for NEH Region, Tripura Centre for information please.
2. I/c PME Cell, ICAR, Tripura Centre with request to upload the same in ICAR, Tripura Centre website.
3. Mrs. Pooja Dey, LDC with request to upload the same in E-Office.
4. Notice Board.
5. Office Copy.
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Course Outline
ACADIA UNIVERSITY ECONOMICS 3823X2 URBAN ECONOMICS COURSE OUTLINE
Prof. Brian VanBlarcom
Spring Term, 2018 Slot 10, Tues/Thurs, 12 noon-1:30 pm
Office: BAC 342, Telephone 585-1137
Email: [email protected]
Classroom: BAC 237
Office Hours: Tuesday and Thursday 8:30 to 10:00 am, 1:30 to 3:00 pm, or by
Appointment
Course Description
This course provides an introduction to urban economics. This class will use established economic tools/analysis to explain why cities exist, how /where they develop, and what forces underlie the distribution of economic activity. Also examined will be the determinants of land prices/rents, market failures related with land use and relevant public policy. The course will also look at urban issues such as congestion, poverty, and crime. These issues, as they relate to Canadian cities, will be the primary focus of this class. Prerequisite: Econ 1013.
Schedule of Topics
GRADING SCHEME:
4 assignments@4%
-16%
105%
Important Dates:
Assignments, Tests and Term Project Dates TBA
Please Note
Students can work in pairs (a group of two) as it relates to the assignments. Simply have both your names on the single assignment (do not submit two assignments) when it is passed in. Keep in mind that it is expected that all students have contributed to and have knowledge of, all questions on a given assignment. Please note that all assignments must be typed (hand written assignments are not acceptable) with any diagrams completed using Microsoft Word compatible software (Microsoft Draw/Paint or simply the insert shapes tabs on Word).
There will be no advance warnings for the quizzes, no make-up quizzes will be written, the marks for missed quizzes are forfeited. The quizzes will be brief and based on recent material covered or assigned readings. These quizzes are designed to encourage (coerce is such a strong word) students to keep up with their reading and thereby promote class discussion. Students get to keep all the marks accumulated by writing quizzes and can therefore accumulate 14% from the quizzes. The syllabus sums to 105% so a portion of the quiz grades can be considered bonus grades. Keep in mind you can miss two quizzes and still make 100% for a final grade. If you miss a test then you must write a replacement test on Tuesday December 5. All students must write four tests.
Plagiarism and cheating of any kind will not be tolerated in this course. Consult the following websitehttp://library.acadiau.ca/guides/plagiarism/student/ over what constitutes cheating/plagiarism and the university policies regarding cheating/plagiarism. The minimum penalty for any student caught cheating/plagiarizing will be expulsion from the class and a zero grade.
If you are a student with a documented disability who anticipates needing supports or accommodations, please contact Dr. Abu Kamara, Coordinator, Accessible Learning Services at 902-585-1291, [email protected] or Kathy O'Rourke, Disability Resource Facilitator at 902-585-1823, [email protected]. Accessible Learning Services is located in the Fountain Commons, Lower Level.
The Writing Centre offers free help to all students wishing to improve their writing skills. You can sign up online today:
- To book a one-on-one appointment with a writing tutor, click here:
o is English your first language? writingcentre.acadiau.ca/writing-tutorials.html
o is English a second language? writingcentre.acadiau.ca/esl-writing-tutorials.html
- To see which helpful presentations and workshops you might want to attend this year, click here:writingcentre.acadiau.ca/workshops-and-presentations.html
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https://economics.acadiau.ca/tl_files/sites/economics/Course%20Outlines/2017-2018/ECON%203823X2%20VANBLARCOM%20WINTER%202018.pdf
|
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2018 DC Grants Management Conference:
Breakout Session A: Understanding the District's Donation Management Process
Training Objectives
* Provide an overview of the Mayor's Memorandum 2015-001
* Share the roles and responsibilities of OPGS
* Understand the District's Donation Process, and its Benefits;
* Familiarity with the District's Rules of Conduct Governing Donations and Honorary Gifts Made to the Government;
Mayor's Memorandum 2015-001 (8/21/15) governing Donations in the District: http://opgs.dc.gov/node/243802.
2
2019 Mayoral Priorities:
3
OPGS' Functions
* Strategic Partnerships & Resource Development
* Agency Grants Management & Administration
* City-Wide Donations Management
* Capacity Building
Donations Backgrounds
Congress has authorized the District to augment its budget via the acceptance of donations
* All donations however, must be approved by the Mayor via OPGS
* Only Exemptions: Council, DCPL, OSSE, DC Office of Advisory Neighborhood Services, DC Courts
Donations may come from individuals, organizations, foundations, corporations, businesses, associations, government or other entities
* Cash donations are prohibited
District Donation's are managed via QuickBase, which allows District Agencies to seek approval, process and accept donations
Benefits of Donations & our Process
* It protects us
* Avoids public scandals and mismanagement
* Leverages external resources
* Eases donor concerns
* Financial donations rollover
* Allows agencies to highlight their work
6
Donation From FY13 to FY17
7
Approved FY 2017 Donations
8
Top Five Recipients FY 2017
9
Key Definitions: Donations vs. Grants
Donations and grants are NOT the same. This training is exclusively about donations.
Relationship Cultivation: Presolicitation step
Cultivation: is building relationships, engaging potential donors and preparing to make an ask.
Steps:
1- Identification and research:
a. Estimation of needs – What will you ask for?
b. List of potential donors – Who will you ask?
2- Engaging potential donors and preparing to make the ask.
Solicitation
Solicitation: is making the ask
Direct solicitation: According to the Mayor's Memo 2015, Section 3C, an agency is considered to directly solicit a donation when it directly asks a specific individual or entity for a donation.
For example, an agency may contact a specific restaurant seeking a donation of pizzas for a back-to-school event. An application must be submitted to OPGS via octo.quickbase.com before any direct solicitation.
Exception: General fundraising or donation campaigns, and general solicitation letters sent to a variety of recipients, are not considered direct solicitation of donations.
Donations Policies
1. Agencies may not solicit, accept, or use donated funds, services or property without prior approval by OPGS or OGC
2. Donations must be used for an authorized purpose of the Agency
3. Financial donations must be deposited in the Private Donation Funds 8450 (ACFO approves Budget Authority-Funds carry over)
4. No quid pro quo can exist
5. Donations = bona fide contributions
6. Donations of cash is prohibited
Donation Approval Process
Step 1: Online Application: Agency prepares and submits an Application to Approve Donation in Quickbase
Step 2: Legal Review MOLC reviews your application for the legal sufficiency
Step 3: Donation Agreement Agency fills out and signs the donation agreement form to also be signed by the donor and OPGS Step 3: Donation Agreement Agency fills out and signs the donation agreement form to also be signed by the donor and OPGS
Donation Approval Process: Step 1: Submit an Application on Quickbase
* Text in red = documents/tools to which you'll need access in order to process donations; links are at end of the presentation.
Donation Approval Process: Step 2: Legal Review Process
Donation Approval Process
Step 3: Donation Agreement Form:
* Agency fill out the Donation Agreement form and have it signed by the donor
* Agency sends form and photocopy of the check to [email protected]
* Once the agreement is signed by OPGS, Agency can then accept and use the donation
The whole process takes up to 7 business days
Non-Compliance Consequences
* Penalties for Non-Compliance:
– BEGA may impose penalties
* Fines
* Public censure for elected officials and recommendations for removal
* Imprisonment.
- Your Agency may also impose penalties for non compliance.
Financial Donations
* All financial donations must be deposited in the 8450 Private Donations Fund.
* All checks must be made out to the DC Treasury,
* Donation appears in SOAR (System of Accounting and Reporting).
* Finance team (OFRM, OCFO) sets up attributes in GRAMS pointing to fund 8450.
* Agency must provide the donation agreement with the check to the Fiscal officer using the newly created attributes to process the check in INOVA.
Processing of Checks
❑ Send photocopy of check and Donation Agreement to Donations Manager at [email protected]
❑ Once the agreement is signed by OPGS, Your AFO can set up the attribute with OFRM and have them processed the check.
Wire Transfers
❑ The recipient agency may accept a financial donation via a wire transfer between the donor and the D.C. Treasury
Bank Name
: Wells Fargo
ABA Number: 054001220
Account Name: DC Government
Account Number: 2000043154623 – BANK ID
23W
Reference: "Contribution for ----
"
Crowdfunding: Mayor's Fund to Advance DC
The Mayor's Fund to Advance Washington, DC is a one-step, automated, online crowdfunding platform designed to accept donations to particular and ongoing causes of the District government or District government agencies.
Maximum contribution per donation: $1,000.00
Maximum contribution per quarter for each donor: $2,000.00
Steps to post a Fundraising Project on the Fund to Advance DC platform
- Develop a project ( what, Where, When, Why, How, Needs, Benefits)
- Contact OPGS – [email protected] to have the project posted online
- Develop a Marketing Campaign to attract potential donors on the site:
Foreign Donations
❑Foreign donations are donations coming from a foreign source or donation sponsoring international travel for DC Government employees.
❑Agencies must get the approval of the Mayor's Chief of Staff (Please contact Erika Satterlee at [email protected] to get the Mayor's Chief of Staff approval) before going through the OPGS' approval process.
Recognition of donors
Mayor's Memo 2015, Section IX, page 10 allows District employees to thank donors by providing acknowledgements of their donations through:
- press releases, photo opportunities
- letters of acceptance and appreciation
- certificates, and other items that commemorate the donation
In addition, The District may permit the display of donor logos if the display is incidental to the donation or if the display is unlikely to give the impression of commercialization.
All permanent displays of logos must receive the advance clearance of the MOLC or the OGC.
Summary
Agency
Submit AAD
Form to OPGS
OPGS and MOLC
Complete Review
Donation Agreement with
three required signatures
Accept and Use
Donation
Check Processed
by OFT
OPGS Publishes
Report
Legal
Sufficiency
Review from
MOLC
OPGS
Review
AAD: Application to approve donation
OPGS: Office of Partnerships and Grant
Services
MOLC: Mayor Office of the Legal Counsel
OFT: Office of Finance and Treasury
Next steps:
❑ Provide you with access to the online donation platform Quickbase
❑ Provide additional donation resources as available
Contacts for the Donations Process
Please visit OPGS' website at www.opgs.dc.gov or email [email protected] for more details.
QUESTIONS
28
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Edge Hill Youth Club, Liverpool
Refurbishment of Existing Youth Club
Whitfield & Brown have recently completed the refurbishment of the existing Edge Hill Youth Club on Durning Road, for Liverpool City Council in association with the Liverpool Youth Service.
The Centre supports local groups and young people aged 8 – 19 years enabling them to socialise whilst partaking in various activities in a fun environment.
The works comprised full internal alternation and refurbishment, M&E replacement and external repairs including a new roof.
The new youth club now has
* Male / Female / Disabled Toilet facilities
* Multi-purpose hall
* Music room
* Central café/kitchen
* Office
* Dance room
* Snooker room
* IT room and a Pool room
Whitfield & Brown
Halton House, Gorsey Lane, Widnes, Cheshire WA8 0RP
t: +44 (0)151 420 1000
f: +44 (0)151 495 1172
Email: [email protected] www.whitfieldbrown.com
Case Study
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Congrats to Thao Sepate for flying her first solo!
Congrats to Cat Barnes for passing her PP written!
Claire Gerber is getting close to her IFE check ride!
Top L: Lisa Blair sent this photo of student pilot member Thao Sepate after she completed her first solo at Butler County Regional Airport on June 1. Her instructor is Kaitlin Jones. Congrats, Thao!
Top R: CFII Peg Ballou and her 49 1/2 Sam presented a program with slides detailing their trip clear to the west coast. They originally were attending a North American Gamebird Association (NAGA) convention in Las Vegas but decided to fly the rest of the way to the Pacific Ocean. They photographed many landmarks and had tips for western flying. This was as they hosted the May meeting at Port Bucyrus in their hangar.
Lower R: Members flew vicariously during Peg and Sam’s presentation. L-R: Guest aviatrix Megan Schittenheim attended the meeting with Claire Gerber and is working on her IFR rating. Just out of the picture was Claire. Next: Lisa Blair, Linda Blodgett, Chris Creamer, Roberta Jones, Debra Henrichs, and Kay Johnson. Lower R: Chris, Roberta, Deb, Kay, and Betty Huck. Not pictured was our trusty photographer Kathy Samuelson.
MEETINGS: The June meeting will be on Saturday June 10, instead of our usual Sunday, at Urbana Grimes Airport and the Champaign Aviation Museum to see the rebuilding of a B-17. All photos in this newsletter (unless noted) are by our Official All-Ohio Chapter Photographer Kathy Samuelson. Thank you very much to Kathy and Debra Henrichs for their invaluable assistance on the monthly newsletter!
SATURDAY JUNE 10TH MEETING AT URBANA GRIMES (I74) AND THE CHAMPAIGN AVIATION MUSEUM
1636 North Main Street, Urbana 43078
SATURDAY SATURDAY SATURDAY
ARRIVE: 11:15-11:30 at the restaurant on the field. They are holding the room in the back for us. Just ask a waitress if you don’t find us. We’ll be ordering from the menu.
ACTIVITY: 1300 (1PM): We will leave the restaurant and move up to the Champaign Aviation Museum. It is an easy walk or you can ride with those who have driven. We will be greeted by Jessica Henry, Development Manager. She has reserved the library for our meeting.
At the end of the meeting we will tour the museum and watch the volunteers working and restoring a B-17, a World War II airplane.
There are many other features of the museum of aviation interest.
The museum also has a flying B-25, another WWII airplane, that will be flying that day. Seats in the plane can be purchased but are pricey.
For those of you who will be flying:
Be aware of turf runway 01-19 that crosses runway 02-20!
Park your plane on the restaurant ramp.
Let’s hope the weather will cooperate that day. Looking forward to seeing everyone!—Kay
http://www.champagnaviationmuseum.org/
HAPPY BIRTHDAY
Debra June 1
Cleone June 6
Edna June 9
Margaret June 13
Valerie June 18
Joan July 14
NEWSLETTER EDITOR
Margaret
NINETY-NINES WEBSITE:
www.ninety-nines.org
NC SECTION WEBSITE:
OUR WEBSITE:
AllOhio.NCS.org or Google “All-Ohio 99s”
Agenda June 11, 2023
Approve Minutes of May 21, 2023
Treasurer’s Report
Membership Report
57 current members – Emily Garber on hold, Holly Czupich, Allison Dunfee and Krista Zimmer past members. No new members.
Meetings
June 10 – Urbana-Grimes hosted by Kay Johnson
July 9 – Willard hosted by Lisa Blair
August 13 – Pool party at Margaret’s
September 10 – Bowling Green hosted by Claire Gerber
Committee Chair Reports
Scholarship – Betty Huck
Web Site – Val Palazzolo
Public Relations – Claire Gerber – setting up new Facebook page so members can post. Asked to tag international on any social media posts.
Old Business
Member Biographies – Peg Ballou and Lisa Blair
New Business
Brainstorm ideas for NCS Spring 2026 meeting to be hosted by All-Ohio
Announcements
International Conference – Jordan 10/27 & 28 Conference; 10-29-11/2 Tours. Registration is open. Go to https://akatravelteam.swoogo.com/99s2023 for more information.
North Central Section Fall Meeting – Dublin, Ohio hosted by Scioto Valley 99s Sept 29-Oct 1. Registration info will be in Summer Waypoint.
Left: Thao Sepate and her CFI Kaitlin Jones hug in celebration of Thao’s first solo.
Right: North Central Section attendees arrive at Blade and Bow, Garden and Gun Club. (Don’t even ask!)
YES, WE CAN!
And there’s Deb Henrichs, who definitely can!
Below are photos that need no explanation from the bourbon tasting tour of the North Central Section meeting.
Minutes of the May 21th, 2023 meeting of the All-Ohio Chapter of the 99s
The meeting at the hangar of CFII Peg Ballou at Port Bucyrus-Crawford County Airport (17G) was called to order by our Chairwoman Debra Henrichs. There were eleven members in attendance: Peg Ballou, Lisa Blair, Linda Blodgett, Chris Creamer, Claire Gerber, Margaret, Debra Henrichs, Betty Huck, Kay Johnson, Roberta Jones, and Kathy Samuelson. Claire brought a guest, Megan Schittenheim, an IFR student. She is studying rotorcraft and fixed wing aircraft.
MINUTES
The April minutes as printed in the May newsletter were approved with a motion by Lisa Blair, which was seconded by Claire Gerber. Motion passed by voice vote.
TREASURER’S REPORT
MEMBERSHIP REPORT
Membership Chairwoman Margaret reported we have 62 members, 56 current.
MEMBER NEWS AND MENTORS
Cherry Harding sent her best to the members. Ali Peterkort sent a message, “Unfortunately, I will be out of town again! Going home to visit my family. Fingers crossed next month will be good timing.” Claire Gerber reported that she is super close to her instrument check ride, maybe next week, and is waiting on a stage check. Lisa Blair is working on her IFR rating and works to eat and fly. Lol. She is encouraging others to fly again. Chris Creamer reminisced about flying Air Race Classics with Kay Johnson and Linda Blodgett. Robert Jones remembered driving to a 99s meeting at Springfield due to ice storms. While she was there a plane landed and seemed to be flying very slowly. The pilot reported being warned about icing but continuing anyway until he began losing altitude rapidly and landed just in time. The parked plane was surrounded by ice that fell from it onto the taxiway. Kathy Samuelson had a flight school at CMH for thirty years. She reported slight hypoxia at 9,000 feet. Peg Ballou reported a headache at 9,000 feet that goes away at 8,000 feet. As a teen, Peg was given the choice between piano and flying lessons. She earned her Private Pilot at age 17 and now has five aircraft. She took a mission trip in 2001 to Venezuela and has flown to Vermont, Florida, Texas, Oshkosh numerous times, and the west coast. Peg will be going to Oshkosh this year and noted that the 99s tent needs volunteers. Contact Minetta Gardinier to volunteer and receive a free pass for doing so. Deb
Henrichs flew to the meeting today and saw at her Bolton home base, that formation flying for Oshkosh was being taught and she would like to learn that. She said that planning a flying trip is half the fun. Kay Johnson reported that the Blue Angels will be coming to Rickenbacker in June. She has flown for 45 years in her Cherokee 180: three Air Race Classics and west to Tucson, and east to Nova Scotia. “My plane has never let me down.” Betty Huck was a Greater Cincinnati Chapter member until that group disbanded. Betty contacted the new members in the Dayton/Cincinnati area and invited them to lunch, five attended. Betty gave out aviation DVDs and books. Roberta Jones and Valerie Palazzolo volunteered to mentor our newest members: Jun Oikawa and Lilly Gushura. Maggi Mulholland is interviewing for a CFI position. Margaret reported that she tried to contact Krista Zim-er and long time member Sharon Wilkins but did not receive any answers. Leota Lane is working in Brick-man, Alaska as an A&P. Thank you to Peg Ballou for donating the lunch money to the chapter!
MEETINGS
Kay Johnson will go to the Urbana Champaign Air Museum to check on the Saturday June 10th meeting there. She hasn’t been able to get them by phone. Lisa Blair volunteered to host the July 9th meeting as a cookout and carry in (potluck) lunch. She said swimming is available. And August 13th is tentatively scheduled for a swim party and cookout in Bellville. Claire Gerber will investigate a meeting on September 10th at BGSU Wood County Airport. Deb Henrichs advised the members that it is easy to host a meeting and she would assist them with any questions they have.
SCHOLARSHIPS
Chairwoman Betty Huck reported that there were two applications for the Wings Scholarship but neither was selected due to non-involvement in chapter activities. Esther Kotyk has written a “how to apply” instruction and Valerie Palazzolo will load it onto our website. Betty reminded the members that AC Scholarships are for upcoming training, not already completed training.
PUBLIC RELATIONS
Chairwoman Claire Gerber asked Deb Henrichs to send photos for our Facebook page.
MEMBER BIOGRAPHIES
Lisa Blair and Peg Ballou are still working out the kinks in this.
NORTH CENTRAL SECTION MEETINGS
Debra Henrichs reported there were 54 members of the section in attendance. At the business meeting it was voted to allow Girl Scouts to be allowed in aircraft during Girl Scout Days, as they weren’t previously permitted to do so. Photos of the meeting activities will be in the next newsletter. The fall 2023 section meeting will be hosted by Scioto Valley Chapter (Columbus). Our chapter will host the spring 2026 section meeting, Deb Henrichs has visited Wilmington, which has a nice convention center. Lisa Blair reported that Camp Perry has a conference center as well.
OLD BUSINESS-ZOOM FEES
Members again discussed whether we should buy a subscription for $16 a month for over 40 minutes for each session. Under 40 minutes is free. Lisa Blair made a motion to table this item for now, which was seconded by Roberta Jones. Motion passed.
INTERNATIONAL CONVENTION IN JORDAN OCT 27-NOV2
Debra Henrichs noted that she and Randy will probably attend.
NEW BUSINESS: 99s ANNIVERSARY
Debra Henrichs announced that the 100th ANNIVERSARY of the 99s will be in 2029.
There was a motion to adjourn by Chris Creamer, seconded by Peg Ballou and the meeting was adjourned by Chairwoman Debra Henrichs.
Respectfully submitted, Margaret, Secretary
Two fliers resting after a long cross country?
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Elternkurs :
Starke Eltern – Starke Kinder - Pubertätskurs
Deutscher Kinderschutzbund
Anmeldung für den Kurs vom 18.04. –16.05.2023 5 Termine jeweils am Dienstag von 19:30 – 22:00 Uhr
Kursgebühr: 35,- € (für Paare 55,- €) Incl. Schulungsunterlagen
Ort: Ostuzzistraße 4 in Passau
Ortsverband Passau e.V.
Nikolastraße 9
94032 Passau
Tel (0851) 2559
Fax (0851) 4905843
mail@kinderschutzbund- passau.de
www.kinderschutzbund- passau.de
Dazu melde ich/wir mich/uns verbindlich an. (Die Teilnehmerzahl ist begrenzt – Anmeldeschluss 12.4.2023)
Name: _____________________________________________________________
Vorname: _____________________________________________________________
Straße:
_____________________________________________________________
PLZ/Wohnort: _____________________________________________________________
Telefon/Mobil: _____________________________________________________________
E-Mail:
_____________________________________________________________
Alter des/der Kindes/Kinder: _______________________________________________
Aktuelle Coronabestimmungen sind zu beachten.
Die Kursgebühr bitte bei Kursstart auf unser Konto bei der Sparkasse Passau IBAN DE03 7405 0000 0240 2005 27 überweisen.
Ort, Datum
Unterschrift
Die Elternkurse finden jeweils in den Räumen der Erziehungsberatungsstelle, Ostuzzistraße 4 statt. Es besteht Parkmöglichkeit im Hof.
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Ukulele in C
Oh, Susanna
Arr. Peter Edvinsson
Stephen Foster
Download more free ukulele tabs at http://www.capotastomusic.com
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TENTH MEETING OF THE PLANNING & MONITORING BOARD
December 16, 2019 at 2.00 p.m. at the Conference Room, TERI SAS, New Delhi
The meeting of the Planning and Monitoring Board was held at 2.00 p.m. on December 16, 2019 at the Conference Room.
The following attended the meeting:
Prof. Manipadma Datta
Prof. M N Murthy Dr Lakshmi Raghupathy Dr Arun Kansal Dr Smriti Das Dr Shashi Bhushan Tripathi Dr Anu Rani Sharma Dr Shaleen Singhal
On Invitation
Dr Fawzia Tarannum
Dr Manish Shrivastava
Mr Dhanraj Singh
Mr Kamal Sharma
Mr Sandeep Arora
Mr Shyam Dogra
Capt. Pradeep Kr Padhy (Retd.)
Secretary
Dr Vishnu Konoorayar, Dr Sapna A Narula, Prof. Vir Singh could not join the meeting.
Dr Manipadma Datta welcomed the members to the tenth Planning and Monitoring Board meeting.
Item No.1:
To confirm the minutes of the 9 th meeting of Planning and Monitoring Board. The minutes of the 9 th meeting of the PMB, held on 24 Dec 2018, were circulated to the members. No comments have been received so far. He submitted that the Board might, therefore, consider confirming the minutes, as circulated.
1
Chairperson
The PMB noted and confirmed the minutes of the Ninth Meeting.
Item No 2. To review fee structure of the Programmes/Courses. Mr Dhanraj Singh, Dy FO presented the existing fee structure of courses of TERI SAS. He informed that the fees had been increased by the Fee Committee by about 10% for AY 2018-20 keeping in view the increase in manpower costs due to implementation of 7 th pay commission. The PMB reviewed the existing fee structure. The Chair stated that the price sensitivity of TERI SAS programmes was high when compared to other peer organisations and clarified that reduction in fee might not fetch good numbers of students, while upward revision might affect the intake. The Dy fin Officer explained that fee component catered to 50% of the University expenses and about 10% increase in fee was inevitable due to increase in human resource charges and the maintenance and repair of the infrastructure. He further clarified that this was the first time the issue of revision of fee was tabled at the Planning and Monitoring Board and historically, the fee had been revised in alternate years and it had been revised thrice in the last six years by the Fee Committee. The Chair mentioned that the general inflation should be incorporated in the fee and revision in salary due to implementation of 7 th Pay Commission was required to be recovered from fee. He suggested that further increase in tuition fee should be discussed with the department/programme Heads. He stated that where the programme strength was less, fee insensitivity was likely to be more and therefore Department/programme specific fee revision is the way ahead. Dr Murthy stated that the University could cross subsidize the fee across the programmes to help the programmes in which admissions are less. The Chair suggested that introduction of a onetime fee/development fee could be considered for all the programmes. Mr Sandeep Arora suggested that the hostel fees might be increased, and field trip charges should not be part of the fee. Dr Singhal seconded the proposal to enhance the hostel fee. The Chair suggested that while the University could consider the enhancement of seat rate (in view of Vasant Kunj rates) in hostel, there should not be any increase to the food cost and informed that efforts were being made to collaborate with the local guest house to cater to the growing demand for hostel seats.
Dr Arun Kansal opined that there could be different fee structure for different type of PhD students (full time, part time and GATE/JFR etc). He suggested that the one-time fee charges could be staggered across the semesters to ease the burden on students in the first semester.
The Registrar informed that as per the extant rules of UGC, the fee structure was required to be published in the website before expiry of sixty days prior to the commencement of admission to any of the programmes of study.
TS/PMB/10.2.1 The Board resolved to recommend the following: -
(a) The present fee structure placed at Enclosure 1 to hold good till revision.
(b) Department wise recommendations on fee revision be obtained and collated by Finance section.
(c) Fee Committee to be convened at an early date to review the Fee structure of Programmes and Hostel.
ITEM NO. 3 To discuss and rationalize number of seats including seats to be earmarked for statutory requirements in the approved academic Programmes. Convener, Admission Committee, Dr Manish K Shrivastava briefed the members about the number of seats being offered by the University and suggested a process for reviewing the same. The Registrar suggested that the PMB being the planning and monitoring body might consider reviewing such proposals in future based on statutory (UGC/ AICTE) norms. The PMB examined the proposal, programme wise and suggested that since the seats were already on offer on the concurrence of competent authority, hence the same strength could be continued but suggested that Departments might review the numbers as per current requirements. Dr Shrivastava briefed the members that as per Govt rules, institutions receiving Government grant were mandated to follow certain norms wrt earmarking of seats and stated that since TERI SAS was a Deemed University not receiving any Govt grant, might consider earmarking certain no of seats for affirmative action. After detailed discussions, it was suggested that the University might endeavour to offer up to 5% of total no of seats for affirmative action and modalities for implementation of the same could be worked out by the Admission Committee.
TS/PMB/10.3.1 The PMB resolved to recommend the following: -
(a) To continue with the number of Seats for each Programme as in practice as per Enclosure 2.
(b) Review of the no of seats by Departments in consultation with Finance section.
(c) To earmark up to 5% of seats for affirmative action and work out modalities for the same.
ITEM NO. 4: To discuss a roadmap for short term training Programmes and MDP activities Dr Fawzia Tarannum shared the strategy and roadmap for short term training programmes and MDP activities for the University with the members. She informed that the MDP Committee members have agreed on ;-
(a) Creating an MDP calendar for the entire year to be put up on the website in advance with tentative dates.
(b) Putting a separate list of training programmes, capacity building activities etc. on the website.
(c) Approaching corporate and funding organisations to support the MDPs and sponsor candidates for the same.
Dr Arun Kansal suggested that the Committee should indicate a minimum threshold size for each MDP programme. Dr Tarannum informed that plan to build a database of corporate and other organisations who could be the potential audience for the MDPs had been envisaged. Mr Dhanraj stated that due support would be provided to Ms. Gauri in identifying corporates who could be approached for funding MDPs on environment compliance. Dr Fawzia stated that the IT team would be requested to provide support in creating the webpage and the outreach for these programmes. She further stated that the Committee intended to engage with the MDP/training participants throughout the year, keeping them informed about ongoing activities and upcoming events through mail.
The PMB noted the matter
Item No. 5: Creation of additional laboratory space for Department of Biotechnology. Mr Sandeep Arora informed that Department of Biotechnology had been requesting of additional laboratory space for the last two years. He stated that an area measuring about 68 sq m had been identified for augmenting a temporary structure. Dr Tripathi presented a plan of DBT for utilising the area. Dean (Research & Relationship) informed that many departments had been struggling to find space and were under impression that there was no additional space available in the university and since an area had been identified, it would be appropriate to allocate the space on the basis of merit as there are requests from DNR and other Departments for additional space. He also suggested that the space could be used for the long-standing requirement of central instrumentation laboratory. Dr Raghupathy informed that if the University decided to go for central instrumentation laboratory, few corporates could be approached for providing free instruments or at a discounted rate. Members recommended that the requirement of all the departments be obtained
TS/PMB/10.5.1 The PMB resolved to recommend that details wrt requirement for space from all departments be obtained.
There being no other points the meeting ended at 4:30 PM.
Sd/ Capt Pradeep Kumar Padhy (retd.) Registrar
Enclosures: –
1. Fee Structure
2. Programme wise Seats
Distribution: -
Electronic Copy:
1. Vice Chancellor, TERI School of Advanced Studies
2. All members of the PMB
3. Website
Printed Copy:
5. Registrar, TERI School of Advanced Studies
FEE STRUCTURE
Fees chargeable from Indian students
Doctoral programmes (Ph D)
Fee chargeable from the students (non-sponsored)
A. One-time payment (in Rupees)
(includes admission fee, grade card, provisional certificate, student welfare fund, alumni fee, identity card, modernization fees, dissertation/thesis fee)
B. Semester-wise fees (in rupees)
Other charges (includes registration/ enrolment, examination fee, internet and computer, accident insurance, social charges, development charges)
| Other charges | 8000 |
|---|---|
| Total – B | 23000 |
C. Deposits (refundable) (in rupees)
Total fee payable at the time of admission – Rs 43,000/-
* Each student will be covered under an accident insurance policy for Rs 2 lakh
Note: Tuition fee for sponsored candidates will be 1.5 times that of non-sponsored candidates.
M Sc (Economics)
A. One-time payment (in Rupees) (includes admission fee, grade card, provisional certificate, student welfare fund, alumni
fee, identity card, modernization fees, dissertation/thesis fee)
B. Semester-wise fees (in rupees)
Other charges (includes registration/ enrolment, examination fee, internet and computer, accident insurance, social charges, development charges, field training**)
Enclosure 1
C. Deposits (refundable) (in rupees)
| Institute deposit | 5000 |
|---|---|
| Library deposit | 5000 |
| Total – C | 10000 |
Total fee payable at the time of admission – Rs 1,09,000/-
Total fee payable in the second semester – Rs. 89,000/-
Total fees payable in subsequent semesters - Rs. 79,000/-
* Each student will be covered under an accident insurance policy for Rs 2 lakh
** Field visit charges of Rs. 10,000/- not applicable in 3 & 4 semesters
Note: Tuition fee for sponsored candidates will be 1.5 times that of non-sponsored candidates.
M Sc (Climate Science and Policy) (Environmental Studies and Resource Management) (Geoinformatics), (Plant Biotechnology), (Water Science & Governance), M Tech (Renewable Energy Engineering and Management), (Urban Development Management) and (Water Resources Engineering & Management) programmes
A. One-time payment (in rupees)
(includes admission fee, grade card, provisional certificate, student welfare fund, alumni fee, identity card, modernization fees, dissertation/thesis fee)
B. Semester-wise fee (in rupees)
Other charges (includes registration/ enrolment, examination fee, internet and computer, Lab fees, accident insurance, social charges, development charges, field training**)
| Tuition fees | 69575 |
|---|---|
| Other charges | 25425 |
| Field visit | 10000** |
| Total – B | 1,05,000 |
C. Deposits (refundable) (in rupees)
| Institute deposit | 5000 |
|---|---|
| Library deposit | 5000 |
Total fee payable at the time of admission – Rs 125,000/-
Total fee payable in the second semester – Rs. 105,000/-
Total fees payable in subsequent semesters - Rs. 95,000/-
* Each student will be covered under an accident insurance policy for Rs 2 lakh
** Field visit charges of Rs. 10,000/- not applicable in 3 & 4 semesters
Note: Tuition fee for sponsored candidates will be 1.5 times that of non-sponsored candidates.
M B A (Infrastructure)
A. One-time payment (in rupees)
(includes admission fee, grade card, provisional certificate, student welfare fund, alumni fee, identity card, modernization fees, dissertation/thesis fee, Project fee, student activity fund)
B. Semester-wise fee (in rupees)
Other charges (includes registration/ enrolment, examination fee, internet and computer, accident insurance, social charges, development charges, field training**)
| Tuition fees | 231438 |
|---|---|
| Other charges | 13562 |
| Field visit | 10000** |
| Total – B | 255000 |
C. Deposits (refundable) (in rupees)
| Institute deposit | 5000 |
|---|---|
| Library deposit | 5000 |
Total fee payable at the time of admission – Rs 2,90,000/-
Total fee payable in the second semester – Rs.2,55,000/-
Total fees payable in subsequent semesters - Rs.2,45,000/-
* Each student will be coved under an accident insurance policy for Rs. 2 lakh
** Field visit charges of Rs. 10,000/- not applicable in 3 & 4 semesters
Note: Tuition fee for sponsored candidates will be 1.5 times that of non-sponsored candidates.
M B A (Business Sustainability)
A. One-time payment (in rupees)
(includes admission fee, grade card, provisional certificate, student welfare fund, alumni fee, identity card, modernization fees, dissertation/thesis fee, Project fee, student activity fund)
B. Semester-wise fee (in rupees)
Other charges (includes registration/ enrolment, examination fee, internet and computer, accident insurance, social charges, development charges, field training**)
C. Deposits (refundable) (in rupees)
Total fee payable at the time of admission – Rs 2,90,000/-
Total fee payable in the second semester – Rs.2,55,000/-
Total fees payable in subsequent semesters - Rs.2,45,000/-
* Each student will be coved under an accident insurance policy for Rs. 2 lakh
** Field visit charges of Rs. 10,000/- not applicable in 3 & 4 semesters
Note: Tuition fee for sponsored candidates will be 1.5 times that of non-sponsored candidates.
MA (Sustainable Development Practice)
A. One-time payment (in rupees)
(includes admission fee, grade card, provisional certificate, student welfare fund, alumni fee, identity card, modernization fees, dissertation/thesis fee, Project fee, student activity fund)
B. Semester-wise fee (in rupees)
Other charges (includes registration/ enrolment, examination fee, internet and computer, accident insurance, social charges, development charges, field training**)
| Other charges | 12400 |
|---|---|
| Field visit | 10000** |
| Total – B | 73000 |
C. Deposits (refundable) (in rupees)
| Institute deposit | 5000 |
|---|---|
| Library deposit | 5000 |
* Each student will be coved under an accident insurance policy for Rs. 2 lakh
** Field visit charges of Rs 10,000/- in Semester I, and Rs. 15,000 in each of Semester II and Semester III.
Note: Tuition fee for sponsored candidates will be 1.5 times that for non-sponsored candidates.
MA (Public Policy and Sustainable Development)
A. One-time payment (in rupees)
(includes admission fee, grade card, provisional certificate, student welfare fund, alumni fee, identity card, modernization fees, dissertation/thesis fee, Project fee, student activity fund)
B. Semester-wise fee (in rupees)
Other charges (includes registration/ enrolment, examination fee, internet and computer, accident insurance, social charges, development charges, field training**)
C. Deposits (refundable) (in rupees)
| Institute deposit | 5000 |
|---|---|
| Library deposit | 5000 |
| Total – C | 10000 |
Total fee payable at the time of admission
Rs 93,000/-
Total fee payable in the second semesters
Rs. 83,000/-
Total fees payable in third & fourth semesters Rs. 63,000/-
* Each student will be coved under an accident insurance policy for Rs. 2 lakh
** Field visit charges of Rs 10,000/- is twice in second semester and not applicable in 3 & 4 semester
Note: Tuition fee for sponsored candidates will be 1.5 times that for non-sponsored candidates.
LLM programme with specialization in Environment and Natural Resources Law and Infrastructure and Business Law
A. One-time payment (in rupees)
(includes admission fee, grade card, provisional certificate, student welfare fund, alumni fee, identity card, modernization fees, dissertation/thesis fee, Project fee, student activity fund)
B. Semester-wise fee (in rupees)
Other charges (includes registration/ enrolment, examination fee, internet and computer, accident insurance, social charges, development charges, field training**)
| Tuition fees | 50600 |
|---|---|
| Other charges | 12400 |
C. Deposits (refundable) (in rupees)
| Institute deposit | 5000 |
|---|---|
| Library deposit | 5000 |
Total fee payable at the time of admission Rs 93,000/-
Total fee payable in the second semester – Rs. 63,000/-
* Each student will be coved under an accident insurance policy for Rs. 2 lakh
** Not applicable in 2 semester
Note: Tuition fee for sponsored candidates will be 1.5 times that for non-sponsored candidates.
Diploma Water Science & Governance
A. One-time payment (in rupees)
(includes admission fee, grade card, provisional certificate, student welfare fund, alumni fee, identity card, modernization fees, dissertation/thesis fee)
B. Semester-wise fee (in rupees)
Other charges (includes registration/ enrolment, examination fee, internet and computer, accident insurance, social charges, development charges, field training)
C. Deposits (refundable) (in rupees)
| Library deposit | 5000 |
|---|---|
| Total – C | 10000 |
Total fee payable at the time of admission – Rs 125,000/-
Total fee payable in the second semester – Rs. 105,000/-
* Each student will be coved under an accident insurance policy for Rs. 2 lakh
Note: Tuition fee for sponsored candidates will be 1.5 times that for non-sponsored candidates.
Advanced PG Diploma in Renewable Energy (through distance learning)
The fee for the entire two year programme is Rs. 88,000 Rs. 44,000 has to be paid at the time of registration/admission Remaining Rs. 44,000 has to be paid within a year from registration
PG Diploma in Renewable Energy (through distance learning)
The fee for the entire one year programme is Rs. 44,000 to be paid at the time of registration/admission.
Certificate Course in Energy Infrastructure & Efficiencies (CEIE) (through distance learning)
The fee for the entire semester is Rs. 25,000 to be paid at the time of registration/admission.
Certificate Course in Renewable Energy (CRE) (through distance learning)
The fee for the entire semester is Rs. 25,000 to be paid at the time of registration/admission.
Certificate Course in Renewables Energy Resources and Policies (CRERP) (through distance learning)
The fee for the entire semester is Rs. 25,000 to be paid at the time of registration/admission.
Certificate Course in Software Tools for Energy Analysis (CSTEA) (through distance learning)
The fee for the entire semester is Rs. 25,000 to be paid at the time of registration/admission.
Foreign Students
2.1.1 Fee for foreign students
Foreign students will be required to pay a fee as per the table below per semester.
| Course | Tuition fees | | Other charges | Total |
|---|---|---|---|---|
| | US$ | US$ | INR | US$ |
| | Developin g countries | Developed countries | Flat Rate | Developing Countries |
| Ph D | 500 | 1000 | 6210 | 615 |
| M Sc (CSP, ESRM, Eco) | 2000 | 4000 | 8010 | 2148 |
| M Sc (Geo, PBT, WSG) | 2000 | 4000 | 18010 | 2334 |
| MA (SDP) | 1600 | 3200 | 17800 | 1930 |
| MA (PP&SD) | 1600 | 3200 | 7800 | 1744 |
| M Tech (REEM, UDM), (WSG) | 2000 | 4000 | 18010 | 2334 |
| MBA (Infra and BS) | 5000 | 10000 | 7800 | 5144 | 10144 |
|---|---|---|---|---|---|
| PG Diploma (WSG) | 1000 | 2000 | 6210 | 2200 | 4200 |
| LLM programme | 1600 | 3200 | 7800 | 1750 | 3350 |
| Advanced PG Diploma Renewable energy | 1400 | 2800 | -- | 2800 | 5600 |
| Diploma in Renewable Energy | 700 | 1400 | -- | 700 | 1400 |
| Certificate courses | 400 | 800 | -- | 400 | 800 |
In addition, a fee of INR 10,000 per semester cost for Field Training will be required to be paid in rupees.
Other Charges
Besides the above regular fees the Indian and International Students registering for individual courses would pay the following: -
1. Indian students who register for standalone course would pay Rs. 7000/- per credit.
2. International students would pay USD 190/- per credit.
3. International students who register for individual courses under ERASMUS scheme would pay USD 190/- per credit subject to a maximum upto Euro 1000/-.
4. Besides the above the international student would have to pay INR Rs. 10000/(refundable) caution money to use library facility.
Field Trip
In case any student wants to join any field trip other than official trips which are mandatory, then they have to pay the cost of the visit as per actuals.
Late Registration Fee
Upto 10 days from the date of registration Rs. 1,000/-
From 11 days to 30 days Rs. 2,000/
Hostel Fee
Fees: Hostel Charges shall be as follows: (To be paid at the time of admission to hostel) Ser Hostel Room Rent per month (including meals) INR
(a) Single Occupancy - Rs 14000 /-
(b) Double Occupancy – Rs 12000 /-
Note:- Interest free refundable security – Rs 10000/- Fees to be paid per semester basis
At the time of Admission, fees for the entire Semester will be collected on date of admission to hostel. ii. Late fee of Rs. 1000/- will be applicable for a period up to 15 days.
Library Fine: -
Rs. 5/- per day for first 4 days. Rs. 10/- per day for next 10 days and thereafter Rs. 50/- a day. Subject to a maximum cap of the cost of book + 20%.
Duplicate Copies
Rs 150/- per transcript (Courier charges to be borne by student if requested by post/courier).
Rs 150/- per duplicate Grade Card.
Rs 2500/- for copy of Degree.
Review of Grades
Rs 1000/- per paper.
----xxxx----xxxx----
Enclosure 2
PROGRAMME WISE SEATS OFFERED
| Ser | Programme | No of seats available (Maximum) |
|---|---|---|
| 1 | M.Sc.(Environmental Studies and Resource Management) | 50 |
| 2 | M.Sc.(Climate Science & Policy) | 25 |
| 3 | M.Sc.(Geoinformatics) | 25 |
| 4 | M.Sc.(Plant Biotechnology) | 25 |
| 5 | M.Sc.(Economics) | 40 |
| 6 | *M.B.A.(Infrastructure) | 30 |
| 7 | *M.B.A.(Business Sustainability) | 30 |
| 8 | *MTech.(Renewable Energy Engineering and Management) | 60 |
| 9 | *MTech.(Urban Development and Management) | 30 |
| 10 | *MTech (Water Resource Engineering and Management) | 30 |
| 11 | MSc ( Water Science & Governance) | 20 |
| 12 | M.A.(Sustainable Development Practice) | 30 |
| 13 | M.A.(Public Policy and Sustainable Development) | 30 |
| 14 | LLM (Environment and Natural Resources Law / Infrastructure and Business Law) | 50 |
TOTAL
475
*Approved by AICTE
|
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Regional Affairs Committee Meeting Thursday, May 2, 2024 Virtual
Agenda
I. Call to order
a. Roll Call/Guest Introductions
b. Review of Past Minutes
II. Cardiac Devices Grants
a. Update on FY 2023 Grants
b. Update on FY 2024 Grants
i. Redistribute excess funds
III. Announcements
IV. New Business
V. Regional Roundtable
a. Region I
b. Region II
c. Region III
d. Region IV
e. Region V
VI. Next Meeting
a. Thursday, June 6, 2024 at 10:00am Virtually
VII. Adjournment
Regional Affairs Committee Meeting Thursday, May 2, 2024
In Attendance:
Mark Bilger (MIEMSS), David Chisholm (Region II-Washington County), Charles Dorsey (MIEMSS), Bryan Ebling (MIEMSS Region IV), Ben Kaufman (Region V-Montgomery County), Dwayne Kitis (MIEMSS), Richard Koch (Chair/Region IV-Ocean City), Michael Parsons (MIEMSS Region IV), Luis Pinet-Peralta (MIEMSS Region III), Andy Robertson (MIEMSS Region V), Mike Salvadge (Region I-Allegany County), Mustafa Sidik (MIEMSS Region III), Wayne Tiemersma (MIEMSS Regions I and II), Christopher Truitt (Region IV-Wicomico County)
Minutes
I. Call to order
a. Chair Rich Koch welcomed everyone to the meeting and roll call was completed. Minutes from the April 4, 2024 meeting was sent to everyone for review and motion to approve. A motion was made from Christopher Truitt and David Chisholm. Minutes were approved as written.
II. Cardiac Devices Grants
a. Update on FY 2023 Grants
i. The following companies and jurisdictions have not received their equipment and/or submitted paperwork for their reimbursements:
1. Region I: Baltimore Pike VFC
2. Region II: Carroll Manor Fire Co.
3. Region III: Baltimore City FD and Howard County Fire and Rescue.
4. Region IV: Dorchester County ES-EMS (sent their receipts for their AEDs and are waiting for their 2 LP 15s), Fruitland Fire Co. (received their devices and trying to get reimbursement), Princess Anne VFC Inc. (financing their payments for reimbursement), Charlestown Fire Co., Hacks Point VFC, Sharptown FD, Lakes & Straits FC and Church Creek VFC
5. Region V: All companies have been reimbursed
6. The FY 2023 Grants are to be completed and reimbursed by June 30, 2024.
ii. The grants that are not reimbursed by midnight on June 30, 2024, the funding will not be available. Staff has been instructed to follow up with the companies to ensure they are able to submit their reimbursements.
b. Update on FY 2024 Grants
i. All companies have received their purchase orders. Reimbursements have been processed for Libertytown VFD and Leitersburg VFC (Region II) and Kent Island VFD (Region IV).
III. Announcements
a. Randy Linthicum is the new MIEMSS Deputy Director.
b. Jeffrey Huggins is the new Director of Field Operations.
c. Dwayne Kitis will be the support to the Regional and Associate Coordinators.
d. Emergency Planner position will be filled soon, time to be announced.
IV. New Business
a. None to report
V. Regional Roundtable
a. Region I
i. None to report
b. Region II
i. None to report
c. Region III
i. Working with improvement with QA and with clinicians
d. Region IV
i. Fruitland Fire Department had a departmental accident last night. No one was injured. The company will be without a fire engine until further notice.
e. Region V
i. None to report
VI. Next Meeting
a. Thursday, June 6, 2024 at 10:00am Virtually
VII. Meeting Adjourned
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| 20th February | Sketch the net for a Cube |
|---------------|--------------------------|
| Square based pyramid |  |
What solid is this the net for?
Chair £65
Sofa £149
Table £210
Bruno buys a table, a sofa and two chairs.
Work out the total cost of the items he buys.
\[ \begin{align*}
210 \\
+149 \\
+130 \\
\hline
489
\end{align*} \]
Which two fractions are equivalent to \( \frac{1}{2} \)?
\[ \frac{2}{4} \quad \frac{9}{18} \]
Write down the number that is 2 more than -8
\[ -6 \]
\[ 1900 \div \square = 19 \]
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TO: Academic Coach
FROM: Todd Goolsby, Assistant Director
RE:
Academic Bowl - Area Assignment
DATE:
November 16, 2018
Congratulations to your academic team for advancing to the 2019 Area Academic Bowl Tournament! Enclosed you will find the tournament bracket. The area tournament will be held on Saturday, January 12, 2019, for all classes.
I. GENERAL INFORMATION FOR ALL SCHOOLS
A. Teams in Classes 4A, 3A, 2A, and A were seeded on the area tournament bracket based on their finishing place in the regional tournaments. Classes 6A and 5A were seeded on the area tournament bracket based on the scoring averages achieved by each team in the district seeding tournaments.
B. Champion and runner-up teams will advance to the state tournament from each area tournament.
C. Each school participating in the area tournament will provide a timer or a scorekeeper to work the tournament. If your school attends the tournament without a trained student or adult volunteer, the team will forfeit that round.
D. A first place plaque will be awarded to the area champion.
E. Refer to the 2018-2019 OSSAA Academic Bowl Competition manual for further information.
F. If your team advances to the state tournament, please email a copy of your roster and a 300 dpi photograph to [email protected] no later than Friday, January 18, 2019.
G. The State Academic Bowl Tournament will be held on Saturday, February 2, 2019, at Redlands Community College in El Reno.
II. GENERAL INFORMATION - HOST SCHOOLS
A. It is the responsibility of the area tournament site manager to employ chief judges and moderators. They, as well as the site manager, will be paid $50.00 for the tournament by the OSSAA.
B. Questions will be shipped via UPS on Monday, January 7, 2019. DO NOT open questions until the day of the tournament.
C. Please email or fax (405-840-9559) the result sheet and score sheets immediately after the competition. Mail the area results, team records, and questions to the OSSAA office by Tuesday, January 15, 2019. Please have your judges, moderators, and site managers address the enclosed envelopes and return along with the claim form for payment.
NOTE: If the tournament manager changes the time schedule from what is shown on the bracket, he or she must have written confirmation from all schools involved concerning the time change.
AREA TOURNAMENTS
GENERAL INFORMATION
1. The Area Academic Bowl Tournament will be held on Saturday, January 12, 2019 for all classes.
2. The sites for the area tournaments have been selected and are included in this mailing.
3. Teams in Classes 4A 3A, 2A, and A will be seeded on the area tournament bracket based on their finishing place in the regional tournament. Teams in Classes 6A and 5A will be seeded on the area bracket based on their performance in the district seeding tournament.
4. Two teams will advance to the state tournament from each area tournament.
5. Each school participating in the area tournament will provide a timer or a scorekeeper to work the tournament. If the school attends a tournament without a trained student or adult volunteer, the team will forfeit that round. One person may perform either duty, but must be trained as timer and scorer.
6. The brackets for the area tournament will be released on December 7, 2018.
7. It is the responsiblity of the area tournament site manager to employ chief judges and moderators. They, as well as the site manager, will be paid $50.00 for the tournament by the OSSAA. (See the tournament schedule on page 15 of the Academic Manual.)
NOTE: If your school has been selected as a site for an area tournament, you should begin making your plans now (See page 11 of the Academic Manual, Hosting a Tournament). Please return the site confirmation sheet to the OSSAA office with the street address and person responsible for receiving the questions and trophies.
8. Questions will be shipped via UPS on January 7, 2019.
9. Return all area results and questions to the OSSAA office by Wednesday, January 19, 2019.
STATE TOURNAMENT
1. The State Academic Tournament will be held on Saturday, February 2, 2019.
2. The state tournament will be held at Redlands Community College in El Reno, Oklahoma.
3. Each school participating in the state tournament will provide a timer or a scorekeeper to work the tournament. If the school attends a tournament without a trained student or adult volunteer, the team will forfeit that round. One person may perform either duty, but must be trained as timer and scorer.
AREA
AT
I
TALOGA
MANAGER
DAWN EVERETT [email protected]
CHEYENNE
ROUND 1A
Winner 1A
CANTON
ROUND 2A
LEEDEY
Winner 2A
ROUND 1B
Winner 1B
TALOGA
ROUND 3A
AREA CHAMPION
advances to state
BOISE CITY
ROUND 1C
Winner 1C
LOMEGA
ROUND 2B
Suggested Time Schedule
HAMMON
Winner 2B
8:00 - 11:00 Officials Preview
Questions
ROUND 1D
11:00 - 11:40 Round 1
Winner 1D
11:45 - 12:25 Round 2
DRUMMOND
12:30 - 1:10 Round 3
1:15 - 1:55 Round 4
2:00 - 2:40 Round 5
Loser 1A ROUND 2C
Winner 2C
ROUND 3B
Loser 1B
Winner 3B
Loser 2B
ROUND 4
Winner 4
Loser 2A ROUND 3C
ROUND 5 AREA RUNNER-UP
Loser 1C ROUND 2D
Winner 3C
advances to state
Winner 2D
Loser 3A
Loser 1D
AREA ACADEMIC BOWL JANUARY 12, 2019 CLASS A
AREA ACADEMIC BOWL JANUARY 12, 2019 CLASS A
AREA II
AT
CORN BIBLE ACADEMY
MANAGER MARK THIESSEN [email protected]
CORN BIBLE ACADEMY
ROUND 1A
Winner 1A
TURNER
ROUND 2A
BIG PASTURE
Winner 2A
ROUND 1B
Winner 1B
SENTINEL
ROUND 3A
AREA CHAMPION
advances to state
BLAIR
ROUND 1C
Winner 1C
PAOLI
ROUND 2B
Suggested Time Schedule
ERICK
Winner 2B
8:00 - 11:00 Officials Preview
Questions
ROUND 1D
11:00 - 11:40 Round 1
Winner 1D
11:45 - 12:25 Round 2
MAYSVILLE
12:30 - 1:10 Round 3
1:15 - 1:55 Round 4
2:00 - 2:40 Round 5
Loser 1A ROUND 2C
Winner 2C ROUND 3B
Loser 1B
Winner 3B
Loser 2B
ROUND 4
Winner 4
Loser 2A
ROUND 3C
ROUND 5 AREA RUNNER-UP
Loser 1C ROUND 2D
Winner 3C
advances to state
Winner 2D
Loser 3A
Loser 1D
AREA ACADEMIC BOWL JANUARY 12, 2019 CLASS A
AREA III
AT
KREMLIN-HILLSDALE
MANAGER ROGER GOSSEN [email protected]
POND CREEK-HUNTER
ROUND 1A
Winner 1A
OK SCHOOL FOR THE BLIND
ROUND 2A
PITTSBURG
Winner 2A
ROUND 1B
Winner 1B
MULHALL-ORLANDO
ROUND 3A
AREA CHAMPION
advances to state
KREMLIN-HILLSDALE
ROUND 1C
Winner 1C
MIDWAY
ROUND 2B
Suggested Time Schedule
DEER CREEK-LAMONT
Winner 2B
8:00 - 11:00 Officials Preview Questions
ROUND 1D
11:00 - 11:40 Round 1
Winner 1D
11:45 - 12:25 Round 2
SCHULTER
12:30 - 1:10 Round 3
1:15 - 1:55 Round 4
2:00 - 2:40 Round 5
Loser 1A ROUND 2C
Winner 2C ROUND 3B
Loser 1B
Winner 3B
Loser 2B
ROUND 4
Winner 4
Loser 2A ROUND 3C
ROUND 5
AREA RUNNER-UP
Loser 1C ROUND 2D
Winner 3C
advances to state
Winner 2D
Loser 3A
Loser 1D
AREA ACADEMIC BOWL JANUARY 12, 2019 CLASS A
AREA IV
AT
COLEMAN
MANAGER PHIL DANIEL [email protected]
BOSWELL
ROUND 1A
Winner 1A
STRINGTOWN
ROUND 2A
KIOWA
Winner 2A
ROUND 1B
Winner 1B
COLEMAN
ROUND 3A
AREA CHAMPION
advances to state
ACHILLE
ROUND 1C
Winner 1C
RED OAK
ROUND 2B
Suggested Time Schedule
WAPANUCKA
Winner 2B
8:00 - 11:00 Officials Preview
Questions
ROUND 1D
11:00 - 11:40 Round 1
Winner 1D
11:45 - 12:25 Round 2
LEFLORE
12:30 - 1:10 Round 3
1:15 - 1:55 Round 4
2:00 - 2:40 Round 5
Loser 1A ROUND 2C
Winner 2C ROUND 3B
Loser 1B
Winner 3B
Loser 2B
ROUND 4
Winner 4
Loser 2A ROUND 3C
ROUND 5 AREA RUNNER-UP
Loser 1C ROUND 2D
Winner 3C
advances to state
Winner 2D
Loser 3A
Loser 1D
|
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Brittany Smith, LCSW
____________________________________________________________
______
1100 N. University, Suite 133
Little Rock, AR 72212
P (501)-664-0091 F (501)-664-0112
Patient Information
Name: _____________________________________________Date of Birth:________________
Address: ____________________________________City________________Zip____________
Phone Number(s): Cell: _______________Work:________________ Home:_______________
(Privacy laws require us to have your permission to leave messages. Please put a checkmark next to the numbers where you can receive a message from this office).
E-mail address
: __________________________________________________________________________________________________
Employer: _____________________________________________________________________
Who referred you? ______________________________________________________________
Current Medications: ____________________________________________________________
Gender:________ Marital Status: __________ Spouse/Significant other: _________________
Billing INFORMation
Person responsible for paying bill: ____Patient _____Parent _____Spouse _____Other
Name (if different from above): ______________________________Date of Birth: _________
Address: ______________________________________________________________________
Phone Number(s): Cell:_________________Work:__________________Home_____________
Employer's Name:______________________________________________________________
Do you want to file insurance? ___ YES ___ NO
Insurance Co: ________________________________________ Phone: ___________________
Name of Insured: _____________________________________ Date of Birth: ______________
ID#: ______________________________________ Group#:____________________________
I understand that I am responsible for payment of all deductibles, co-pays, or other charges not covered by insurance at the time service is rendered.
_____________________________________________________________________________
Client signature/ Responsible party (if other than client)
Date
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DISCUSS HOW TO "FIND YOUR FIT" WITH OUR CAREER GEAR TOOL
Use our tool to help youth find their fit and take action to manage their career and learning in the new "world of work"
Find it under Ottawa Employment Hub's Employment & Learning Resources https://ottawaemploymenthub.ca/employment-learningresources/career-gear/
The Career Gear tool provides a model for career exploration and management that will help youth through four important steps to position themselves for success in the world of work. These four steps guide informed decisions and taking action throughout a person's career journey. It is a tool that can be returned to again and again to redefine and shift a person's career journey!
1. CAREER CLARITY: Looking inward to understand yourself and your toolkit
EXPLORE MORE
3. VALUE PROPOSITION: Create your compelling story
2. GOAL CHECK: Explore the "world of work" and what employers want
4. TAKE ACTION: Apply your learning and take your next step
19
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North Central Texas Council of Governments
SUMMARY
Wastewater And Treatment Education Roundtable
Tuesday, October 31, 2017 10 a.m., Regional Forum Room NCTCOG Offices, CPII 616 Six Flags Drive, Arlington, TX 76011
1. Welcome and Introductions.
NCTCOG staff welcomed all members and guests to the Wastewater And Treatment Education Roundtable (WATER) meeting. Everyone introduced themselves.
2. FY2018 Work Program Discussion. NCTCOG provides an update regarding the current level of cost-share participation and how that may affect the work program.
NCTCOG provided an update regarding the FY2018 Work Program. The work program is posted online and available for review, along with the commitment response form. NCTCOG is still accepting commitment forms, and will begin invoicing in the next few weeks. The current committed funding level for FY 2018 is $49,700.
3. 2017 Holiday Grease Roundup Update. NCTCOG provides updates on the Holiday Grease Roundup.
NCTCOG provided an update regarding the upcoming Holiday Grease Roundup. The Roundup will take place from November 27, 2017 to January 8, 2018 to try to incorporate all the major holidays in the winter months. Current Roundup participants include: Cedar Hill, Denton, Duncanville, Garland, Lewisville, McKinney, Red Oak, Richardson, Mansfield, North Richland Hills, and North Texas Municipal Water District. Additionally, Dallas County Schools no longer has a biofuel school bus program, so containers and collection services will be provided by Metro Grease Service and American BioSource.
4. Regional Training Update. NCTCOG provides details from the Field Technician Training on nonpotable water sampling that took place on October 10 and 11, 2017.
NCTCOG provided details regarding the Field Technician Training, taught by Marlene Moore, Advanced Systems, Inc., that took place on October 10 and 11, 2017. The training had a total of 50 registered attendees, and a waitlist of 8 people. Topics included sampling techniques appropriate from collecting non-potable water, 40 CFR 136, and chain of custody requirements. NCTCOG staff also provided details regarding the evaluations received from the attendees. 37 attendees responded, 73% of which answered the workshop did meet their expectations. Those that answered no emphasized it was more advanced than anticipated, or would like more hands on activities as compared to classroom work.
NCTCOG requested additional input regarding the training. Members stated sometimes the lab jargon was too advanced for the field technicians, since they have very different, separated jobs, and the day needed to be broken up into additional sampling techniques and activities.
NCTCOG requested input regarding potential trainings for FY2018. Suggestions included industrial inspections, grease trap trainings, and pretreatment trainings. NCTCOG staff clarified that dependent on staff availability, there is potential to host multiple trainings each fiscal year.
5. Social Media Campaign Update. NCTCOG will discuss the WATER promotional campaign and DWU's social media calendar.
NCTCOG staff discussed potential alternatives to advertising on the current WATER Facebook account. Currently, NCTCOG has been blocked from advertising on Facebook. NCTCOG staff provided options for continuing to advertise outside of the old pages. NCTCOG staff has created a new account for WATER, tied to a different staff member. There is a potential to advertise carefully on this page. Additionally, NCTCOG staff can pursue Google and YouTube ads. NCTCOG staff also asked for input regarding combining the "Cease the Grease" and "Defend Your Drains" websites, in a way that would not reduce the websites' original traffic, and potentially creating a 10 minute video regarding Defend Your Drains North Texas. Katelyn Hearon, City of Lewisville, suggested the potential to use "30 Second Explainer Videos" as opposed to making a 10 minute video.
WATER intends to follow the Dallas Water Utilities' Social Media calendar as follows:
- Quarter I (October – December): Fats, Oil, and Grease
- Quarter II (January – March): Medicine Take Back
- Quarter III (April – June): Transition between Medicine Take Back into the Wipes Block Everything Campaign
- Quarter IV (July – September): Wipes Block Everything
6. General Updates. NCTCOG provides general updates on relevant programs and events:
- "Flush Puppy" product
- Cooperative purchase
- TMDL Wastewater Subcommittee meeting date
NCTCOG informed the roundtable of a recently released product, called the Flush Puppy. The pet waste baggy claims to be flushable and Certified Compostable in industrial facilities that accept pet waste. Trinity River Authority discussed their tests of the product, and were not impressed with the way it broke down. NCTCOG discussed a potential need for public education regarding this product.
NCTCOG provided an update regarding the upcoming Cooperative Purchase. Currently, NCTCOG is waiting for bids and on procurement staff to move forward. An email will be sent in the coming weeks with an update and order form.
NCTCOG announced the upcoming TMDL Wastewater Subcommittee meeting, set to take place on November 30, 2017 at 9:30 AM in the Tejas Conference Room, NCTCOG Offices, CP III.
7. Presentation: City of McKinney FOG Program. Ms. Martha Cavazos Fipps, City of McKinnney, will discuss the City of McKinney's Fats, Oils, and Grease (FOG) Program.
Ms. Martha Cavzos Fipps, City of McKinney, discussed the city's outreach and education program to decrease the amount of Fats, Oils, and Greases (FOG) being put down the drain. She described the ways in which the city distributed door hangers and other materials to single-family homes, and mutli-family apartment complexes. The City of McKinney will also place door hangers in a neighborhood where a recent clog has occurred. Ms. Fipps also informed the roundtable that frosting, ice cream, batter, and other shortening substances also cause clogs in drains.
North Central Texas Council of Governments
8. Roundtable. The group shares what is happening in their communities.
NCTCOG announced the upcoming FY2018-2019 Solid Waste Pass-Through Grant Briefing Sessions. Three briefing sessions will be held in person, across the region, and the final three sessions will take place via webinar.
Dallas Water Utilities discussed their recent move to a new Defend Your Drains Dallas logo.
Trinity River Authority announced that their partnership with UTA communications students to develop advertising for FOGs will be completed soon, and the Senior Capstone Project will be released on December 11, 2017. TRA also shared a recent KERA interview and article, "A Question of Flushability."
North Texas Municipal Water District has been working with solid waste and wastewater departments to push the Defend Your Drain message. They recently have been working on the dental rule regarding mercury.
Lewisville requested input regarding FOG collection containers and drop off stations. They also requested input regard HPDE grease interceptors.
9. Next Meeting Date. Thursday, January 10, 2018 at 10 a.m. in the Metroplex Conference Room.
10. Adjournment.
If you have any questions regarding the meeting or agenda items, please contact Cassidy Campbell at (817) 608-2368 or [email protected]. Thank you!
If you plan to attend this public meeting and you have a disability that requires special arrangements at the meeting, please contact Crysta Guzman at (817) 695-9231 or [email protected] at least 72 hours in advance of the meeting. Reasonable accommodations will be made to assist your needs.
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Data Sheet
Mixing / Overhead Stirrers
RW 28 digital
Powerful, mechanically controlled laboratory stirrer designed for highly viscous applications for quantities up to 80 l (H2O). It is suitable for intensive mixing for use in laboratories and pilot plants. The stirrer comes equipped with a protection for overheating of the motor by means of self-locking temperature limiter. Additionally, to secure bowls, a stirring shaft protection and clamping fixture are optionally available.
- Digital speed display
- Push-through agitator shafts
- Infinitely adjustable speed in two speed ranges
- Overload protection
- Robust, ergonomic design
- Error code display
- Quiet operation
- With constant power-drive
Accessories: R 1385 Propeller stirrer, 3-bladed, R 301.1 Support holder, R 1355 Centrifugal stirrer, R 301 Stirring shaft protection, R 271 Boss head clamp, R 1345 Propeller stirrer, 4-bladed, R 1375 Paddle stirrer, R 2722 H-Stand, FK 1 Flexible coupling, R 1333 Anchor stirrer, RH 5 Strap clamp, R 1300 Dissolver stirrer, R 1302 Dissolver stirrer, R 1376 Paddle stirrer, R 2723 Telescopic stand, R 1331 Anchor stirrer, R 1313 Turbine stirrer, R 1388 Propeller stirrer, 3-bladed
© IKA® Werke Staufen/Germany 2013 www.ika.com
Subject to technical changes
|
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|
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| 543,715,990
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Printing date 02/15/2018
1 Identification
ꞏ Product identifier
ꞏ Application of the substance / the mixture Hardening agent
ꞏ Details of the supplier of the safety data sheet
ꞏ Trade name: RetroPlate 99
Curecrete Chemicl Company 1203 West Spring Creek Place SPRINGVILLE, UTAH 84663 USA [email protected] (801)489-5663
ꞏ Manufacturer/Supplier:
d.b.a. Advanced Floor Products P.O. Box 50533 Provo, Utah, 84605 (801)812-3420 [email protected]
ꞏ Information department:
Technical Services
(800) 633-8253 (United States/Canada)
ꞏ Emergency telephone number:
International Emergency Number: +1 (801) 629-0667
2 Hazard(s) identification
ꞏ Classification of the substance or mixture
GHS06 Skull and crossbones
Acute Toxicity (Oral) - Category 1
H300 Fatal if swallowed.
GHS05 Corrosion
Serious Eye Damage - Category 1
H318 Causes serious eye damage.
GHS07
Skin Irritation - Category 2
H315 Causes skin irritation.
(Contd. on page 2)
CA
46.0.27
Safety Data Sheet
acc. to OSHA HCS
Reviewed on 02/15/2018
Safety Data Sheet
acc. to OSHA HCS
Printing date 02/15/2018
Trade name: RetroPlate 99
Specific Target Organ Toxicity - Single Exposure Category 3
Reviewed on 02/15/2018
(Contd. of page 1)
H335 May cause respiratory irritation.
ꞏ Label elements
ꞏ Hazard pictograms
ꞏ GHS label elements The product is classified and labeled according to the Globally Harmonized System (GHS).
GHS06
ꞏ Signal word Danger
ꞏ Hazard-determining components of labeling:
Silicic acid, sodium salt
ꞏ Hazard statements
Fatal if swallowed.
Causes skin irritation.
Causes serious eye damage.
May cause respiratory irritation.
ꞏ Precautionary statements
If medical advice is needed, have product container or label at hand.
Keep out of reach of children.
Read label before use.
Avoid breathing dust/fume/gas/mist/vapours/spray.
Wash thoroughly after handling.
Do not eat, drink or smoke when using this product.
Use only outdoors or in a well-ventilated area.
Wear protective gloves/protective clothing/eye protection/face protection.
If swallowed: Immediately call a poison center/doctor.
Specific treatment (see on this label).
Rinse mouth.
If on skin: Wash with plenty of water.
IF INHALED: Remove person to fresh air and keep comfortable for breathing.
IF IN EYES: Rinse cautiously with water for several minutes. Remove contact lenses, if present and easy to do.
Continue rinsing.
Call a poison center/doctor if you feel unwell.
Take off contaminated clothing and wash it before reuse.
If skin irritation occurs: Get medical advice/attention.
Store in a well-ventilated place. Keep container tightly closed.
Store locked up.
Dispose of contents/container in accordance with local/regional/national/international regulations.
ꞏ Hazard description:
D1A - Very toxic material causing immediate and serious toxic effects
ꞏ WHMIS-symbols:
D2B - Toxic material causing other toxic effects
(Contd. on page 3)
CA
Printing date 02/15/2018
Trade name: RetroPlate 99
ꞏ Classification system:
ꞏ NFPA ratings (scale 0 - 4)
Health = 2
Fire = 0
Reactivity = 0
ꞏ HMIS-ratings (scale 0 - 4)
Health = 2
Fire = 0
Reactivity = 0
3 Composition/information on ingredients
ꞏ Chemical characterization: Mixtures
ꞏ Description: Mixture of the substances listed below with nonhazardous additions.
ꞏ Dangerous components:
1344-09-8 Silicic acid, sodium salt
4 First-aid measures
ꞏ Description of first aid measures
Immediately remove any clothing soiled by the product.
ꞏ General information:
In case of irregular breathing or respiratory arrest provide artificial respiration.
ꞏ After inhalation: In case of unconsciousness place patient stably in side position for transportation.
ꞏ After eye contact: Rinse opened eye for several minutes under running water. Then consult a doctor.
ꞏ After skin contact: Immediately wash with water and soap and rinse thoroughly.
ꞏ After swallowing: If swallowed, seek medical advice immediately and show this container or label.
ꞏ Most important symptoms and effects, both acute and delayed No further relevant information available.
ꞏ Information for doctor:
ꞏ Indication of any immediate medical attention and special treatment needed
No further relevant information available.
5 Fire-fighting measures
ꞏ Extinguishing media
CO2, extinguishing powder or water spray. Fight larger fires with water spray or alcohol resistant foam.
ꞏ Suitable extinguishing agents:
ꞏ Special hazards arising from the substance or mixture No further relevant information available.
ꞏ Protective equipment: No special measures required.
ꞏ Advice for firefighters
6 Accidental release measures
ꞏ Personal precautions, protective equipment and emergency procedures Not required.
Do not allow product to reach storm sewer system or ground water
ꞏ Environmental precautions:
Dilute with plenty of water.
ꞏ Methods and material for containment and cleaning up:
Absorb with liquid-binding material (sand, diatomite, acid binders, universal binders, sawdust).
Safety Data Sheet
acc. to OSHA HCS
Reviewed on 02/15/2018
(Contd. of page 2)
35-40% w/w
(Contd. on page 4)
CA
Printing date 02/15/2018
Trade name: RetroPlate 99
Dispose contaminated material as waste according to item 13.
Ensure adequate ventilation.
ꞏ Reference to other sections
See Section 7 for information on safe handling.
See Section 8 for information on personal protection equipment.
See Section 13 for disposal information.
7 Handling and storage
ꞏ Handling:
Ensure good ventilation/exhaustion at the workplace.
ꞏ Precautions for safe handling
Prevent formation of aerosols.
ꞏ Information about protection against explosions and fires: No special measures required.
ꞏ Conditions for safe storage, including any incompatibilities
ꞏ Requirements to be met by storerooms and receptacles: No special requirements.
ꞏ Storage:
ꞏ Information about storage in one common storage facility: Not required.
ꞏ Specific end use(s) No further relevant information available.
ꞏ Further information about storage conditions: Keep receptacle tightly sealed.
8 Exposure controls/personal protection
ꞏ Additional information about design of technical systems: No further data; see item 7.
ꞏ Control parameters
The product does not contain any relevant quantities of materials with critical values that have to be monitored at the workplace.
ꞏ Components with limit values that require monitoring at the workplace:
ꞏ Additional information: The lists that were valid during the creation were used as basis.
ꞏ Exposure controls
ꞏ General protective and hygienic measures:
ꞏ Personal protective equipment:
Keep away from foodstuffs, beverages and feed.
Immediately remove all soiled and contaminated clothing.
Wash hands before breaks and at the end of work.
Do not inhale gases / fumes / aerosols.
Avoid contact with the skin.
Avoid contact with the eyes and skin.
ꞏ Breathing equipment:
In case of brief exposure or low pollution use respiratory filter device. In case of intensive or longer exposure use respiratory protective device that is independent of circulating air.
ꞏ Protection of hands:
Protective gloves
The glove material has to be impermeable and resistant to the product/ the substance/ the preparation.
Due to missing tests no recommendation to the glove material can be given for the product/ the preparation/ the chemical mixture.
Selection of the glove material on consideration of the penetration times, rates of diffusion and the degradation
(Contd. on page 5)
CA
Safety Data Sheet
acc. to OSHA HCS
Reviewed on 02/15/2018
(Contd. of page 3)
Printing date 02/15/2018
Trade name: RetroPlate 99
(Contd. of page 4)
ꞏ Material of gloves
The selection of the suitable gloves does not only depend on the material, but also on further marks of quality and varies from manufacturer to manufacturer. As the product is a preparation of several substances, the resistance of the glove material can not be calculated in advance and has therefore to be checked prior to the application.
ꞏ Penetration time of glove material
The exact break through time has to be found out by the manufacturer of the protective gloves and has to be observed.
ꞏ Eye protection:
Tightly sealed goggles
9 Physical and chemical properties
ꞏ Information on basic physical and chemical properties
ꞏ General Information
ꞏ Appearance:
Form:
Viscous
Color:
Light yellow
ꞏ Odor:
Odorless
ꞏOdor threshold:
Not determined.
ꞏ pH-value at 20 °C:
11.3 - 11.6
ꞏ Change in condition
Melting point/Melting range:
Undetermined.
Boiling point/Boiling range:
110 °C
ꞏ Flash point:
Not applicable.
ꞏ Flammability (solid, gaseous):
Not applicable.
ꞏ Decomposition temperature:
Not determined.
ꞏ Auto igniting:
Product is not selfigniting.
ꞏ Danger of explosion:
Product does not present an explosion hazard.
ꞏ Explosion limits:
Lower:
Not determined.
Upper:
Not determined.
ꞏ Vapor pressure at 20 °C:
23 hPa
ꞏDensity at 20 °C:
1.14 - 1.16 g/cm³
ꞏRelative density
Not determined.
ꞏVapor density
Not determined.
ꞏ Evaporation rate
Not determined.
ꞏ Solubility in / Miscibility with
Water:
Fully miscible.
ꞏ Partition coefficient (n-octanol/water):
Not determined.
ꞏ Viscosity:
Dynamic:
Not determined.
Kinematic:
Not determined.
(Contd. on page 6)
CA
Safety Data Sheet
acc. to OSHA HCS
Reviewed on 02/15/2018
Printing date 02/15/2018
Trade name: RetroPlate 99
ꞏ Solvent content:
Organic solvents:
0.0 %
Water:
65.0 %
Solids content:
>17.5 %
ꞏ Other information
No further relevant information available.
10 Stability and reactivity
ꞏ Reactivity No further relevant information available.
ꞏ Thermal decomposition / conditions to be avoided: No decomposition if used according to specifications.
ꞏ Chemical stability
ꞏ Possibility of hazardous reactions No dangerous reactions known.
ꞏ Incompatible materials: No further relevant information available.
ꞏ Conditions to avoid No further relevant information available.
ꞏ Hazardous decomposition products: No dangerous decomposition products known.
11 Toxicological information
ꞏ Information on toxicological effects
ꞏ Primary irritant effect:
ꞏ Acute toxicity:
ꞏ on the skin: Irritant to skin and mucous membranes.
ꞏ Sensitization: No sensitizing effects known.
ꞏ on the eye: No irritating effect.
ꞏ Additional toxicological information:
The product shows the following dangers according to internally approved calculation methods for preparations: Irritant
ꞏ Carcinogenic categories
ꞏ IARC (International Agency for Research on Cancer)
None of the ingredients is listed.
ꞏ NTP (National Toxicology Program)
None of the ingredients is listed.
12 Ecological information
ꞏ Toxicity
ꞏ Persistence and degradability No further relevant information available.
ꞏ Aquatic toxicity: No further relevant information available.
ꞏ Behavior in environmental systems:
ꞏ Mobility in soil No further relevant information available.
ꞏ Bioaccumulative potential No further relevant information available.
ꞏ Additional ecological information:
Water hazard class 1 (Self-assessment): slightly hazardous for water
ꞏ General notes:
May cause or intensify fire; oxidizer.
Rinse off of bigger amounts into drains or the aquatic environment may lead to increased pH-values. A high pH-value harms aquatic organisms. In the dilution of the use-level the pH-value is considerably reduced, so that after the use of the product the aqueous waste, emptied into drains, is only low water-dangerous.
ꞏ Results of PBT and vPvB assessment
(Contd. on page 7)
ꞏ PBT:
Not applicable.
ꞏ vPvB:
Not applicable.
CA
Safety Data Sheet
acc. to OSHA HCS
Reviewed on 02/15/2018
(Contd. of page 5)
Safety Data Sheet
acc. to OSHA HCS
Printing date 02/15/2018
Trade name: RetroPlate 99
ꞏ Other adverse effects No further relevant information available.
13 Disposal considerations
ꞏ
ꞏ Recommendation: Do not allow product to reach storm water drains or ground water.
Waste treatment methods
ꞏ Uncleaned packagings:
ꞏ Recommended cleansing agent: Water, if necessary with cleansing agents.
ꞏ Recommendation: Disposal must be made according to official regulations.
14 Transport information
ꞏ
ꞏ DOT, TDG, ADN, IMDG, IATA
not regulated
ꞏ UN proper shipping name
ꞏDOT, TDG, ADN, IMDG, IATA
not regulated
ꞏTransport hazard class(es)
ꞏ DOT, TDG, ADN, IMDG, IATA
ꞏClass
not regulated
ꞏPacking group ꞏ DOT, IMDG, IATA
I
ꞏTDG
not regulated
ꞏEnvironmental hazards:
ꞏ Marine pollutant:
No
ꞏ Special precautions for user
Not applicable.
ꞏ Transport in bulk according to Annex II of
MARPOL73/78 and the IBC Code
Not applicable.
ꞏ UN "Model Regulation":
not regulated
UN-Number
15 Regulatory information
ꞏ Safety, health and environmental regulations/legislation specific for the substance or mixture
ꞏ Section 355 (extremely hazardous substances):
ꞏ Sara
None of the ingredients is listed.
ꞏ Section 313 (Specific toxic chemical listings):
None of the ingredients is listed.
ꞏ TSCA (Toxic Substances Control Act):
All ingredients are listed.
ꞏ Canadian substance listings:
Canadian Domestic Substances List (DSL)
ꞏ
All ingredients are listed.
ꞏ Canadian Ingredient Disclosure list (limit 0.1%)
None of the ingredients is listed.
ꞏ Canadian Ingredient Disclosure list (limit 1%)
None of the ingredients is listed.
ꞏ GHS label elements The product is classified and labeled according to the Globally Harmonized System (GHS).
(Contd. on page 8)
CA
Reviewed on 02/15/2018
(Contd. of page 6)
Printing date 02/15/2018
Trade name: RetroPlate 99
ꞏ Hazard pictograms
GHS06
ꞏ
Signal word
Danger
ꞏ Hazard-determining components of labeling:
Silicic acid, sodium salt
ꞏ Hazard statements
Fatal if swallowed.
Causes skin irritation.
Causes serious eye damage.
May cause respiratory irritation.
ꞏ Precautionary statements
If medical advice is needed, have product container or label at hand.
Keep out of reach of children.
Read label before use.
Avoid breathing dust/fume/gas/mist/vapours/spray.
Wash thoroughly after handling.
Do not eat, drink or smoke when using this product.
Use only outdoors or in a well-ventilated area.
Wear protective gloves/protective clothing/eye protection/face protection.
If swallowed: Immediately call a poison center/doctor.
Specific treatment (see on this label).
Rinse mouth.
If on skin: Wash with plenty of water.
IF INHALED: Remove person to fresh air and keep comfortable for breathing.
IF IN EYES: Rinse cautiously with water for several minutes. Remove contact lenses, if present and easy to do. Continue rinsing.
Call a poison center/doctor if you feel unwell.
Take off contaminated clothing and wash it before reuse.
If skin irritation occurs: Get medical advice/attention.
Store in a well-ventilated place. Keep container tightly closed.
Store locked up.
Dispose of contents/container in accordance with local/regional/national/international regulations.
ꞏ Chemical safety assessment: A Chemical Safety Assessment has not been carried out.
16 Other information
This information is based on our present knowledge. However, this shall not constitute a guarantee for any specific product features and shall not establish a legally valid contractual relationship.
ꞏ Department issuing SDS: Technical Services
ꞏ Date of preparation / last revision 02/15/2018 / -
ꞏ Abbreviations and acronyms:
ꞏ Contact:
Dave Hoyt
IMDG: International Maritime Code for Dangerous Goods
DOT: US Department of Transportation
IATA: International Air Transport Association
EINECS: European Inventory of Existing Commercial Chemical Substances
ELINCS: European List of Notified Chemical Substances
CAS: Chemical Abstracts Service (division of the American Chemical Society)
NFPA: National Fire Protection Association (USA)
HMIS: Hazardous Materials Identification System (USA)
Safety Data Sheet
acc. to OSHA HCS
Reviewed on 02/15/2018
(Contd. of page 7)
CA
Printing date 02/15/2018
Trade name: RetroPlate 99
WHMIS: Workplace Hazardous Materials Information System (Canada)
PBT: Persistent, Bioaccumulative and Toxic vPvB: very Persistent and very Bioaccumulative
Safety Data Sheet
acc. to OSHA HCS
Reviewed on 02/15/2018
(Contd. of page 8)
CA
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CHAMPION FEDERAL CREDIT UNION GIFT OF MEMBERSHIP PROGRAM
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New and Existing member will earn the $50
opened to become a member**. **Membership eligibility is required. A share (savings) account must be
$50 will be credited once the required activity is completed.
New loan approval will be determined by credit worthiness.
Minimum new loan amount of $5,000 is required for $50 bonus.
All loans must be finalized within 30 days of referral.
$50 to be credited 30 days after loan funding.
Loan must be active for one year, otherwise promotional funds will be forfeited.
This flyer must be presented upon loan application for both members to receive compensation.
Valued Members, we want to thank you for your membership with CFCU, we have
To redeem this offer, please give the this offer to the person you are referring to CFCU.
a gift for you if you refer us.
Once the referral signs up for a new membership and a new loan of at least $5,000, your account will be credited once all required above has been completed.
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This Photo by Unknown Author is licensed under CC BY-SA This Photo by Unknown Author is licensed under CC BY-ND
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AGENDA FOR THE GREENFIELD POLICE & FIRE COMMISSION MEETING TO BE HELD AT THE LAW ENFORCEMENT CENTER, Court Room – 5300 West Layton Avenue, Greenfield, on Thursday, January 17, 2019 AT 6:00 P.M.
1. Call to order
2. Roll Call
3. Approval of the Police & Fire Commission Minutes from the December 6, 2018 Commission meeting
4. Discussion/Decision on whether to stay in house for search of new police chief
5. Discussion/Decision on job description for new police chief
6. Discussion/Decision on job application for new police chief
7. Discussion/Decision on time frame for receiving applications
8. Discussion/Decision on interview process and future meeting dates for Police Chief Position
9. Schedule meeting next week to interview prospective police officer
10. Invoices
11. New Business
12. New Items for Placement on Next Agenda
13. The next scheduled meeting of the Greenfield Police and Fire Commission will be held next week.
14. Adjournment
PLEASE NOTE: Upon reasonable notice, efforts will be made to accommodate the needs of disabled individuals through sign language interpreters or other auxiliary aids. For additional information or to request this service, contact the Department of Human Resources at 329-5208, (FAX) 543-6158, TDD 1-800-947-6644 (Wisconsin Telecommunications Relay System), or by writing to the Director of Human Resources/ADA Coordinator at Greenfield City Hall, 7325 West Forest Home Avenue, Room 101, Greenfield, WI 53220. Greenfield City Hall is wheelchair accessible from the west and south entrances.
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Carry-on
David Horvitz
What has to be noted about the works of David Horvitz is their ability to resist taking one single form and exist in one specific place at a certain time. I hate to say it, but at times it can even be hard to keep track. There is a point to that however – one that deserves to be explored further, taking Horvitz's exhibition at Galerie West as a point of departure.
Horvitz's work is often multi-artist projects, sometimes including works by himself, sometimes not. Furthermore, many works exist either solely or partly online, often deliberately inserted into various existing systems, and many times seemingly commenting on our perception of these systems. For me, it seems like Horvitz is less interested in what is true or untrue about those systems, than how they in themselves are attempts of constructing supposed truths. There is a certain element of prank involved in many of Horvitz's endeavours. However, it is more sincere and slightly romantic than such, less humorous, and one could even say a bit naïve; characterized perhaps best as a deliberate stumbling upon. Noticeably, many of his works, often photographs or publications, can be downloaded from his website ('Make your own prints. Click here for the files') and are accompanied by a suggested production method ('Take them to any photo lab in a drug-store') and his signature to add on the back ('Click here for a higher resolution of the above signature-image-file').
In 2006 the clip Newly Found Bas Jan Ader Film appeared on YouTube. The six second clip features a man bicycling into the sea. It is announced as a work by Bas Jan Ader found at UC Irvine, where Ader was teaching in the 1970s. The story is not unlikely. Bas Jan Ader, who was lost at sea in 1975 while undertaking an Atlantic crossing that was to be the second work in a series he entitled In Search of the Miraculous, left a small body of highly noticeable works, mostly short films and photographs. One of these works, Fall II, Amsterdam from 1970, is a short sequence showing Ader biking along and then into a canal. The newly found work could be a related iteration. As many of Bas Jan Ader's works show, he was interested in inserting his own body into a relationship with gravity, investigating phases of transition, the time and space between two locatable states, from standing up to falling down, from hanging from a tree to hitting the surface of the pond below.
It was revealed that Horvitz was in fact the author of this newly found
.
work. Assumingly on request from the gallery Patrick Painter who represents Bas Jan Ader's estate, Youtube removed the clip for 'copyright infringement,' only for it to reappear soon again posted on an account carrying the name of PatrickPainterGaller – most likely Horvitz's work. Currently you can find the clip as the first video appearing when googling 'Bas Jan Ader,' and also on the official Bas Jan Ader website under the section Homages However tricksterish Horvitz's effort may appear, it does also expose a great admiration of Ader's work and kinship to the ideas he brought forth.
Newly Found Bas Jan Ader Film was not produced to be shown in a gallery space. It was rather a device that, circulating on the internet, triggered certain mechanisms and revealed how a number of parties reacted to the potential existence of a never before seen Bas Jan Ader work. Horvitz reveals how it is possible to insert new information into already existing narratives and shift their immediate appearance. A work by David Horvitz is today a very visible part of a Google search for 'Bas Jan Ader'. It is fair to say that he faked his way into this hierarchy of information, but the fact that he succeeded so well is worth our attention. It points to our unfounded reliance on whatever a Google search brings us, and comments on the potentialities of the fake as well as questions our relationship to the real.
Newly Found Bas Jan Ader Film is part of the exhibition at Galerie West. In this context the work takes on a new function. Exhibited as a work authored by Horvitz (online it is still partly credited to Ader) alongside a Bas Jan Ader installation entitled Thoughts Unsaid, Then Forgotten, it not only questions its own legitimacy, it also casts a different light on the after-life of the aforementioned installation.
Ader originally created Thoughts Unsaid, Then Forgotten in 1973 for a week-long exhibition at the Nova Scotia College of Art and Design in Halifax. Ader did not construct the work himself but sent written instructions to be executed on site. In an article in Art in America's February 2004 issue, artist Wade Saunders brought to light that a new edition of three of this installation is being sold by Patrick Painter. This edition was apparently created after a photograph of the original installation from 1973 (not Ader's written instructions), and the instruction certificate accompanying the edition was also produced by Patrick Painter. This situation of course raises the issue of intentionality. The original installation was produced to exist for seven days. Consisting of writing on the wall, a light and a vase with flowers, the
duration of the exhibition coincided with the flowers' withering. The writing on the wall also changed over this short period, as Ader's instructions say to paint it over after a few days.
For his exhibition at Galerie West, Horvitz has remade Ader's installation after the original hand-written letter with instructions, which Wade Saunders retrieved from the archives of Nova Scotia College of Art and Design. Horvitz has allowed for his own interpretation in the execution of the instructions, as must have been the case for the art student or installer of the original work. As the exhibition at Galerie West lasts four weeks Thoughts Unsaid, Then Forgotten is installed four times in total, each installation on view for seven days. Ader's written instructions are made available in the exhibition during the whole period.
It is obvious that Horvitz has set out to honor Ader's original intention as expressed in the written instructions. It however remains an open question what the status of both Newly Found Bas Jan Ader Film and Thoughts Unsaid, Then Forgotten in Horvitz's exhibition is. On the one hand they are both fakes, works that pretend to be associated to Bas Jan Ader, but whose status is questionable. Yes, Horvitz followed Ader's own instructions, but does this make the installation more genuine than the one Patrick Painter is selling? As noted by Saunders, there is nothing that points to Ader's intention of ever realizing Thoughts Unsaid, Then Forgotten more than once. Horvitz's installation of the two works questions not only the works in the exhibition, but points to the problematics of posthumous editions. In what ways do the editions produced by Patrick Painter differ from Newly Found Bas Jan Ader Film produced by Horvitz? Is Horvitz exhibiting two fake works by Bas Jan Ader or two real works by David Horvitz, or neither? Horvitz manages to make us question these differences, not only what we can legitimately locate as the work, but also what systems artworks today are distributed within and what space there is to manoeuvre within these systems.
For an exhibition at Light and Wire Gallery in 2008, Horvitz travelled first to Falmouth, on the Cape Cod Peninsula of Massachusetts, then secondly to Falmouth in Cornwall, England. This travel happened during the exhibition period. From each location he sent a postcard to the gallery, the exhibition becoming a marking of his travel. The visitor to the galley was confronted with whatever material that had arrived, depending on how far Horvitz had traveled. The two locations happen to be where Bas Jan Ader sailed out in 1975 (Cape Cod) and where he intended to arrive (Cornwall).
Both locations, like Horvitz's postcards, mark the undertaking of a travel from one point to the other, the setting out and the expected arrival. In Bas Jan Ader's case, unfortunately an arrival that can only be imagined, as done in a photograph by Horvitz taken from the shore in Cornwall.
It is obvious that Horvitz is interested in travelling, a body moving from one place to the other, from one state to the other, setting out with or without a specific destination or merely wandering around. Whether it is one of Horvitz's ongoing online projects where you can pay him any amount and he will undertake a travel and send you documentation or artefacts, or his Walking Partner business cards where you can schedule a walk with him, or Slow Disappearance, a series of 5 photographs in which Horvitz gradually disappears as he walks along a shoreline – all of these works express an investment in every aspect of moving, everything that lies between the free and immediate movement and the conditioned and calculated movement.
A second part of the exhibition at Galerie West features a new multi-artist project entitled Carry-On. Fourteen artists, Horvitz included, have made works that were packed into a carry-on suitcase that Horvitz carried with him from Brooklyn to Den Haag. Horvitz asked each participant to contribute a work reflecting on the conditions and limitations of its travel as a carry-on item. Amongst the works are two small portraits of knives by Paul Branca ( US ), a flash drive containing videos of fireworks by Michael BellSmith ( US ), three little boxes by Joanne Cheung and Beau Sievers ( US ) (each with a crayon inside that colored its sides red, yellow and blue while in transit), a metal sculpture of a vaginal cavity by Colleen Brown ( CA ), newspapers used to wrap the other works by New York based design and publishing collaborative Dexter Sinister and a code orange terror alert T -shirt contributed by Marc Handelman ( US ). The works address both limitations (you can't bring knives or fireworks), conditions (the daily announced terror alert or the space in the human body often used for smuggling), but also the productivity of travelling (work produced or used along the way).
This project seems to be about location, and at the same time about the state of non-location (the two are necessarily connected). The works have little meaning when disregarding their site of origin, New York. But then again it is not this location that is their concern. When encountering these works in the gallery the viewer is led to a space and time beyond their physical presence. Horvitz is playing a conceptual trick on the viewer, and it sets a stage for the works whose boundaries are hard to determine. Obviously the works exist in real time and space, but their subject matter takes us to the travel they underwent, the experience we have not had, but can start to imagine.
Returning to the difficulty of locating Horvitz's work, this is a good example. No doubt that the gesture of the project is how we understand its origin, and the works are in themselves entities that exist in their own right. At the same time Horvitz manages to direct our attention to what is not there, what you could call the non-location, the in between or the unpredictable. And this is where we easily take to turn and ask, but Mr. Horvitz where is the work? – At the same time recognizing that we just encountered it.
Helga Just Christoffersen, August 2010
This publication appears on the occasion of the exhibition:
Carry-on
David Horvitz
04.09.2010 – 02.10.2010
With work by Michael Bell-Smith, Paul Branca, Colleen Brown, Dylan Chatain, Joanne Cheung and Beau Sievers, Dexter Sinister, Marley Freeman, Marc Handelman and Prem Krishnamurthy, Tim Ridlen, Maxwell Simmer, Ed Steck and Penelope Umbrico
Text: Helga Just Christoffersen
Helga Just Christoffersen holds a BA in Art History from the University of Copenhagen and is currently studying for her MA at the Center for Curatorial Studies, Bard College, New York. From 2007 to 2009 she was curatorial assistant for U-TURN Quadrennial for Contemporary Art in Copenhagen and she works as c oordinator of the Danish Pavilion at the Venice Biennale 2011.
Printer: Albani, Den Haag
Thanks: Gemeente Den Haag
Published by: West
Edition: 1000
isbn: 978-90-79917-09-x
Groenewegje 136 2515 LR Den Haag the Netherlands +31 (0)70 392 53 59 www.galeriewest.nl [email protected]
West
Contact: Marie-José Sondeijker
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Supply of Electronic items
Ref: 10/MSI/2024/2C
1. For the following Materials, interested suppliers may please send quote on the following email id: [email protected] and [email protected]
2. The supplier should share the authorization letter from the OEM, wherever applicable
3. Payment and other terms as per CSIR-CSIO norms.
4. Quotation Time by March 6th, 2024, 5.00 pm
5. Supplier to share the delivery timelines after PO and payment terms. Release of PO is purely the prerogative of CSIO.
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| 1 | Teensy 4.1 development board | 02 |
| 2 | Serial 6-axis accelerometer for arduino (With built-in gesture solver, ~ 0.05-degree static accuracy) | 04 |
| 3 | 6-30V, 20 A DC-Motor driver | 02 |
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A Christmas Miracle
Terry didn't think of herself as particularly religious, at least not most of the year, but the one claim she could make is that she had never missed a Christmas Eve service. It had been a family tradition for as long as she could remember to attend the Christmas Eve service at their church, even on that terrible night three years ago after her father had lost his battle with cancer. Three weeks after he died, Terry and her mom and her little sister had sat in the same sanctuary where his funeral had been held and cried their way through the candlelight service. It had seemed so strange not to hear his strong, true voice blending with theirs on the carols. How she had missed him that night.
Slowly the clicking and swaying creaked to a stop. "This is the end of the line, the final stop. Everyone must vacate the train" came the voice from the speakers. Terry knew the routine well by now. She strapped on her backpack and sleeping bag and stepped stiffly out of the subway car. There were only a few other passengers who had continued all the way to the end of the line and they were heading for the exit. Terry walked in the opposite direction to the stairs that crossed over the tracks towards the inbound trains. She knew that in fifteen minutes there would be another train heading back into town and that she could count on another 55 minutes of warmth before she would be rousted from her nap again. She also knew that this would be the last train of the night and she had no idea what she was going to do then. "How did I get myself into this mess?" she asked herself for the ten thousandth time. And once again, she thought back over the awful events that had brought her to this moment.
Ever since her dad had died things hadn't been right at home. For one thing, her mother just wasn't the same person. It seemed like when she wasn't crying, she was yelling. And her little sister, Carrie, had just become so quiet and withdrawn; she hardly spoke a word to anyone. Terry had always been a good student and was well liked in school, but over the last year that had all begun to change as well. And then she had fallen in love with Greg. At least she thought it was love at the time. After a couple of very intense months, Greg moved on to another girl and Terry was alone again. The crowning blow had come just before school was to start last September when Terry discovered she was going to have a baby.
This wasn't the way she had planned her life at all, not to be 16 years old at the beginning of her junior year in high school with a baby on the way. She had waited as long as she could before telling her mother, but by the end of October the baby was really beginning to show. She had to say something. Finally, she gathered up her courage and she went into the kitchen where her mother was unloading the dishwasher. She began the speech just as she had practiced it.
"Mother, I have something important to tell you. I think it could turn out to be a good thing for all of us. I'm going to have….I'm going to…It's just that…" She stopped. She had never seen such a look in her mother's eyes.
"Are you pregnant?" her mother almost screamed.
"Yes" Terry said quietly, looking at the floor.
"After everything that we've been through, how could you do this to us?" her mother shouted. And with that she whirled around and ran sobbing down the hall to her bedroom.
It was the lowest moment of Terry's life. She packed up a few clothes and personal items, took her sleeping bag off the closet shelf and headed for the door. She almost ran over Carrie in the hall.
"Where are you going?" her sister had asked.
"I don't honestly know" Terry replied. "I just know I can't stay here anymore." She hugged and kissed Carrie and walked out the door into the October night.
That had been almost two months earlier. At first, she had stayed with friends, a few days at a time, but now, for the last ten days she had been homeless. She had been eating in soup kitchens and church-run meal programs. She spent a good part of the day in the malls and rode the subways in the evenings, thankful for a warm, dry place to be, even if the seats were as hard as a rock. The worst time was from 1:00 to 5:30 a.m. when the subway was closed. Mostly she just kept moving during those hours to stay warm and safe. Sometimes, when she had been able to collect a little money from begging, she would go into Dunkin' Donuts and make a cup of coffee last for a couple of hours.
As she came down the stairs to the inbound side of the tracks she heard the loudspeakers in the station come to life. "Train service for this evening is terminated. Due to the holiday, there will be no further inbound service."
"Great" she thought to herself. "Here I am out in the middle of nowhere at midnight and the trains are shut down. With my luck I should have known something like this would happen." She felt the baby kick and she winced.
"Okay, Casey Jr., enough feeling sorry for ourselves. Let's make the best of it. At least there's an elevator in this station and we won't have to climb all those stairs." She pressed the button and waited. Nothing happened. "Story of my life" she muttered, and headed towards the stairs.
"Can I help you, Miss?" Terry looked up and saw a young policeman who evidently had been making sure everyone was out of the station. "That looks like a heavy pack to carry up all those stairs. I'd be happy to give you a hand. Least I can do on Christmas Eve."
His kindness took her by surprise. Her eyes filled with tears, and she turned her head from him. "Thanks, that would be nice" was all she could manage.
He took the backpack and sleeping bag off her shoulders and hoisted them easily over one of his own. "Do you have a place to go tonight?" he asked. "A young girl in your condition shouldn't be out on the streets on a cold night like this."
"I'll be okay" she said, sounding a whole lot more confident than she was.
"Well," he said "there's a church right up in the square that's having a midnight mass. Maybe you could talk to the priest after the mass and he could help you."
"Thanks. Thanks for everything" she said.
She hadn't really thought about going to church that night, but it was an idea, and maybe the young policeman was right. It is possible that the priest might be able to help. Besides, the church would be warm for another hour. It would be at least as good a place to spend an hour as the subway.
She entered the large sanctuary just a few minutes after the mass had started. The priest was reading from the Gospel of Luke. She knew the words by heart.
And while they were there the time came for her to be delivered. And she gave birth to her first-born son, and wrapped him in swaddling cloths, and laid him in a manger, because there was no place for them in the inn.
"Just like us, Casey" she whispered to the child within her. "No place in the inn."
The music and the words carried her back to other times and places, times of warmth and safety, and for a few minutes she allowed herself the luxury of thinking everything was going to be okay. But far too soon the mass ended and the candles, one by one, were extinguished by the altar boys. The congregation filed past the white-haired priest who greeted each one with a hearty "Merry Christmas." Terry was the last one to leave, breathing in every warm breath, knowing what awaited her outside.
"Thanks for the service, Father" she said as she reached the door.
"Why, you're a Protestant, aren't you dear?" he asked kindly.
"Yes" she said. "How did you know?"
"That's not hard" he replied. "We call it a mass, that's all. What brings you to a Catholic church on Christmas Eve?"
"Oh, it's a long, sad story, Father" Terry answered. "I wouldn't want to bore you with it."
"Are you in some kind of trouble?" the priest asked.
"No more than a lot of folks, Father. I left home a couple of months ago after I hurt my mother terribly. And now we're kind of between situations."
"We?"
"I'm expecting a baby, Father."
Suddenly a strange look came over the old priest's face.
"You're not….Terry, are you?"
Terry was stunned. "How did you know that?"
"Wait here" the priest said, and he rushed out of the sanctuary. In two minutes he was back, holding a folded piece of paper in his hand.
"Read this" he said. "It came two days ago."
Terry took the paper and began to read the letter:
Dear Father or Reverend,
Please forgive me for taking up some of your precious time at this busy time of year, but I have a terribly important favor to ask you. I am writing to all of the churches in the city to see if any of you can help me find my beautiful daughter, Terry. She ran away two months ago after I turned my back on her when she was in desperate need. I am so ashamed of myself. She is expecting a baby and she needs me. I want her to come home more than I can tell you, but I don't know how to find her. I do know that she has never missed a Christmas Eve service, so I am hoping against hope for a Christmas miracle, that one of you might find her and tell her how much she is loved and wanted at home. And, even if you don't find her, please, please pray for us…
Terry stopped reading and looked up at the old priest. His eyes were glistening with expectation.
"Can we make it a Christmas miracle?" he asked. "I don't think I've ever been part of a real Christmas miracle. Can I drive you home?"
Casey Jr. gave another kick, but this time more gently. Terry looked down at her round belly and touched it softly. She smiled at the priest. "I thought about Mary tonight when you were reading the Christmas story. I thought about how even though she didn't have a room at the inn, she had people who loved her and cared about her baby. That's the real miracle, you know, having people who love you….Let's go, Father" she whispered.
The priest offered her his arm and together they walked out into the cold clear night.
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From intracellular recording to structural analysis – new approaches on the mode of action of anthropogenic chemicals
DISSERTATION
to attain the academic degree of
Doctor of Natural Science (Dr. rer. nat)
of the Faculty of Biology, Chemistry and Earth Sciences
of the University of Bayreuth
presented by
Elisabeth Schirmer
born in Prenzlau
Bayreuth, 2021
This doctoral thesis was prepared at the Department of Animal Physiology at the University of Bayreuth from 01/2017 until 04/2021 and was supervised by Prof. Dr. Stefan Schuster.
This is a full reprint of the dissertation submitted to obtain the academic degree of Doctor of Natural Sciences (Dr. rer. nat.) and approved by the Faculty of Biology, Chemistry and Geosciences of the University of Bayreuth.
Date of submission: 09.04.2021
Date of defence: 17.12.2021
Acting dean: Prof. Dr. Benedikt Westermann
Doctoral committee:
Prof. Dr. Stefan Schuster (reviewer)
Prof. Dr. Heike Feldhaar (reviewer)
Prof. Dr. Christian Laforsch (chairman)
Prof. Dr. Birgitta Wöhrl
# Table of contents
1. Summary ........................................................................................................ 1
2. Zusammenfassung ......................................................................................... 3
3. Introduction .................................................................................................... 6
3.1 The Mauthner neuron as a new model to assay the effect of anthropogenic chemicals on the vertebrate nervous system ........................................... 6
3.2 Recording in the Mauthner neuron provides urgently needed information for targeted application of anaesthetics in fish ............................................. 11
3.3 Bisphenols affect the adult brain ............................................................... 13
3.4 MALDI mass spectrometry imaging workflow reveals histology-linked lipid pattern in aquatic model organisms .................................................. 15
3.5 References ................................................................................................. 18
4. Synopsis .......................................................................................................... 27
5. Publications .................................................................................................... 30
6. Own contribution in joined publications and manuscripts ......................... 31
7. Chapter 1 ........................................................................................................ 32
7.1 Recordings in an integrating central neuron provide a quick way for identifying appropriate anaesthetic use in fish .............................................. 32
8. Chapter 2 ........................................................................................................ 54
8.1 Bisphenols exert detrimental effects on neuronal signaling in mature vertebrate brains ......................................................................................... 54
9. Chapter 3 ........................................................................................................ 81
9.1 Histology-linked MALDI mass spectrometry imaging workflow for Danio rerio and Daphnia magna ................................................................. 81
10. Conference participations ........................................................................... 103
11. Acknowledgements ...................................................................................... 104
12. (Eidesstattliche) Versicherungen und Erklärungen ..................................... 105
1. Summary
Despite their many benefits, anthropogenic chemicals also pose potential threats to human and animal health. They can potentially act on various levels of organization – from molecular level, affecting the lipid composition to neuronal key functions, affecting synaptic information transmission and circuit function. However, methods providing comprehensive and, in particular, quick information about the mode of action of anthropogenic chemicals are rare. In this thesis I first focus on functional effects of anthropogenic chemicals on neuronal function. I present the goldfish’s Mauthner neuron, a giant central command neuron, which is individually identifiable from one animal to the next and accessible for intracellular *in vivo* recording, as a new model to obtain quick and comprehensive information on key aspects of neuronal and circuit function.
In this context, I initially present how recording in the Mauthner cell can quickly and systematically help filling the gap that currently exists between the legislation of many countries and informed decision-making on anaesthetic use in ectothermic vertebrates. The pair of Mauthner cells has a crucial role in triggering one of the most studied behavioural responses, the vital escape start in teleost fish. To fulfil this role, the Mauthner neurons need to integrate and process information from all sensory systems. This allows to directly and efficiently assay specific effects of anaesthetic agents on central processing and sensory information transmission. Concentration-effect curves further enable the informed decision-making if and at which concentration a given anaesthetic affects neuronal function. I applied the method to four chemicals commonly used as equivalently anaesthetics in fish. I demonstrate that this approach allows to rapidly obtain comprehensive and reliable information with a small number of animals, emphasizing these experiments also from an ethical point of view. These findings provide the basis for an equally informed decision-making on the anaesthetic use in fish, comparable to what is standard since the last 50 years in higher vertebrates. This is the first step in fulfilling the demands by present legislation, which demands the application of anaesthetic agents for any intervention that could be stressful for all vertebrates.
I further present the unique opportunity to use the Mauthner neuron as a new model to assay the impact of anthropogenic chemicals on neuronal function, by revealing the alarming and uncompensated impact of one month of exposure to two plasticizers (bisphenol A and its substitute bisphenol S) on basically every neuronal property. Due to the broad range of application of these plasticizers they are annually released at rates of hundreds of tons into the
biosphere, which makes them already ubiquitously present in the environment. Beside their proven effect to act as xeno-estrogens, recent studies also demonstrate effects on juvenile developing brains. However, for both bisphenols, the impact on the intact adult brain, whose powerful homeostatic mechanisms could potentially compensate any effects bisphenols might have on isolated neurons, is completely unknown. Using recording in the Mauthner neuron, I could reveal similar effects of both bisphenols, which strongly affect all basic aspects of neuronal function, and additionally show that these effects occur even at low, environmentally relevant concentrations. Comparable effects on neuronal function observed after exposure of EE2 (ethinyl estradiol), indicate that the examined effects after bisphenol exposition could at least partly occur due to the activation of estrogen receptors. The observed dramatic impact on the mature brain is not only worrying for aquatic organisms, but also for human health. It has been shown that offsetting balance in the brain might be the basis of severe neurological disorders. Hence, I call for the rapid replacement of both plasticizers and recommend this assay, due to its speed and resolution, to be part of early testing phases for new developed plasticizers.
In the third chapter of this thesis, I address the lipid composition within two aquatic model organisms (zebrafish and water flea). I demonstrate the capacity of MALDI MSI, an analytical imaging technique being able to identify lipids and visualise their spatial distribution within thin tissue sections, by providing highly resolved histology-linked lipid pattern even down to subcellular resolution. This could serve as a basis for future studies assaying molecular changes caused by anthropogenic chemicals. Using this analytical approach, I could not only visualise the anatomical arrangement of different organs due to their lipid content in the analysed tissue section, but, in the case of zebrafish, additionally provide a deeper insight into characteristic features like different eye layers, brain regions and neuronal structures (e.g. axon of the Mauthner neuron).
In summary, I present groundbreaking findings by assaying the impact of anthropogenic chemicals on neuronal and molecular level. Those approaches open up new possibilities for the risk assessment of anthropogenic chemicals.
2. Zusammenfassung
Trotz ihrer vielen Vorteile stellen anthropogene Chemikalien auch eine potenzielle Bedrohung für die Gesundheit von Menschen und Tieren dar. Sie können potenziell auf verschiedenen Organisationsebenen wirken – von der molekularen Ebene, durch Beeinträchtigung der Lipidzusammensetzung, bis hin zu zentralen neuronalen Funktionen, durch den Einfluss auf die synaptische Übertragung von Information und die neuronale Interaktion in funktionellen neuronalen Netzwerken. Methoden, die umfassend und vor allem schnell Informationen über die Wirkungsweise anthropogener Chemikalien geben, sind jedoch selten. In dieser Arbeit konzentriere ich mich zunächst auf funktionelle Effekte hervorgerufen durch anthropogene Chemikalien auf die neuronale Funktionalität. Dabei stelle ich die Mauthner-Zelle des Goldfisches, ein riesiges zentrales Kommandoneuron, welches individuell von einem Tier zum nächsten identifizierbar und für intrazelluläre *in vivo*-Ableitungen zugänglich ist, als ein neues Modell vor. Dieses ermöglicht schnell umfassende Informationen bezüglich zentraler neuronaler Funktionalität und Netzwerkfunktion zu erhalten.
In diesem Zusammenhang stelle ich zunächst vor, wie Ableitungen in der Mauthner-Zelle schnell und systematisch dazu beitragen können, die Lücke zu schließen, die derzeit zwischen dem tatsächlichen Einsatz von Anästhetika bei ektothermen Wirbeltieren und den Vorgaben des Tierschutzgesetzes vieler Länder besteht. Das Mauthner-Zell-Paar ist entscheidend für die Ausführung einer der am besten untersuchtesten Verhaltensreaktionen, dem lebensrettenden Fluchtstart der Knochenfische. Um diese Aufgabe zu erfüllen, müssen die Mauthner-Neurone Informationen aus allen sensorischen Systemen integrieren und verarbeiten. Dies ermöglicht die direkte und effiziente Untersuchung spezifischer Effekte von Anästhetika auf die zentrale Verarbeitung sensorischer Information und die sensorische Informationsübertragung. Konzentrations-Wirkungskurven ermöglichen darüber hinaus die fundierte Entscheidung, ob und bei welcher Konzentration ein bestimmtes Anästhetikum neuronale Funktionen beeinflusst. Ich habe die Methode auf vier Chemikalien angewandt, die üblicherweise als gleichwertige Anästhetika bei Fischen eingesetzt werden und zeige, dass mein Versuchsdesign schnell eine umfassende und zuverlässige Informationsgewinnung anhand einer kleinen Versuchstieranzahl ermöglicht, was diese Experimente auch unter ethischen Gesichtspunkten interessant macht. Die Ergebnisse dieser Studie bilden die Grundlage für einen Einsatz von Anästhetika bei Fischen, der vergleichbar ist mit dem, was bei höheren Wirbeltieren seit über 50 Jahren Standard ist. Dies ist ein erster Schritt zur Erfüllung der Forderungen der gegenwärtigen
Gesetzgebung, die den auf den jeweiligen Eingriff abgestimmten Einsatz von Narkosemitteln für alle Wirbeltiere verlangt.
Darüber hinaus präsentiere ich hier die Möglichkeit, das Mauthner-Neuron als Modell zur Bestimmung von Effekten anthropogener Chemikalien auf die neuronale Funktionalität zu verwenden, indem ich die alarmierenden und nicht kompensierten Auswirkungen einer einmonatigen Exposition gegenüber zwei Weichmachern (Bisphenol A und sein Ersatzstoff Bisphenol S) auf praktisch alle neuronalen Eigenschaften aufzeige. Weichmacher werden aufgrund des breiten Anwendungsspektrums jährlich in Mengen von Hunderten von Tonnen in die Biosphäre freigesetzt, wodurch sie bereits ubiquitär in der Umwelt vorhanden sind. Neben der nachgewiesenen Wirkung von Bisphenolen als Xeno-Ostrogene, zeigen Studien auch Effekte auf sich entwickelnde Gehirne. Wirkungen auf das adulte Gehirn, dessen leistungsfähige homöostatische Mechanismen potenziell alle Effekte, die Bisphenole auf isolierte Neurone ausüben, kompensieren könnten, waren jedoch für beide Bisphenole bisher nicht bekannt. Durch Ableitungen im Mauthner-Neuron konnte ich ähnliche Effekte beider Bisphenole auf die neuronale Funktionalität aufzeigen. Zusätzlich konnte ich zeigen, dass diese Effekte schon bei niedrigen, umweltrelevanten Konzentrationen auftreten. Vergleichbare Effekte auf die neuronale Funktionalität nach Exposition mit EE2 (Ethinylestradiol) deuten darauf hin, dass die nach Bisphenol-Exposition beobachteten Effekte zumindest teilweise durch Aktivierung von Östrogen-Rezeptoren auftreten könnten. Die beobachteten dramatischen Auswirkungen auf das adulte Gehirn sind jedoch nicht nur für aquatische Organismen besorgniserregend, sondern betreffen auch die menschliche Gesundheit. Eine Störung der Homöostase im Gehirn kann die Grundlage für schwere neurologische Erkrankungen sein. Daher plädiere ich für das schnelle Ersetzen beider Weichmacher und empfehle die hier verwendete Methode aufgrund ihrer Schnelligkeit und der detaillierten Informationen, die diese in der Lage ist zu liefern, in der frühen Testphase für neu entwickelte Weichmacher einzusetzen.
Im dritten Kapitel dieser Arbeit beschäftige ich mich mit der Lipidzusammensetzung in zwei aquatischen Modellorganismen (Zebrafisch und Wasserfloh). Ich demonstriere die Fähigkeit von MALDI MSI, einem analytischen Bildgebungsverfahren, das die Identifizierung von Lipiden und ihre räumliche Verteilung in dünnen Gewebeschnitten ermöglicht, anhand hochaufgelöster Histologie-bezogener Lipidmuster, die sich bis hin zu subzellulärer Auflösung erstreckt. Dies könnte als Grundlage für zukünftige Studien dienen, in denen molekulare Veränderungen, hervorgerufen durch anthropogene Chemikalien, untersucht werden. Mit diesem analytischen Ansatz konnte ich nicht nur die anatomische Anordnung verschiedener Organe aufgrund ihres Lipidgehalts im analysierten Gewebeschnitt sichtbar machen, sondern
im Falle des Zebrafisches zusätzlich einen tieferen Einblick in charakteristische Merkmale wie verschiedene Augenschichten, Hirnregionen und Bestandteile einzelner Neurone (z.B. Axon und Soma des Mauthner-Neurons) geben.
Zusammenfassend stelle ich bahnbrechende Erkenntnisse über die Effekte von anthropogenen Chemikalien auf neuronaler und molekularer Ebene vor. Die hier vorgestellten Ansätze eröffnen darüber hinaus neue Möglichkeiten in der Risikobewertung anthropogener Chemikalien.
3. Introduction
3.1 The Mauthner neuron as a new model to assay the effect of anthropogenic chemicals on the vertebrate nervous system
The potential impact of anthropogenic chemicals on the nervous system has attracted particular attention in public and legislation. Today, there are 120,000 chemicals in use in the European Union\(^1\). Some of them are listed to be of very high concern, like bisphenol A and are therefore replaced by substitutes that are considered to be safe, while others continue to be used even without comprehensive knowledge about their actual mode of action on animal and human health. Here, I focus on how to determine the impact of specific chemicals on the vertebrate central nervous system. This is challenging, because these chemicals can potentially act on various levels of neuronal function – from the generation of resting and action potentials, to synaptic transmission and central processing of sensory information – and methods providing rapidly comprehensive and comparable information are rare. I show here, that characteristics of the so-called Mauthner neuron, a giant central command neuron within the *medulla oblongata* of fish (Fig. 1) and some amphibians\(^2-3\) provide the opportunity to address this challenge.
**Figure 1** Morphological structure of the goldfish Mauthner neuron. **a.** Schematic view of both Mauthner neurons (black) as seen from above, which are located on the left and right side within the *medulla oblongata* in a goldfish (*Carassius auratus*) brain. Mauthner axons cross the midline and extend contralaterally down the entire spinal cord. **b.** Two-dimensional reconstruction of the Mauthner neuron after neurobiotin/streptavidin-Cy3 staining (from serial 70 µm sections) in coronal view (as seen looking along the longitudinal axis of the fish). The soma is up to 100 µm in cross-sectional diameter and the main dendrites extend dorsolateral (lateral dendrite) and ventrostral (ventral dendrite). The axon cap (dotted light grey semicircle) surrounds the unmyelinated part of the axon and the axon hillock.
Mauthner neurons always occur as a pair, one on the left and one on the right side. The Mauthner neuron is one of the very few neurons in the vertebrate central nervous system that can be morphologically and physiologically individually identified from one animal to the next\textsuperscript{3,4}. This fact and its enormous size (soma, main dendrites and axons), which exceeds those of other neurons within the vertebrate nervous system, are the basis for identifiability. Identifiability is defined by consistent characteristics, through which a neuron can be clearly distinguished from others in a normal individuum\textsuperscript{2}. Individually identifiable neurons of invertebrates had already been central for research. Studies of A. L. Hodgkin and A. F. Huxley on the large axons of the squid provided fundamental insights into nerve cell excitability, contributing on the understanding of the interaction of voltage-gated ion channels and the generation of an action potential, which was honoured with a Nobel prize in 1963\textsuperscript{5-6}. Evidence for individually identifiable neurons within the vertebrate nervous system is confirmed since the discovery of the Mauthner axon in 1859\textsuperscript{7}, too. Studies on the Mauthner cell not only questioned previous assumptions, such as that protein synthesis is not restricted to the soma but that the Mauthner axon also contains ribosomal RNA indicating axoplasmatic ribosomes, but also provided many initial studies for the vertebrate neuroscience\textsuperscript{8}. In this context, the accessibility, morphologically and electrophysiologically, of the Mauthner neuron enabled major insights into fundamental mechanisms of synaptic communication, neuronal and circuit function\textsuperscript{9} in the vertebrate central nervous system. For example, the question if synaptic transmission in the vertebrate central nervous system is solely chemical or also electrical could be revealed by the identification of gap junctions at the distal part of the large and electrophysiologically accessible lateral dendrite of the Mauthner neuron. Those gap junctions are proof for electrical synapses and pre- and postsynaptic recordings further demonstrated that the electrotonic flow of current occurs in both directions\textsuperscript{10}. Moreover, the gap junctions are part of a mixed-synapse, the so-called large myelinated club ending, enabling not only electrotonic but also chemical (via transmitter release) transmission\textsuperscript{11}. The strength of those synapses can further undergo activity-dependant changes, which can influence the probability of the Mauthner neuron to elicit an action potential for triggering the vital fast start behaviour\textsuperscript{8}. This correlation, caused by long-term depression of the gap junctions in the myelinated club endings was surprising, because for a long time only chemical but not electrical synapses were considered to be modifiable by experience\textsuperscript{9}.
Moreover, the Mauthner neuron not only enabled insights into synaptic communication within the vertebrate nervous system, but additionally demonstrated the correlation of the activity of a single cell with a defined response, the vital fast-start escape response of teleost fish\textsuperscript{2,12}. This
behaviour is one of the most studied behavioural responses and the Mauthner neuron as central true-decision making neuron deciding whether to induce an escape response or not, requires multisensory integration. Sensory information is thereby integrated to specific local postsynaptic domains making the Mauthner neuron also a reliable tool assaying targeted integration of inputs. Sensory information is thereby mainly integrated at one of the two main dendrites of the Mauthner neuron, extending laterally (lateral dendrite) or ventrally (ventral dendrite) (Fig. 2a) and as I show in chapter 1 and 2 of this thesis, the postsynaptic potentials resulting from visual or acoustic stimulation (orthodromic stimulation) (Fig. 2c) can further be used to evaluate the effects of anthropogenic chemicals on sensory systems and central processing of sensory information. Visual information is forwarded from the retina via the *optic tectum* to the ventral dendrite (Fig. 2a). In contrast, the lateral dendrite integrates auditory information, which is forwarded from the acoustic hair cells to the 8th cranial nerve and further projected to large myelinated club endings located at its distal part (Fig. 2a,b).
**Figure 2 Integration of auditory and visual inputs in the goldfish Mauthner neuron.**
*a.* Illustrated goldfish (*Carassius auratus*) presenting a magnified view of both Mauthner neurons. Visual input (indicated by the LED) is forwarded from the retina via the 2nd nerve and integrated at chemical or electrical synapses located at the ventral dendrite of the Mauthner neuron. Auditory information (indicated by the loudspeaker) is forwarded from the acoustic hair cells via the 8th cranial nerve and integrated at mixed-synapses, the so-called myelinated club endings, localized at the distal part of the lateral dendrite.
*b.* Large-myelinated club ending with the afferent’s origin at the 8th cranial nerve and integrate acoustic information forwarded from the acoustic hair cells. Club endings transmit information through chemical synapses via transmitter release (presented on the left side of the synapse) and electrotonic via gap junctions (presented on the right side of the synapse). Pink arrows indicate the direction of the current electrotonic flow.
*c.* Postsynaptic potentials resulting from visual or acoustic input can be recorded intracellular in the Mauthner neuron (orientation as seen from above).
As mentioned above, the club endings are mixed-synapses, providing both gap junction mediated potentials (electrical synapse) followed by transmitter mediated potentials (chemical synapse) and contribute in the fast transmission of sensory information (Fig. 2b). The combination of electrotonic and chemical information transmission thereby enabled the study of interesting effects. In this context, electrical stimulation of the Mauthner axon (antidromic activation) evokes action potentials at the axon hillock, the only active spike-generating region of the Mauthner neuron (Fig. 3). Simultaneously, the generated currents spread towards the presynaptic site of the large-myelinated club endings via the gap junctions and cause a depolarization. This process, also called backfiring, then results once again in a presynaptic transmitter release (glutamate) giving rise to a delayed postsynaptic potential (longer lasting component) following the action potential (early fast component), which can also backfire (causing a second delayed potential) (Fig. 3). In my thesis, I could demonstrate that the occurrence of those delayed potentials due to backfiring is a valuable tool to assess the impact of anthropogenic chemicals like bisphenols on synaptic transmission and presynaptic transmitter release (for details see chapter 2). This, again, clearly emphasizes the Mauthner neuron as a new model to obtain comprehensive information about the impact of anthropogenic substances on the vertebrate nervous system.
**Figure 3** *Backfiring from the Mauthner axon hillock to presynaptic sites.* Schematic presentation of the Mauthner neuron. Blue arrows indicate direction of the current flow after electrical stimulation of the Mauthner axon (antidromic stimulation). After electrical stimulation an action potential is generated at the axon hillock and can be recorded intracellularly in the Mauthner soma. The axon hillock is the only active spike-generating site of the Mauthner neuron and surrounded by the axon cap (presented as a dotted light grey semicircle). The generated current further depolarizes the presynaptic site of the mixed-synapses localized at the distal part of the lateral dendrite. This causes once again a transmitter release, which gives raise to a delayed potential following the action potential. If this also backfires a second delayed potential occurs.
Since the discovery of the Mauthner axon, this neuron became one of the best studied neurons due to the number of breakthroughs it has enabled because of its giant size and accessibility\textsuperscript{7,8}. Here, I used the Mauthner system for the first time as a new model to determine the impact of different anthropogenic substances on the mature vertebrate brain. First, as legislation demanded the equal treatment of all vertebrates and therefore declared the use of anaesthetic agents for all interventions that could be stressful, the lack of information for the targeted application of anaesthetic agents in fish can no longer be tolerated. In this context I introduce recording in the Mauthner neuron to quickly obtain effects of different anaesthetic agents, in particular, on sensory information processing, offering a first guide for both aquaculture industry and research facilities to provide a basis for informed decisions, which anaesthetic to use. Second, the use of bisphenols and the replacement of bisphenol A by presumably safe substitutes such as bisphenol S is critically discussed, because of accumulating evidence of similar problematic effects. By using recording in the Mauthner neuron, I demonstrate new and alarming effects of bisphenols, originally thought to only act as endocrine disrupting chemicals, on the adult brain and recommend using \textit{in vivo} recording in the Mauthner neuron to be part of test series contributing in the early risk assessment of new developed substances, before they also become ubiquitous in the environment.
3.2 Recording in the Mauthner neuron provides urgently needed information for targeted application of anaesthetics in fish
Fish gained increasing interest not only in different fields of research, as model organism for neurobiological, developmental or environmental studies, but also in other branches such as nutritional sciences and in aquaculture industries. According to the FAO, the global fish production, actually, reached an annual volume of more than 170 million tonnes with 47% represented by aquaculture\textsuperscript{18}. Numbers of fish in use during experimental procedures reached a value of 350,000 in 2019 in Germany\textsuperscript{19} and a value of 276,800 in the United Kingdom\textsuperscript{20}. Beyond that, the exact number of fish used in the United States has not to be recorded as prescribed by law, but even exceeds those obtained in the European union with the estimated values of 3.5 – 7 million, annually\textsuperscript{21}. However, in conjunction with the growing numbers of fish in use, studies revealed accumulating evidence on the higher cognitive function of fish\textsuperscript{22-28}. This pointed towards their capability to suffer, which therefore highly demanded for action, to contribute on the wellbeing of those animals. Hence, the European Union legislative decided the equal treatment for all vertebrates and therefore declared the mandatory use of anaesthetic agents for all interventions that could be stressful in the Directive 2010/63/EU\textsuperscript{25,29-32}. Although legislation no longer distinguishes between higher (e.g. birds and mammals) and lower vertebrates (e.g. fish, amphibians), information needed for the targeted application of anaesthetic agents in fish is highly insufficient, whereas data obtained over years for mammals and birds already allow to adapt a careful mix of anaesthetic agents to the underlying research question\textsuperscript{33-36}. In fish, MS-222 is the most common used anaesthetic agent in both research facilities and aquaculture industry\textsuperscript{37,38}. However, its mode of action is still not fully investigated and this ambiguity is also reflected in the guidelines and legislation, which differ between the countries\textsuperscript{39-41}. In Canada, MS-222 is used for all food fish\textsuperscript{42}, while in the United Kingdom the number of applications of the drug in food fish is limited\textsuperscript{43}. In the United States, MS-222 application is not only limited to selected fish species, but in addition it is the only market authorized drug\textsuperscript{44}. In Norway, MS-222 is now substituted by a new anaesthetic agent, Aqui-S, for the use in aquaculture and transportation\textsuperscript{32}. However, apart from its potential to make handling easier, information about the effects on various sensory systems and sensory processing in fish and other ectothermic vertebrates as well as concentration-dependant differences is still lacking. Moreover, licensing new drugs is time consuming and costly\textsuperscript{32,45} and we have to be aware of the fact that anaesthetic quantities used for the high amount of fish in use and regardless of their responsible application, are nevertheless steadily increasing due to the lack of sufficient information and alternatives. In consequence, there is a serious conflict
between legislative demands, comprehensive information to fulfil them and the time needed to develop and evaluate new anaesthetic agents.
It is therefore important to establish ways in which useful and reliable information can be obtained quickly both on potential novel anaesthetics and on the anaesthetics that are presently in use to obtain an equal data basis as it is available for the so-called higher vertebrates. In chapter 1, I therefore demonstrate how intracellular recording in the Mauthner neuron contributes in obtaining urgently needed information for the targeted application of anaesthetics in ectothermic vertebrates. The Mauthner neuron in the hindbrain of most fish and some amphibians\textsuperscript{2,3}, functions as a central command neuron for triggering the fast-start escape response\textsuperscript{2,12} in teleost fish, for which it requires multisensory integration. I used this fact and further characteristics of the Mauthner neuron to address several questions in chapter 1: can this system detect differential effects of given anaesthetics by the example of four given anaesthetics – MS-222 (CAS Registry No. 886-86-2), benzocaine (CAS Registry No. 94-09-7), Aqui-S (CAS Registry No. 97-53-0) and 2-phenoxyethanol (CAS Registry No. 122-99-6) (Fig. 4)? Is it possible to even narrow down their site of action? Are there concentration-dependant differences? How many animals are needed to obtain quick reliable and comprehensive results? Results obtained on neuronal function, sensory information integration and processing can further function as a first guide to scientists, veterinarians and aquaculture specialists.
**Figure 4 Chemical structures of anaesthetic agents commonly used in fish.**
a. 2-phenoxyethanol. b. benzocaine. c. Aqui-S. d. MS-222.
3.3 Bisphenols affect the adult brain
The use of chemical substances in consumer goods provides an everyday risk for our health and nature. Adverse effects of these substances can only become visible over time and the risk assessment e.g. in registration processes is therefore challenging for both manufacturing industries and approving authorities. In this context, one of today’s mainly discussed issues is the composition of plastic. Due to its favourable properties and despite today’s legitimate concerns, plastic is still the material of choice for a wide range of applications and products. Plastics are considered to be versatile, durable, lightweight and inexpensive in production\textsuperscript{46,47}. But plastic polymers – as the underlying structure of plastic – are not inherently stable under natural condition. They are brittle and tend to break. To overcome this undesirable characteristic in the final product, plasticizers are generally added\textsuperscript{48-51}. Chemical and natural processes like solar radiation, biological degradation and wash out then lead to a release of these additives from their original compound into the environment, which makes plasticizer contamination nowadays ubiquitously a serious environmental issue\textsuperscript{53-54}.
One of the most frequently used plasticizers is bisphenol A (BPA; 2,2-bis-(4-hydroxyphenyl)-propane; CAS Registry No. 80-05-7) (Fig. 5). Its global production has a volume of about 8 million tons per year and is accompanied by an annual release of 100 tons into biosphere\textsuperscript{55-57}. Nowadays, it can be detected ubiquitously in environment from surface water to breast milk\textsuperscript{53,55,58}. Started as an additive assumed to be relatively harmless, BPA was reported to act as an endocrine disrupting chemical by binding to the estrogen receptors ERα and ERβ\textsuperscript{58}. It affects hormonal balance and reproduction potential and alters neuronal development and metabolic processes both in humans and in so-called lower vertebrates\textsuperscript{52,59,60}. Since 2018, BPA is officially classified as a substance of very high concern by the European Chemical Agency and, in consequence, has been replaced from many products, which are now labelled as BPA free. However, this does not mean that these products do not contain alternative plasticizers instead.
Figure 5 \textbf{Chemical structure of bisphenol A (BPA; 2,2-bis-(4-hydroxyphenyl)-propane)}.
The main substitute of BPA in products labelled to be BPA-free is bisphenol S (BPS; 4,4’-sulfonyldiphenol; CAS Registry No. 80-09-1) (Fig. 6)\textsuperscript{61}, which is similar to BPA in chemical structure, but has been proclaimed as a safer alternative for the usage in consumer goods\textsuperscript{62}. The question, if this point of view is really justified is critically discussed\textsuperscript{53,63-65}. Since the annually manufactured or imported rate of BPS is up to 10,000 tons in the European economic area\textsuperscript{57}, it is no surprise that BPS can already be detected ubiquitously in the environment, too\textsuperscript{54,57}. Due to its sulfonyl group, BPS is less vulnerable to heat and light exposure. However, its water solubility is more than 10-times higher than that of BPA (1,774 mg L\textsuperscript{-1} : 146 mg L\textsuperscript{-1}). Therefore, BPS is nevertheless and especially present in aqueous milieus and environments\textsuperscript{56,67}.
Replacing one toxic chemical by another cannot be the method of choice, especially if there are studies indicating harmful effects of BPS\textsuperscript{53,68,69} and some effects potentially similar to BPA\textsuperscript{69-73}. Furthermore, considering the proven adverse effects of the endocrine disrupting chemicals (EDC), we cannot spend another 10 years figuring out if further substitutes with similar chemical structure act the same way and are therefore also a risk for our health and environment. Bisphenols are able to pass the blood-brain barrier\textsuperscript{74} and it has been shown that – besides acting as EDC – BPA especially interferes with brain development of juvenile vertebrates\textsuperscript{70,71,75}.
Motivated particularly by the varied effects of estrogens on neuronal circuits, in chapter 2 I addressed whether this is restricted only to juvenile developing brains or if similar effects might also exist in mature brains. \textit{In vivo} recording from the Mauthner neuron allows to compare most directly the impact of BPS with that of BPA in the mature vertebrate brain. Unique properties make the Mauthner neuron an ideal neurobiological model for efficiently obtaining the differential effects agents have on neuronal key functions, including action potential generation, neuronal backfiring (giving insights of how electrical synapses and presynaptic transmitter release are affected), synaptic transmission and circuit function. Thereby, I demonstrate that recording from the Mauthner neuron provide a suitable, sensitive and reliable method for taking a first step in risk assessment and question the use of both BPA and BPS in plastic products in general.
3.4 MALDI mass spectrometry imaging workflow reveals histology-linked lipid pattern in aquatic model organisms
The pollution of freshwater and marine ecosystems due to the increasing amount of chemicals in use today causes growing concern regarding their effect on aquatic organisms\textsuperscript{76}. Pollution by plastic products is thereby a major concern with 70,000 to 270,000 tons of marine plastic\textsuperscript{76-79}. Besides the plastic particles, causing physical tissue damage after ingestion, the chemicals released from the original plastic product can interact with the molecular content of the tissue. Bisphenols are one of the chemicals released from plastic products due to chemical and physical processes and are proven to disrupt the lipid distribution and content in animal tissue\textsuperscript{80}. This is alarming, since lipids play various essential roles in animals. As the main components of cellular membranes, they maintain the structural integrity and, in particular within the nervous system, participate in neuronal information transmission\textsuperscript{81,82}. They are also involved in further fundamental processes such as energy storage or hormone regulation and it could be demonstrated, that changes in the lipid pattern can correlate with the development of diseases\textsuperscript{83-85}. Hence, in regard to the growing pollution and the related health risk for aquatic animals, it is crucial to understand to which extent animals can stabilize their lipid composition in the presence of anthropogenic chemicals in general. Considering the various functions of lipids, commonly used analytical methods like LC-MS (liquid chromatography mass spectrometry) to analyze the lipid content in extracted tissue homogenates are not sufficient, as they do not provide spatial information. Structural methods are rather required to visualize the lipid signatures and link them to histological features at various scales – from more extended structures like different organs even down to subcellular resolution.
Matrix-assisted laser desorption/ionization (MALDI) mass spectrometry imaging (MSI) is a molecular imaging technique enabling both the identification of compounds and the visualization of the compound distribution in thin tissue sections of the sample\textsuperscript{86-88}. The use of MALDI, a soft ionization method, thereby allows the ionization of intact lipids, which is crucial for structural elucidation not only for identifying simple fatty acids but in particular for more complex lipids such as glycerophospholipids\textsuperscript{89,90}. Moreover, technological improvements, including increased spatial resolution and high-resolution mass spectrometers\textsuperscript{91,92}, already forwarded lipid analysis from whole body sections even down to single cells\textsuperscript{93}, emphasizing MALDI MSI as a powerful analytical technique putting common histological analysis on a higher level\textsuperscript{94}. In MALDI MSI experiments, the sample is scanned pixel-wise by a laser and a mass spectrum is recorded at every pixel with the signals measured as $m/z$ (mass to charge
ratio). The generated image represents a plot of the abundance of a detected analyte against the respective x/y coordinate of each pixel (Figure 7).
**Figure 7 Basic MALDI MSI workflow.** A biological sample (e.g. zebrafish) is sectioned into thin tissue-sections, which are then coated with a MALDI matrix (indicated in yellow). A laser scans the sample pixel-wise. Each ablation point represents a mass spectrum presenting the measured signals (e.g. lipid signals) as m/z values relative to their abundance. The final generated image presents a distribution map of one measured m/z value (e.g. lipid A) across the whole measured region of the sample. The lipid pattern of lipid A and B can be linked to histological features.
Here, I show, that the obtained anatomical structure-linked lipid pattern can serve as a histological map, which can further be used to monitor potent molecular changes under the exposure of anthropogenic chemicals, evaluating the physiological state of biological tissue. Initial MALDI MSI experiments in aquatic organisms took advantage of the zebrafish (*Danio rerio*), as it is small in size, enabling the analysis of whole-body tissue sections\textsuperscript{95}. Furthermore, there is a first study monitoring changes in phospholipid pattern in the eye of zebrafish after the exposure to fipronil, a common insecticide and biocide\textsuperscript{83}. However, urgently needed detailed spatial information is still missing, and therefore I addressed different questions in chapter 3: Is it possible to overcome present limits of solely localizing different organs due to their lipid composition by linking the molecular pattern with highly-resolved histology and visualize different anatomical compartments with clear borders? In addition, I asked whether it is possible to even visualize single neuronal structures? Here, the Mauthner neuron localized in the *medulla oblongata* of zebrafish (as well as in other vertebrates and some amphibians) is a suitable target, as it exceeds in size compared to other neurons in the vertebrate nervous system and I used its morphological characteristics (large soma up to 100 µm in diameter, contralateral
arranged of the large axons) to individually identify this neuron in brain sections. I could already demonstrate, that intracellular recording in the Mauthner neuron revealed its potential to evaluate the impact of anthropogenic chemicals on the nervous system (in particular see chapter 2). Spatial localization of those chemicals within or next to this neuron could provide an additional aspect of their already proven adverse effects by simultaneously investigating potent changes in lipid pattern. Beside the zebrafish, *Daphnia magna* provides a biological system, which was successfully used to evaluate effects caused by chemical stressors on the lipidome\textsuperscript{96}. However, it is unclear to which extend the lipid composition and spatial distribution of lipids in tissue sections are affected by chemical substances, because maintaining tissue integrity during cryosectioning remained a tough challenge. Therefore, in chapter 3, I present a novel way to maintain tissue integrity in non-preserved samples during cryosectioning, while lipid signals can still be detected with high signal intensities during MALDI MSI analysis.
Obtained lipid signatures within highly-resolved histological structures of both organisms – zebrafish and *Daphnia magna* – are not only an ideal basis analyzing changes caused by anthropogenic chemicals or further pollutants, but additionally will shed light towards early risk assessment strategies for aquatic organisms. Lipids are essential in maintaining tissue integrity and function and early observed changes could help not only to evaluate the animal’s health but also to evaluate the intended safety of new developed substances before they can become a real health hazard.
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92. Kompauer, M., Heiles, S. & Spengler, B. Atmospheric pressure MALDI mass spectrometry imaging of tissues and cells at 1.4-μm lateral resolution. *Nat. Methods*. **14**, 90-96 (2017).
93. Schober, Y., Guenther, S., Spengler, B. & Römpp, A. Single Cell Matrix-Assisted Laser Desorption/Ionization Mass Spectrometry Imaging. *Anal. Chem.* **84**, 6293–6297 (2012).
94. Gessel, M. M., Norris, J. L. & Caprioli, R. M. MALDI imaging mass spectrometry: spatial molecular analysis to enable a new age of discovery. *J. Proteomics.* **107**, 71–82 (2014).
95. Stutts, W. L., Knuth, M. M., Ekelöf, M., Mahapatra, D., Kullman, S. W. & Muddiman, D. C. Methods for Cryosectioning and Mass Spectrometry Imaging of Whole-Body Zebrafish. *J. Am. Soc. Mass. Spectrom.* **31**, 768–772 (2020).
96. Ferain, A., De Saeyer, N., Larondelle, Y., Rees, J.-F., Debier, C. & De Schampheleere, K. A. C. Body lipid composition modulates acute cadmium toxicity in *Daphnia magna* adults and juveniles. *Chemosphere* **205**, 328–338 (2018).
4. Synopsis
Thesis Topic
In this thesis, I applied intracellular *in vivo* recording in an individually identifiable central neuron – the teleost Mauthner neuron – to determine the impact of different anthropogenic chemicals on the adult vertebrate brain. First, I present how recording in the Mauthner neuron can quickly and systematically help filling the gap that currently exists between legislation and informed decision-making on anaesthetic use in ectothermic vertebrates. Second, using this model system, I reveal the alarming and uncompensated impact of exposure to the plasticizer bisphenol A and S, on basically every neuronal property, thereby calling for the rapid replacement of both plasticizers. In the third project, I address an additional and different topic: Here my focus is not on functional effects of anthropogenic chemicals but on their effect on the composition of animals, specifically on their lipid composition. To address this question, I use MALDI MSI on two model systems, the zebrafish and the water flea. I demonstrate the capacity of MALDI MSI, an imaging technique capable of combining molecular identification with highly resolved histology even down to subcellular resolution, providing histology-linked lipid pattern as an ideal basis to future evaluate molecular changes caused by anthropogenic chemicals in key aquatic organisms.
Chapter 1
In chapter 1, I used intracellular *in vivo* recording in the Mauthner neuron of goldfish (*Carassius auratus*) to assess the concentration-dependant impact of four anaesthetic agents on the central nervous system. These agents are commonly used in teleost fish despite the lack of information that would be needed for their responsible and informed application. I show that using the intracellular recordings quickly provide comprehensive data on several neuronal key functions, including the generating of resting and action potentials and sensory information processing, which confirmed the power of the Mauthner neuron as a new model to assay the impact of anaesthetic agents.
Anaesthetic agents were applied at different concentrations, analogous to published values for anaesthesia in fish and thereby served to obtain concentration effect curves. This enables the demanded targeted application of anaesthetics in fish, which can be used as a first guide for scientists, veterinarians and aquaculture specialist and, in addition, meets current legislative
demands to apply anaesthetic agents for any intervention that could be stressful not only in higher but also in lower vertebrates. In this context, informed-decision making was already possible in higher vertebrates due to the high amount of available data, which could be carefully obtained over years. For fish and other ectothermic vertebrates, time is now pressing to obtain equally comprehensive data. The speed of the new assay meets this challenge, providing quick and reliable comprehensive data. Summarizing, this study successfully demonstrates the first application of the Mauthner neuron to efficiently evaluate the effect of anthropogenic chemicals, such as the anaesthetic agents, on the mature vertebrate brain.
Chapter 2
In chapter 2, I used recording in the Mauthner neuron to reveal clear and alarming effects of the plasticizer BPA and its presumably safe substitute BPS, on nearly all aspects of neuronal function in the mature vertebrate brain. These findings thereby enlarge the spectrum of adverse effects for these plasticizers. Prior studies demonstrated that they act as estrogen-disrupting chemicals, and recent studies additionally demonstrated their impact on the developing juvenile brain. I present here the alarming fact that the neuronal effects of BPA and BPS are not restricted to developing brains and highlight the additional danger for human health, because offsetting balances in the brain are often the cause for severe neurological disorders. The sensitivity and speed of the established assay could therefore make it a powerful part of a battery of similarly sensitive assays to evaluate the next-generation plasticizers, before they become also ubiquitous and dangerous for animal and human health.
I first assayed effects of plasticizer exposition on neuronal function including the generation and characteristics of the action potential, the impact on neuronal backfiring and acoustic and visual processing after one month of exposure to low (10 µg/L) and high (1 mg/L) environmentally relevant concentrations. I could show that already low concentrations of the bisphenols cause strong effects on all aspects of neuronal function and that BPA and BPS, at low and high concentrations, have similar effects. Further, I could demonstrate that the observed strong neuronal effects do not establish quickly after short exposure (1 hour). Finally, I compared effects of both bisphenols to effects obtained after EE2 (ethinyl-estradiol) exposure and revealed similar effects on neuronal function, indicating that observed effects could be – at least partly – due to the activation of estrogen receptors. In summary, these findings clearly present the power of the Mauthner neuron as a powerful tool providing rapidly comprehensive data to evaluate the impact of anthropogenic substances on several neuronal key functions.
Chapter 3
Lipids are key components of cellular membranes and are essential for major physiological processes. Changes caused by anthropogenic chemicals can disrupt the physiology of animals and are often observed to occur during the development of diseases. Considering the various functions of lipids, structural methods linking histological features and lipid signatures at various scales are crucial to understand to which extent the lipid composition and thereby the animal’s function is affected by anthropogenic chemicals. Matrix-assisted laser desorption/ionization (MALDI) mass spectrometry imaging (MSI) is such a structural method offering the possibility to link molecular information with spatial distribution of lipids in thin tissue sections. In chapter 3, I used MALDI MSI analysis to visualize histology-linked lipid pattern in zebrafish and *Daphnia magna* providing an ideal basis assaying spatial molecular changes in the presence of anthropogenic chemicals in further studies.
I first investigated the lipid content and distribution in body sections of zebrafish. Prior to my investigations, gross anatomical structures, like the brain, the eye or the gills, could roughly be localized using mass spectrometry imaging. In the current study, with the presented workflow I was able to not only localize but also to clearly differentiate single organs from the surrounding tissue. In addition, I present a fine analysis of those structures, visualizing characteristics features, e.g. different eye layers or brain regions, by their differing lipid content. Second, I improved tissue sectioning and matrix application to image, for the first time, even neuronal structures like the axon and the soma of the Mauthner neuron within whole vertebrate brain sections and thereby demonstrated the successful combination of MALDI MSI analysis with spatially highly resolved histology in aquatic tissue. Finally, I presented for the first time a MALDI MSI workflow for maintaining tissue integrity in non-preserved samples of *Daphnia magna* to visualize lipid pattern in the entire body and the brood chamber inside the carapace. This study should pave the path for future investigations of the impact of different anthropogenic substances on molecular level in aquatic organisms.
5. Publications and Manuscripts
(1) Machnik, P., **Schirmer, E.**, Glück, L. and Schuster, S. Recordings in an integrating central neuron provide a quick way for identifying appropriate anaesthetic use in fish. *Sci Rep* **8**, 17541 (2018).
(2) **Schirmer, E.**, Schuster, S. and Machnik, P. Bisphenols exert detrimental effects on neuronal signaling in mature vertebrate brains. *Commun Biol* **4**, 465 (2021).
(3) **Schirmer, E.**, Ritschar, S., Laforsch, C., Schuster, S. and Römpp, A. Histology-linked MALDI mass spectrometry imaging workflow for *Danio rerio* and *Daphnia magna* (2021).
Manuscript is submitted to Scientific Reports.
(4) Ritschar, S., **Schirmer, E.**, Hufnagl, B., Löder, M. G. J., Römpp, A. & Laforsch, C. Classification of target tissues of Eisenia fetida using sequential multimodal chemical analysis and machine learning. *Histochem Cell Biol* (2021).
Manuscript is not part of this doctoral thesis.
6. Own contributions to joined publications and manuscripts
(1) Machnik, P., **Schirmer, E.**, Glück, L. and Schuster, S. Recordings in an integrating central neuron provide a quick way for identifying appropriate anaesthetic use in fish. *Sci Rep* **8**, 17541 (2018).
I performed and analyzed experiments in cooperation with Peter Machnik and Laura Glück. Peter Machnik and Stefan Schuster wrote the paper.
(2) **Schirmer, E.**, Schuster, S. and Machnik, P. Bisphenols exert detrimental effects on neuronal signaling in mature vertebrate brains. *Commun Biol* **4**, 465 (2021).
I designed experimental procedures in agreement with Peter Machnik and Stefan Schuster. In cooperation with Peter Machnik, I performed and analyzed experiments. I wrote the manuscript together with Peter Machnik and Stefan Schuster.
(3) **Schirmer, E.**, Ritschar, S., Laforsch, C., Schuster, S. and Römpp, A. Histology-linked MALDI mass spectrometry imaging workflow for *Danio rerio* and *Daphnia magna* (2021).
Manuscript is submitted to Scientific Reports.
I designed experimental procedures in agreement with Andreas Römpp, Christian Laforsch and Stefan Schuster. Sample preparation of *Daphnia magna* was performed by Sven Ritschar and I prepared zebrafish samples. I performed and analyzed experiments. Sven Ritschar, Christian Laforsch, Stefan Schuster, Andreas Römpp and I wrote the manuscript.
7.1 Recordings in an integrating central neuron provide a quick way for identifying appropriate anaesthetic use in fish
Peter Machnik, Elisabeth Schirmer, Laura Glück and Stefan Schuster
Abstract
In animal husbandry, livestock industry and research facilities, anaesthetic agents are frequently used to moderate stressful intervention. For mammals and birds, procedures have been established to fine-tune anaesthesia according to the intervention. In ectothermic vertebrates, however, and despite changes in legislation and growing evidence on their cognitive abilities, the presently available information is insufficient to make similarly informed decisions. Here we suggest a straightforward way for rapidly filling this gap. By recording from a command neuron in the brain of fish whose crucial role requires it to integrate and process information from all sensory systems and to relay it to motor output pathways, the specific effects of candidate anaesthesia on central processing of sensory information can directly and efficiently be probed. Our approach allows a rapid and reliable way of deciding if and at which concentration a given anaesthetic affects the central nervous system and sensory processing. We employ our method to four anaesthetics commonly used in fish and demonstrate that our method quickly and with small numbers of animals provides the critical data for informed decisions on anaesthetic use.
Introduction
In many countries, legislation no longer distinguishes between 'higher' and 'lower' vertebrates, but requires for all vertebrates that anaesthetics are used in all interventions that could be stressful\textsuperscript{1–5}. However, anaesthetic agents differ largely in their anaesthetising and side effects. Hence, even with equal legal treatment of all vertebrates, detailed evidence is needed to select the appropriate anaesthesia for a particular intervention. Such information is available in birds and mammals. Based on the sensory system or structures of the central nervous system on which they act, a carefully designed mix of anaesthetic agents can be chosen for any given intervention, taking even potential side effects into account\textsuperscript{6}. For fish and other ectothermic vertebrates, however, we are presently lacking information about the effects of potential anaesthetic agents on sensory systems and sensory processing. This massively limits the possibilities to make similar informed decisions on anaesthesia so that there currently is a serious gap between legislative demands and the data required to fulfil them. Time is pressing, because anaesthetisation, particularly of fish, is extensively used, both in research facilities, where the zebrafish \textit{Danio rerio} has become one of the most potent and widely used vertebrate model systems\textsuperscript{7–9}, but also in the economically extremely important aquaculture industry\textsuperscript{10}. According to the FAO, fish production increases year after year, reaching an annual volume of more than 170 million tonnes now\textsuperscript{11}. With the continuous increase of fish production, anaesthetic quantities used in fish and the need of effective anaesthesia also grows continuously. Worldwide numbers are not available, but, for instance, in Norway state authorities track the used quantities of pharmaceuticals applied to fish. Despite responsible use, numbers indicate an exponential increase of anaesthetic quantities in aquaculture industry\textsuperscript{12}. Given the steadily accumulating evidence on higher cognitive functions in fish\textsuperscript{13–19}, given that legislation already demands it in a growing number of states and given the time needed for drug companies and legislation to establish new anaesthetics, it is clear that we do not have equally long time as we took in mammals and birds to establish appropriate data for ectothermic vertebrates that can be used in legal decision making\textsuperscript{20,21}. It is therefore important to establish ways in which useful and yet reliable information can be obtained quickly both on potential novel anaesthetics and on the anaesthetics that are presently in use. Apart from their potential to make handling easier and to reduce stress, the effect of various anaesthetics on specific sensory systems particularly needs to be known for various concentrations to facilitate their aimed application for reducing suffering most efficiently.
Here we demonstrate that recording from the so-called Mauthner neurons, a pair of large identified neurons in the hindbrain of fish (and some amphibians)\textsuperscript{22} is ideally suited to address this challenging issue. The key is that their natural function requires these neurons to integrate information from all sensory systems and to rapidly issue a motor command that would allow the fish to rapidly escape from potential danger (Fig. 1a). We show that this system is ideally suited to determine quickly the effect of a given anaesthetic on various sensory systems, on central processing and motor output. Here we employed this system to provide a first suggestion of the use of four anaesthetics that could effectively be applied in fish and potentially some other ectothermic vertebrates. Two of them are benzocaine and the benzocaine derivative MS-222, which is currently the most commonly used anaesthetic in ectothermic animals\textsuperscript{2,21,23,24}. The other two are 2-phenoxyethanol (2-PE) and Aqui-S, with the latter one widely used in aquaculture facilities\textsuperscript{20}. Our findings thereby can be used as a first guide to scientists, veterinarians and aquaculture specialists until further pursuing our approach leads, in the coming years, to a finer picture with more options.
Results
Assaying the effect of anaesthetics on neuronal functionality
The Mauthner neuron can easily be localised (Fig. 1b, c), identified (Fig. 1d) and accessed *in vivo* for intracellular recording using well-established techniques and criteria\(^{25}\). After having placed an electrode for recording the membrane potential of one of the two Mauthner neurons, examining the impact of anaesthetic agents on the animal’s central processing can be started. We first tested the effect of our selection of agents, applied in reasonably administrable concentration (see Methods), on neuronal functionality. For that we activated the Mauthner neuron by stimulating the spinal cord electrically (Fig. 1d). This allows to easily assay both the resting potential and characteristics of the action potential (i.e. its delay, amplitude, half-maximal duration) as measures for how anaesthetics act at the cellular level in neurons (Fig. 2a). We first applied anaesthetic concentrations commonly used in teleost fish: 0.2 to 0.6 ml L\(^{-1}\) 2-PE, 20 to 100 mg L\(^{-1}\) MS-222 and benzocaine and 10 to 20 mg L\(^{-1}\) Aqui-S, respectively\(^{4,21,23,26–29}\). To determine the anaesthetic impact of each agent, we ran concentration effect curves by changing the anaesthetic concentration while recording from the Mauthner cell. However, none of the applied concentrations of 2-PE or Aqui-S significantly affected any cellular property of the Mauthner neuron (Fig. 2b–e; repeated measures ANOVA: \(r^2 \leq 0.48, P \geq 0.07\) in all plots). In contrast, the two benzocaine derivates (MS-222 and benzocaine) increased the delay from spinal cord stimulation to the action potential in the Mauthner neuron in a concentration-dependent way (repeated measures ANOVA: \(r^2 \geq 0.89, P \leq 0.01\)), and decreased the amplitude of the action potential (repeated measures ANOVA: \(r^2 \geq 0.69, P \leq 0.01\)). The resting potential and the half-maximal duration of the action potential were not affected by MS-222 or by benzocaine anaesthesia (repeated measures ANOVA: \(r^2 \leq 0.16, P \geq 0.51\)). Furthermore, we found no significant difference between the effects detected in the animals anaesthetised with MS-222 and those in the animals anaesthetised with benzocaine (paired \(t\) test: \(P \geq 0.18\)). This indicates that both benzocaine derivates similarly affected neuronal properties.
Next, we asked whether the differences in how the anaesthetics affected cellular properties were simply due to different effective concentration levels or indicate inherent differences between the agents. We therefore increased the concentration further for 2-PE and for benzocaine, applying concentrations up to 1.0 ml L\(^{-1}\) of 2-PE and up to 150 mg L\(^{-1}\) of benzocaine. Both concentrations are substantially higher than needed for establishing surgical anaesthesia\(^{20,28}\). The findings fully confirmed that 2-PE does not affect cellular properties of the Mauthner
neuron even at high concentrations. This is shown exemplarily for the amplitude of the action potential in Fig. 2f (linear regression analysis: $r^2 = 0.03$, $P = 0.37$), but also held for all other measures (delay, half-maximal duration, resting potential; linear regression analysis: $r^2 \leq 0.06$, $P \geq 0.23$ in all plots). In contrast, benzocaine at a concentration of 150 mg L$^{-1}$ (i.e. at 2.5 times the surgical concentration\textsuperscript{28}) terminated in 3 of 3 animals tested the capacity of the neuron to fire an action potential (Fig. 2g). Benzocaine and 2-PE thus provide examples of anaesthetics that either do not affect the functionality of neurons (2-PE) or reduce it in a concentration-dependent fashion (benzocaine) and with an effect already at concentrations applied in surgery or handling.
**Assaying the effects on hearing and acoustic processing**
Both benzocaine and MS-222 reduced the amplitude of acoustically induced PSPs in a concentration-dependent fashion (Fig. 3c; repeated measures ANOVA: $r^2 \geq 0.66$, $P \leq 0.01$). However, even high concentrations did not completely block acoustic PSPs (Fig. 3c). In the animals anaesthetised with 20 mg L$^{-1}$ MS-222, the amplitude of acoustically induced PSPs was $8.7 \pm 0.4$ mV. Increasing the MS-222 concentration to 100 mg L$^{-1}$, only decreased the amplitude to $7.7 \pm 0.6$ mV. In animals anaesthetised with benzocaine, the amplitude of acoustically induced PSPs was $14.8 \pm 1.4$ mV for 20 mg L$^{-1}$ benzocaine and $12.9 \pm 1.9$ mV for 100 mg L$^{-1}$. Despite the substantial increase in concentration both anaesthetics only moderately reduced PSP amplitude (by less than 15%). Even when benzocaine was applied at the concentration that prevented the firing of action potentials (150 mg L$^{-1}$; Fig. 2g), it did surprisingly not block the acoustically induced PSPs in the Mauthner neuron, but only reduced its amplitude to $9.8 \pm 0.8$ mV. This is still 66% of the amplitude measured under anaesthesia established by applying only 20 mg L$^{-1}$ benzocaine. While MS-222 and benzocaine thus had only a mild effect on the amplitude, they even had no detectable effect at all on the delay of the acoustically induced PSPs (Fig. 3b; repeated measures ANOVA: $r^2 \leq 0.42$, $P \geq 0.11$).
Also both 2-PE and Aqui-S did not affect delay and amplitude of acoustically induced PSPs (Fig. 3b, c; repeated measures ANOVA: $r^2 \leq 0.38$, $P \geq 0.14$). PSPs measured under differently deep anaesthesia are shown in Fig. 3d. In summary, none of the four anaesthetics blocked hearing and auditory processing even at very high concentrations.
Fig. 1. Brief overview of major features that make the Mauthner cell an interesting experimental system to elucidate the differential actions of anaesthetics. (a) Multisensory integration and motor output: Sketch of a teleost fish with central nervous system (grey), the right one of its two Mauthner neurons (orange spot) in the hindbrain, sensory input to the Mauthner neuron (red) and its motor output (blue). When input is suprathreshold, one of the two Mauthner neurons fires one action potential and this will cause body bending by activating trunk muscles on the contralateral side. (b–d) The Mauthner neuron is an identified neuron that is easy to find and to record from. Though buried deeply in the hindbrain, the Mauthner cell soma can be found for *in vivo* recording on the basis of an all-or-none field potential that emerges from an associated structure in direct vicinity, the axon cap, when the Mauthner axon is activated by stimuli applied to the spinal cord. To illustrate this important feature, the known increase of this field potential during a direct approach from the medullary surface to the centre of the axon cap is shown for goldfish. $D$ indicates the distance between the recording electrode and the centre of the axon cap at respective measuring position. (c) A map of the field potential amplitude at the depth of the goldfish Mauthner cell – about 1.2 mm under the surface of the medulla, with distance from major medullary landmarks (4th ventricle and midline) indicated (208 sampling points; right hemisphere; distance between points between 25 and 100 µm depending on steepness of change in field potential). (d) At the field potential maximum, advancing the electrode slightly further will allow recording from the Mauthner neuron. Its identity can be confirmed by several unique characteristics of its action potential, such as its short latency after spinal cord stimuli (1; arrowhead) and the absence of both overshoot (2) and undershoot (3).
Fig. 2. The anaesthetics benzocaine, MS-222, 2-PE and Aqui-S act differently on the Mauthner cell. (a) To assess potential differences in how the anaesthetics could affect the functionality of neurons in the central nervous system of fish, we determined the resting potential of the Mauthner neuron and properties of its action potential. (b) Both benzocaine (blue) and its derivate MS-222 (red) reduced conduction speed (i.e. increased delay) in a concentration-dependent fashion. Arrowheads in the graphs indicate the anaesthetic concentration needed for achieving surgical anaesthesia, respectively, referring to Neiffer and Stamper (2009). (c) At concentrations above 60 mg L$^{-1}$ benzocaine and MS-222 caused a reduction in the amplitude of the action potential. (d, e) For concentrations up to 100 mg L$^{-1}$ benzocaine and MS-222 did not affect the resting potential and the duration of the action potential. However, increasing benzocaine concentration above 100 mg L$^{-1}$ blocked the functionality of the neuron (g). In 3 of 3 animals tested, no more action potentials were fired at the concentration of 150 mg L$^{-1}$, as illustrated by recordings taken in the same fish at benzocaine concentrations of 20 mg L$^{-1}$ (blue) and of 150 mg L$^{-1}$ (grey). In contrast, the two anaesthetics 2-PE and Aqui-S neither affected the resting potential of the Mauthner neuron (e) nor its action potential (b–d). (f) Even increasing 2-PE concentration to 1 ml L$^{-1}$ (5 times the concentration needed for establishing surgical anaesthesia) did not affect functionality. MS-222 and Aqui-S: $N = 5$ fish each; 2-PE and benzocaine: $N = 3$ fish each; * indicates $P < 0.05$; *** indicates $P \leq 0.001$; significant differences between groups are indicated by horizontal lines with the level of significance indicated by asterisk(s).
Fig. 3. The effect of anaesthetics on hearing and auditory processing. (a) Acoustic stimulation elicits postsynaptic potentials (PSPs) in the Mauthner neuron, whose delay and amplitude provide an easy way to examine the effect of anaesthetics on hearing and auditory processing. (b, c) 2-PE and Aqui-S had no effect on delay and amplitude of the acoustically induced PSPs. However, MS-222 and benzocaine, when applied at concentrations above the surgical level of 60 mg L$^{-1}$, significantly reduced the amplitude of acoustically induced PSPs. MS-222 and Aqui-S: $N = 5$ each; 2-PE and benzocaine: $N = 3$ each. * indicates $P < 0.05$. Significant differences between groups indicated by horizontal lines. The respective anaesthetic concentration needed for achieving surgical anaesthesia is indicated in the graphs of (b) by an arrowhead for better orientation. (d) Representative examples of PSPs measured in the same animal under anaesthesia with the lowest (coloured PSP) and the highest concentration (grey PSP) used, as indicated.
Assaying the effects on vision and visual processing
Recording PSPs in the Mauthner neuron in response to visual stimuli allows to assay the effects of the four anaesthetics on vision and visual processing. Our measurements clearly show that benzocaine and its widely used derivate MS-222 block vision and/or visual processing in a concentration-dependent fashion (Fig. 4d). Fig. 4b shows the effect of these agents on the delay of the light flash-induced PSPs in the Mauthner neuron (repeated measures ANOVA: $r^2 \geq 0.89$, $P \leq 0.01$). Measured in the same animals, delay rose from $28.4 \pm 1.1$ ms under anaesthesia established by the application of 20 mg L$^{-1}$ MS-222 to $33.0 \pm 1.2$ ms when anaesthetic
concentration was increased to 100 mg L\(^{-1}\). In animals anaesthetised with benzocaine, delay was \(30.5 \pm 1.5\) ms after the application of 20 mg L\(^{-1}\) benzocaine and \(38.4 \pm 3.0\) ms for the concentration of 100 mg L\(^{-1}\). The amplitude of the visually induced PSP was affected even more impressively. It decreased drastically with increasing levels of both MS-222 and benzocaine (Fig. 4c; repeated measures ANOVA: \(r^2 \geq 0.98, P \leq 0.0004\)). Increasing the anaesthetic concentration from 20 mg L\(^{-1}\) to 60 mg L\(^{-1}\) decreased the amplitude of visually induced PSP substantially, from \(5.6 \pm 0.4\) mV to less than 1.0 mV. 100 mg L\(^{-1}\) further reduced the amplitude to less than 0.5 mV. In other words, animals anaesthetised with benzocaine or the benzocaine derivate MS-222 perform as if they were virtually blind for concentrations \(\geq 60\) mg L\(^{-1}\). This is compatible with reports on the impact of MS-222 on retinal function taken from *in vitro* measurements\(^{30–32}\). We would like to stress that our approach not only readily detects the effect, but also allows to conclude that MS-222 acts specifically on sensory function. The latter follows from a comparison of the effect of MS-222 on the auditory and the visually evoked responses in the Mauthner neuron. The absence of a correlated effect on both types of PSPs (correlation analysis on data of Figs. 3c and 4c: \(P = 0.46\)) suggests that the effect is largely due to its effect on vision and not on central processing. This also held true for the effect of benzocaine.
In contrast to MS-222 and benzocaine, 2-PE did not block visually induced PSPs (Fig. 4d). The application of 2-PE only slightly increased the delay of visually induced PSPs for concentrations higher than 0.4 ml L\(^{-1}\) (Fig. 4b; repeated measures ANOVA: \(r^2 = 0.90, P = 0.009\), and did not affect the PSP amplitude (Fig. 4c; repeated measures ANOVA: \(r^2 = 0.63, P = 0.13\)) at surgical concentrations. Also, the widely used anaesthetic Aqui-S does not always block vision. However, its effect on vision was remarkably variable (Fig. 4e). In 2 of the 5 experimental animals vision was fully intact at surgical levels. In contrast, Aqui-S, applied at the same concentration, effectively blocked visual PSPs in 3 of the 5 experimental animals (PSP amplitude < 0.5 mV). Note that all animals were checked before experiments (see Methods) for sensory induced responses and were clearly not blind. Furthermore, experiments were interspersed with experiments in which 2-PE was used for anaesthetisation and in which vision was unaffected, so that the variation in the effects could not be attributed to any parameters that might have changed in the setup between measurements in which Aqui-S had a strong effect and in which it had no effect on the visually induced PSPs. Aqui-S therefore appears to be highly variable in its effect on vision.
Fig. 4. The effect of anaesthetics on vision and visual processing. (a) Even simple visual stimuli, such as light flashes, elicit postsynaptic potentials (PSPs) in the Mauthner neuron. Their delay and amplitude provide a convenient measure of how anaesthetics affect vision and visual processing. (b, c) 2-PE did not reduce the amplitude of visually induced PSPs (repeated measures ANOVA: $r^2 = 0.63$, $P = 0.13$), but concentrations above 0.4 ml L$^{-1}$ (i.e. concentrations 2 to 3 times above surgical concentration level) slightly increased their delay (repeated measures ANOVA: $r^2 = 0.90$, $P = 0.009$). In contrast, MS-222 and benzocaine strongly affected PSP amplitude and delay and PSPs were almost undetectable above the surgical concentration of 60 mg L$^{-1}$. In 2 of 5 experimental animals any Aqui-S concentration showed no effect on the visually induced PSPs, whereas in 3 further experimental animals Aqui-S reduced the amplitude of visually induced PSPs to zero. MS-222 and Aqui-S: $N = 5$ fish each; 2-PE and benzocaine: $N = 3$ fish each. * indicates $P < 0.05$, ** indicates $P \leq 0.01$; *** indicates $P \leq 0.001$. Significant differences between groups indicated by horizontal lines. Arrowheads indicate the anaesthetic concentration needed for achieving surgical anaesthesia in the graphs of (b), respectively, for better orientation. (d) Representative examples of PSPs measured in the same animal under anaesthesia with the lowest (coloured PSP) and the highest concentration (grey PSP) tested in the experiments.
Our approach allows significant statements based on small samples
As a critical check of the practical usefulness of our approach we asked how many experimental animals are required to meaningfully assess the effect of an agent or pharmaceutical actually. To critically assess this decisive question, we took measurements in additional three groups of three animals each. The additional three groups were tested for the effect of 2-PE for anaesthetisation at concentrations in the range from 0.2 to 0.6 ml L$^{-1}$ as described above (Figs. 2b–e, 3b–c, 4b–c), so that we had four groups with a total of $N = 12$ experimental animals. To directly assess the variations between the groups of three animals, Figs. 5 and 6 show the results of a characterisation of the three additional groups. We compared the conclusions made in the
Fig. 5. Evidence suggesting that small numbers of animals are sufficient to characterise effects of anaesthetics on neuronal functionality. (a–c) shows data such as presented for $N = 3$ fish in Fig. 2b–e, but for three additional groups, also of $N = 3$ fish each. (d) shows the results obtained when the $N = 12$ fish had been pooled. 2-PE was used as anaesthetic.
Fig. 6. Evidence suggesting that small numbers of animals are sufficient to determine the effect of anaesthetics on sensory function. Analyses as in Figs. 3 and 4, but with three additional groups, each of $N = 3$ fish. 2-PE was used as anaesthetic.
Table 1. Practical guidelines for anaesthetic use based on our findings in goldfish
| Anaesthetic agent | Surgical conc.* | Functionality of CNS neurons | Handling in the presence of | Scientific study of |
|-------------------|-----------------|------------------------------|----------------------------|---------------------|
| | | Affected | Vanished | Noise | Light | Hearing | Vision |
| 2-PE (ml L$^{-1}$) | 0.2 | no | no | no | no | yes | < 0.6 |
| MS-222 (mg L$^{-1}$) | 60 | > 60 | n.d. | no | ≥ 60 | <100 | no |
| Benzocaine (mg L$^{-1}$) | 60 | > 60 | > 100 | no | ≥ 60 | <100 | no |
| Aqui-S (mg L$^{-1}$) | 10 | no | no | no | no | yes | no |
* required concentration according to Neiffer and Stamper (2009); n.d. = not determined
small-sample groups among each other, but also with the conclusions basing on the measurements of the pooled group ($N = 12$). It is striking that none of the small-sample groups gave an effect that differed from that obtained for the large group. In none of the small sample groups or the pooled group we detected a direct effect of 2-PE on the Mauthner neuron (repeated measures ANOVA: $r^2 \leq 0.63$, $P \geq 0.14$ in all plots). Similarly, in no group did we detect an effect of 2-PE on the delay of acoustically induced PSPs and on the amplitude of both acoustically and visually induced PSPs (repeated measures ANOVA: $r^2 \leq 0.71$, $P \geq 0.09$ in all plots). Furthermore, all four small-sample groups revealed the concentration effect of 2-PE on the delay of the visually induced PSPs (repeated measures ANOVA: $r^2 \geq 0.86$, $P \leq 0.02$) just as in the pooled group (repeated measures ANOVA: $r^2 = 0.78$, $P < 0.001$).
Discussion
The goal of the current study was to explore how useful recordings of anti- and orthodromically stimulated Mauthner neurons would be to quickly obtain urgently needed reliable information on the various effects anaesthesia can have on sensory and neuronal function in fish. We demonstrate the power of our approach by studying the effect of four anaesthetics that are commonly used in ectothermic vertebrates: MS-222, benzocaine, 2-phenoxyethanol and Aqui-S. By monitoring neuronal functionality and visual and acoustic inputs to these command neurons\textsuperscript{22,33–35}, we showed that recording in the Mauthner neuron allows to not only detect differential effects of the anaesthetics, but even successfully narrows down its site of action. Our approach allows a quick way of determining, which concentrations are needed for the desired effect. We show that small numbers of animals are sufficient and so our method is likely to quickly widen the spectrum of anaesthetics for fish and potentially other ‘lower’ vertebrates for the required more targeted application in experimentation, treatment and aquaculture. Moreover, our findings already provide a basis for a recommendation which of the anaesthetics to use for different purposes and at which concentration (Table 1).
Our approach exploits the function and accessibility of a pair of identified neurons in the hindbrain of most fish species and in many amphibians, that can be identified from one animal to the next. The so-called Mauthner neurons form the centre of a network, that is crucial to elicit a life-saving escape behaviour in response to a threat, such as a suddenly approaching predator. To achieve this, the Mauthner neurons integrate and process information forwarded from all of the animal’s sensory systems (Fig. 1a) to properly assess the necessity for driving an escape response\textsuperscript{22}. This property makes the Mauthner neuron an ideal substrate for efficiently obtaining the differential effects agents have on central nervous processing and sensory function in fish. We show that important conclusions can already be obtained from small numbers of animals, a highly desirable property from an ethical point of view\textsuperscript{36} and needed to speed up data acquisition. Measurements taken from three fish were sufficient for determining the concentration dependence and general action of our sample of anaesthetics on neuronal and sensory function (Figs. 5, 6) and could not be improved by using larger samples of 12 fish. Even small effects could be reliably detected in the small groups of three fish, such as the concentration dependency of the delay of visually induced PSPs for 2-PE application (Fig. 4b).
Our findings strongly underline the importance of having detailed information available on anaesthetic effects in fish. We show that even the agents currently used to anaesthetise and to calm fish substantially differ in their effects. This is perhaps most striking in benzocaine and
Aqui-S, two widely and indiscriminately used anaesthetics for fish. Even when benzocaine is given at a concentration that blocks firing of the Mauthner neuron, sound can still elicit sizeable PSPs in the same cell. Similarly, when benzocaine is given at a concentration that blocks visually induced PSPs, then activation of the neuron is still possible as well as sound induced PSPs. In the case of Aqui-S, an agent that is widely used in aquaculture facilities, we discovered that a remarkable degree of unpredictability exists selectively for visually induced responses, but not for acoustically induced responses and neuronal function. Hence, Aqui-S is a potent agent for handling and for reducing stress in fish, but not for blocking vision or for the scientific study of visual functions (Tab. 1). Our findings also underline the importance of using other anaesthetics besides benzocaine derivates like MS-222, the most commonly used anaesthetic in scientific work. It cannot be used, for instance, in studies on visual function, in which it should be substituted with 2-PE (Tab. 1). In studies on hearing all anaesthetics of our sample would be equally well suited. This means, however, also that none of them is capable of reducing strain of fish in particularly noisy environments. Presently our suggestions that we have condensed in Table 1 base, of course, on experiments performed in goldfish. In absence of any other data, it would still be useful to operate on the basis of Table 1, even for other ectothermic vertebrates for which we lack any data. Of course, it is also possible to quickly widen the approach introduced here to other species and to use it to widen the spectrum of useful agents for targeted applications in fish.
In conclusion, we demonstrated here how recordings in the Mauthner neuron can quickly and systematically help filling the gap that currently exists between legislation and informed decision-making on anaesthesia in ectothermic vertebrates. By scanning the effects of further candidate agents, and by exploring their effects in a few more key species of fish, our approach will in the coming years contribute to achieving a reasonable and targeted anaesthesia in fish and will be of value for other ectothermic vertebrates, for which any information is presently lacking.
Methods
Experimental animals
We used $N = 25$ goldfish (*Carassius auratus* (Linnaeus, 1758), Cypriniformes) of either sex with standard lengths from 7 to 9 cm. The fish were obtained commercially from an authorised specialist retailer (Aquarium Glaser GmbH, Rodgau, Germany). Before used in experiment, fish were kept for at least 12 weeks. In this period, they were maintained in a group at 20°C and 12:12h light/dark photoperiod in a tank (250 x 50 x 50 (cm)) filled with fresh water (water conductivity: 300 µS cm$^{-1}$; pH 7.5; total hardness of water: 7.7°dH; NH$_4^+$ < 10 µg L$^{-1}$; NO$_2^-$ < 5 µg L$^{-1}$; NO$_3^-$ < 5 mg L$^{-1}$). Water of the same quality was used in the electrophysiological recording chamber. Fish were fed with common fish food (sera goldy; sera GmbH, Heinsberg, Germany) and defrosted red mosquito larvae. Animal care procedures, surgical procedures and experimental procedures were in accordance with all relevant guidelines and regulations of the German animal protection law and explicitly approved by state councils (Regierung von Unterfranken, Würzburg, Germany). Before selecting fish for an experiment, we checked that they respond to visual and acoustic stimuli: they had to show escape responses both to rapid hand movements in front of the aquarium and to knocking on the aquarium.
Anaesthesia
We tested the effect of four anaesthetic agents commonly used in fish: (i) 2-phenoxyethanol (2-PE; 1-hydroxy-2-phenoxyethane; Sigma-Aldrich, Steinheim, Germany), (ii) ethyl-3-aminobenzoate methanesulfonate (also known as tricaine, TMS or MS-222; Sigma-Aldrich, Steinheim, Germany), (iii) benzocaine (Sigma-Aldrich, Steinheim, Germany; solved 1:10 in 95% ethanol), and (iv) Aqui-S (Scanvacc, Hvam, Norway). The use of one of these anaesthetics in a given experiment was selected at random to ensure that any differences could not be caused by unintended changes in the experimental setup or by undetected changes in the animals’ state. Each of the experimental fish was solely exposed to one of the anaesthetic agents to exclude potential interactions between the anaesthetics. Anaesthetic concentration levels, particularly surgical concentrations, were chosen based on appropriate references\textsuperscript{4,21,23,26–29}. For the appropriate use of Aqui-S, an anaesthetic widely used in aquaculture facilities, we additionally used information provided by Aqui-S New Zealand Ltd (\url{http://www.aqui-s.com/aqui-s-products/aqui-s} (2018)). Concentration levels ranged from 0.2 to 1.0 ml L$^{-1}$ for 2-PE, 20 to 100 mg L$^{-1}$ for MS-222, 20 to 150 mg L$^{-1}$ for benzocaine, and 10 to 20 mg L$^{-1}$ for Aqui-S. 20 mg L$^{-1}$ of the anaesthetics MS-222 and benzocaine cause slight anaesthetisation in fish (stage II
anaesthesia\textsuperscript{1,20}), whereas all other applied anaesthetic concentrations cause at least surgical anaesthetisation (stage III anaesthesia)\textsuperscript{21}. Before starting any surgical intervention, fish were surgically anaesthetised (stage III anaesthesia\textsuperscript{1-20}) by application of either 0.4 ml L\textsuperscript{-1} 2-PE, 60 mg L\textsuperscript{-1} MS-222 or benzocaine or 20 mg L\textsuperscript{-1} Aqui-S for 15 min. We generally confirmed the sufficiency of the anaesthetisation after total loss of equilibrium by carefully exerting pressure to the fish’s caudal peduncle. In responsive fish, this kind of touch reliably triggers an escape response and subsequent swimming behaviour. When this stimulation (and subsequent handling) yielded no response, then the fish was positioned in the electrophysiological recording chamber and artificial respiration was established with aerated water flowing via a tube through the mouth and out over the gills at a flow rate of 80 ml min\textsuperscript{-1}. Respiration water thereby was delivered to the fish from a reservoir (respiration water tank) using a suitably adjusted pump (EHEIM universal 300; EHEIM GmbH & Co. KG, Deizisau, Germany; regular power: 300 L h\textsuperscript{-1}, adjusted to 4.8 L h\textsuperscript{-1}). To maintain anaesthesia, the respiration water always contained the same anaesthetic as used for establishing anaesthesia. We started experiments randomly either with the lowest concentration used in the respective experiment or with the highest one. To examine anaesthetic concentration effects, we then changed the concentration level within a particular animal, while simultaneously recording intracellularly from the Mauthner neuron. To increase the concentration level during the experiment, we added additional anaesthetic to the respiration water. To quickly establish a uniform mixture of respiration water and anaesthetic, we used a circulation pump (EHEIM universal 600; EHEIM GmbH & Co. KG, Deizisau, Germany; power: 600 L h\textsuperscript{-1}) in the respiration water tank. To reduce the anaesthetic concentration, we added additional water of the same quality and temperature to the respiration water tank. After changing the anaesthetic concentration level, we always gave an acclimatisation period of 15 min before the next measurements were taken. This interval was chosen to be significantly beyond the estimated time (< 6 min) needed by the used anaesthetics to impact on the animal’s physiology by simple add-on to the water surrounding the fish\textsuperscript{23,27}.
**Surgical procedure**
To access the Mauthner cells, we exposed the hindbrain by opening the skull from above using a bone rongeur. Additionally, we exposed a piece of the spinal column (about 5 mm length) in the region of the trunk from the side. The large axons of the Mauthner neurons run down the complete spinal cord and can be activated by applying electrical pulses to the spinal cord.
Activation of both Mauthner cells causes typical twitching of the experimental animal. Note that none of the used anaesthetics applied in surgical concentration (Tab. 1) ceased the massive muscle activation after firing the Mauthner neurons. After testing the correct positioning of the homemade bipolar stimulation electrode forwarding electrical pulses to the spinal cord, we therefore had to immobilise the experimental animal for intracellular *in vivo* recording by injecting d-tubocurarine (1 µg g$^{-1}$ body weight; Sigma-Aldrich, Steinheim, Germany).
After finishing recording, the experimental animal was sacrificed immediately and without recovery from anaesthesia by mechanically destroying the brain.
**Experimental procedure**
We used a bridge-mode amplifier (BA-01X; npi electronic GmbH, Tamm, Germany) in current clamp mode for intracellular recordings with sharp electrodes. Recording electrodes (4-7 MΩ) were pulled from 3 mm-glass capillaries (G-3; Narishige Scientific Instrument Lab, Tokyo, Japan) by using a vertical electrode puller (PE-22; Narishige International Limited, London, UK) and filled with 5 M potassium acetate. A motorised micromanipulator (MP-285; Sutter Instrument, Novato, CA, USA) was used to position and to move the recording electrode. The reference electrode was positioned in muscle tissue. Recordings were filtered (Hum Bug Noise Eliminator; Quest Scientific, North Vancouver, BC, Canada) and digitised (A/D converter Micro1401; Cambridge Electronic Design Limited, Cambridge, UK) at 50 kHz. For further processing and analysis we used the acquisition software package Spike2 (version 6; Cambridge Electronic Design Limited, Cambridge, UK). After localisation and identification of one of the two Mauthner cells by using well-established techniques\textsuperscript{22,25,37}, we determined the resting potential of the Mauthner cell, properties related to the Mauthner action potential (delay, action potential amplitude and its half-maximal duration) and properties related to acoustically and visually induced PSPs\textsuperscript{37}, respectively. Delay was taken as the time from onset of the stimulus to the first deflection of the membrane potential away from resting potential. For amplitude we determined the difference between the resting potential and the maximum of the action potential. To elicit an action potential in the Mauthner cell, we stimulated the spinal cord electrically (pulse amplitude: up to 65 V, as required, but regularly between 8 and 12 V; pulse duration: 10 µs; stimulation rate: 2 Hz). Electric pulses thereby were delivered by a constant-voltage isolated stimulator (DS2A2 – Mk.II; Digitimer Ltd., Hertfordshire, UK). For acoustic stimulation, we used a multifunctional active loudspeaker (The box pro Achat 115 MA; Thomann GmbH, Burgebrach, Germany). The loudspeaker generated a short acoustical
broadband pulse (duration 1 ms; frequency distribution from 25 to 1000 Hz; peak amplitude at 300 Hz) with a sound pressure level (SPL) of 145 dB re 1 µPa. We measured SPL under water at the position of the fish in the recording chamber with a hydrophone (Type 8106, Brüel & Kjær, Nærum, Denmark). Visual stimuli were 7 ms-light flashes delivered by a light emitting diode (LED) (RS Components GmbH, Mörenfelden-Walldorf, Germany) directly positioned in front of the ipsilateral eye. The LED peak radiation at about 569 nm was 700 µW m$^{-2}$ nm$^{-1}$ and the width at 100 µW m$^{-2}$ nm$^{-1}$ was 56 nm (range: 543 to 599 nm).
**Statistical analysis**
Statistical tests were run by using the software package GraphPad Prism 5.0f (GraphPad Software, Inc., La Jolla, CA, USA) and performed two-tailed with $\alpha = 0.05$. We tested deviation from normal distribution using the Shapiro–Wilk test. We tested departure from linearity for 2-PE and benzocaine concentration level effects by using a runs test. If the runs test revealed no significant deviation from linearity, we performed a linear regression analysis, otherwise we searched for a better corresponding non-linear fit. To factor out interindividual differences, we changed anaesthetic concentration within particular experimental animals and then used repeated measures design for statistical analysis (e.g. paired $t$ test, repeated measures ANOVA). To compare the impact of MS-222 and benzocaine on neuronal functionality, we also used repeated measures design. Here, we used anaesthetic concentration for pairing. Averages are given as mean ± standard error of mean (s.e.m.). The heat map (Fig. 1c) was constructed in SigmaPlot 11.0 (Systat, Inc., Erkrath, Germany). $n$ labels the number of analysed values; the number of analysed experimental animals is labelled $N$.
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Acknowledgements
The current study was supported by a Reinhart Koselleck-project (to S.S.) of the Deutsche Forschungsgemeinschaft (German Research Foundation). We thank Antje Halwas for excellent technical support and Kathrin Leupolz, Alexander Hecker, Georg Welzel and Wolfram Schulze for helpful discussions and comments on the figures. Additionally, it is a pleasure to thank our reviewers for many helpful comments.
Author contribution
P.M. and S.S. designed and supervised experimental procedure; P.M., E.S. and L.G. performed and analysed experiments; P.M. and S.S. wrote the manuscript.
8.1 Bisphenols exert detrimental effects on neuronal signaling in mature vertebrate brains
Elisabeth Schirmer, Stefan Schuster and Peter Machnik
Abstract
Bisphenols are important plasticizers currently in use and are released at rates of hundreds of tons each year into the biosphere\textsuperscript{1–3}. However, for any bisphenol it is completely unknown if and how it affects the intact adult brain\textsuperscript{4–6}, whose powerful homeostatic mechanisms could potentially compensate any effects bisphenols might have on isolated neurons. Here we analyzed the effects of one month of exposition to BPA or BPS on an identified neuron in the vertebrate brain, using intracellular in vivo recordings in the uniquely suited Mauthner neuron in goldfish. Our findings demonstrate an alarming and uncompensated in vivo impact of both BPA and BPS – at environmentally relevant concentrations – on essential communication functions of neurons in mature vertebrate brains and call for the rapid development of alternative plasticizers. The speed and resolution of the assay we present here could thereby be instrumental to accelerate the early testing phase of next-generation plasticizers.
Introduction
Plasticizers are essential ingredients to plastic production\textsuperscript{7,8}. However, upon degradation of plastic products these additives are released into the environment in large quantity, making plasticizer contamination a serious environmental issue and potential risk for our health\textsuperscript{1,9–12}. For example, 8 million tons of the plasticizer bisphenol A (BPA; 2,2-bis-(4-hydroxyphenyl)-propane; CAS Registry No. 80-05-7) are produced worldwide each year and 100 tons per year are released into the biosphere\textsuperscript{2,3,13,14}, making BPA ubiquitously present in the environment from surface water to breast milk\textsuperscript{1}. Initially considered harmless, its various effects on hormonal balance, reproduction and development in vertebrates\textsuperscript{6,10,12,15,16} have led to its replacement – particularly in baby products – by other bisphenols, most notably bisphenol S (BPS; 4,4’-sulfonyldiphenol; CAS Registry No. 80-09-1)\textsuperscript{4,5}, which is presently available in the EU at rates of 10,000 tons per year\textsuperscript{17}. Evidence, however, is mounting that also BPS might not be unproblematic\textsuperscript{1,4,18–24}. Its almost 100-fold higher solubility in water compared to BPA makes BPS now readily detectable in aqueous environments\textsuperscript{25,26}. Studies in fish models, however, indicate that exposition not only to BPA, but also to BPS results in developmental deformities, impaired and abnormal behavior\textsuperscript{27–30}.
Here we demonstrate an alarming effect of bisphenols that has, to our knowledge, never been described before: We describe here clear and alarming effects of both BPA and its substitute BPS on neuronal functionality in the mature vertebrate brain despite the powerful homeostatic mechanisms that act \textit{in vivo}\textsuperscript{31,32} and that could in principle compensate for any effects seen in vitro\textsuperscript{33,34}. Our findings make it very likely that bisphenols also affect the adult human brain and can, among other aspects, change the delicate balance between excitation and inhibition, which is seen as the basis of several neuronal disorders\textsuperscript{6,35,36}. Our findings call for new approaches to speed up the development and efficient pre-testing of alternative plasticizers. Specifically, the assay that we describe here can rapidly and accurately provide comprehensive information on effects on the mature brain and should therefore be part of a battery of efficient tests in the development of future plasticizers.
Fig. 1 Studying the in vivo effect of bisphenols on neural functionality in the mature CNS of a vertebrate. **a** Bisphenols are additives in plastic products. As plastic degrades these substances are released into the environment and are then able to pass the blood-brain barrier (BBB). Bisphenol A (BPA), the most widely used plasticizer, is released at millions of tons per year and has devastating effects, for instance during ontogeny. Its substitute bisphenol S (BPS) also appears problematic, but for both bisphenols any effect on the mature brain is unknown. **b–d** In vivo intracellular recordings in the central nervous system using the identified Mauthner neuron of the goldfish provide a comprehensive and rapid assay of fundamental aspects of the action of bisphenols in the intact adult brain: The effect on ion channels, chemical and electric synaptic transmission can be studied by antidromically stimulating the axon and monitoring backfiring by currents that spread to the presynaptic sites (**b**). The effect on visual (**c**) and acoustic (**d**) processing as well as transmission and integration at the dendrite can be studied by recording postsynaptic potentials after sensory stimulation.
Results
Assaying neural function in vivo
To study the effect of exposure to bisphenols on the adult vertebrate brain (Fig. 1a), the Mauthner neuron of fish and some amphibians is an ideal substrate. It is one of the very few neurons in the vertebrate CNS that can be identified individually from one animal to the next and that is readily accessible to intracellular in vivo recording\textsuperscript{37}. Therefore, it has been a major source of insight into fundamental mechanisms of synaptic communication in the vertebrate CNS\textsuperscript{38}. The two Mauthner neurons are essential for triggering the vital escape in response to suddenly approaching predators\textsuperscript{39,40}. This requires the Mauthner neuron to integrate information from all sensory systems. Hence, intracellular recordings from the Mauthner neuron can rapidly and highly sensitively assay a number of key aspects of neuronal and circuit function. In our tests we elicited action potentials in the Mauthner neurons antidromically (Fig. 1b), i.e. by stimulating their large axons (see Methods), and quantitatively analyzed several of its characteristics. Additionally, we presented sensory stimuli to activate visual (Fig. 1c) and acoustic (Fig. 1d) processing and recorded postsynaptic potentials (PSPs) to analyze the integration of sensory information in the Mauthner neuron.
Effects on the action potential
We discovered that even at environmentally relevant concentration of 10 µg L\textsuperscript{-1} one month of exposure to BPA or BPS massively reduced the maximal initial slope of the action potential (Fig. 2a) in vivo. In the controls (exposed to the solvent DMSO) the maximal initial slope was $2.13 \pm 0.33$ V ms\textsuperscript{-1} ($N = 13$ independent animal samples; $n = 9$ to 31 measurements per fish). 10 µg L\textsuperscript{-1} BPA reduced it to $0.68 \pm 0.44$ V ms\textsuperscript{-1} ($N = 12$ independent animal samples; $76 \leq n \leq 114$; one-way ANOVA: $F = 17.55$; $R^2 = 0.5899$; $P < 0.0001$; Dunnett test: mean diff.: 1.39; confidence interval of diff.: 0.95 to 1.82; $P < 0.0001$) and 1 mg L\textsuperscript{-1} to $1.19 \pm 0.22$ V ms\textsuperscript{-1} ($N = 12$ independent animal samples; $17 \leq n \leq 19$; Dunnett test: mean diff.: 0.89; confidence interval of diff.: 0.46 to 1.33; $P < 0.0001$). Exposure to 10 µg L\textsuperscript{-1} BPS reduced the maximal initial slope of the action potential to $1.20 \pm 0.47$ V ms\textsuperscript{-1} ($N = 11$ independent animal samples; $86 \leq n \leq 104$; Dunnett test: mean diff.: 0.80; confidence interval of diff.: 0.35 to 1.24; $P < 0.0001$) and 1 mg L\textsuperscript{-1} to $1.93 \pm 0.62$ V ms\textsuperscript{-1} ($N = 11$ independent animal samples; $20 \leq n \leq 159$; Dunnett test: mean diff.: 0.48; confidence interval of diff.: 0.03 to 0.92; $P = 0.032$). Because we also noticed effects on the time course of the action potential, we analyzed the time-integrated action potential, taking the area I\textsubscript{1} for the first ms after onset (see Fig. 2a). Interestingly, here only the
higher plasticizer concentration showed an effect: In controls, $I_1$ was $23.8 \pm 3.1$ mV*ms ($N = 13$ independent animal samples; $9 \leq n \leq 31$). 1 mg L$^{-1}$ BPA reduced the integrated action potential in the first ms of its duration to $20.5 \pm 3.1$ mV*ms ($N = 12$ independent animal samples; $17 \leq n \leq 19$; one-way ANOVA: $F = 6.249$; $R^2 = 0.3387$; $P < 0.0001$; Dunnett test: mean diff.: 3.45; confidence interval of diff.: 0.82 to 6.08, $P = 0.0055$). With 1 mg L$^{-1}$ BPS, $I_1$ was $19.4 \pm 2.9$ mV*ms ($N = 11$ independent animal samples; $20 \leq n \leq 159$; Dunnett test: mean diff.: 4.09; confidence interval of diff.: 1.40 to 6.78; $P = 0.001$).
**BPA increases neuronal backfiring**
The action potential of the Mauthner neuron can backfire to presynaptic sites through electrical synapses (Fig. 1b). These are part of the mixed 'club-ending' synapses that convey acoustic input onto the lateral dendrite of the Mauthner neuron. The resulting depolarization of the presynaptic site can then again cause transmitter release, giving rise to a delayed potential (DP) that lags the action potential by about 1 ms\textsuperscript{d1}. If this also backfires, even a second DP can be generated. The DPs are therefore a valuable tool for assessing how bisphenols affect electrical synapses and presynaptic transmitter release. Fig. 2b illustrates two exemplary DPs. They typically followed $0.86 \pm 0.06$ ms (amplitude $10.3 \pm 3.8$ mV; $N = 5$ independent animal samples; $n = 9$ to 31 measurements per fish; first DP) and $1.44 \pm 0.05$ ms (amplitude $4.9 \pm 1.9$ mV; $N = 4$ independent animal samples; $n = 9$ to 31; second DP) after onset of the action potential (Supplementary Fig. 1b). In the control group a pair of DPs occurred consistently in 31% (4 of 13) of the fish, a single DP in 38% (5 of 13). Consistent with the notion that the 2nd DP is caused by transmitter release due to the presynaptic spreading of the 1st DP, we found that the amplitude of the 2nd DP correlates with the amplitude of the first (Supplementary Fig. 1c; $N = 20$ independent animal samples; $9 \leq n \leq 114$; Spearman correlation: $P = 0.01$) and was absent when the first one was absent. In contrast, we found no correlation between the amplitude of the 1st DP and the amplitude of the action potential (Supplementary Fig. 1c; $N = 33$ independent animal samples; $9 \leq n \leq 114$; Spearman correlation: $P = 0.45$). Strikingly, one month of exposition to BPA strongly affected backfiring \textit{in vivo} through mixed electrical and chemical synapses. While both BPA and BPS did not affect the amplitudes of the DPs (Supplementary Fig. 1d; one-way ANOVA: $F \leq 1.539$; $R^2 \leq 0.1751$; $P \geq 0.217$), specifically BPA (but not BPS) dramatically increased the occurrence of DPs: In the group of fish exposed to 1 mg L$^{-1}$ BPA as
Fig. 2 BPA and BPS both affect central neurons. a BPA and BPS both affected the action potential in the Mauthner neuron. In high and low concentration, they significantly decreased the slope of the action potential. In high concentration, they additionally reduced the area $I_1$. The sketch indicates the experimental setting for antidromic stimulation and intracellular recording from the Mauthner soma. The exemplary action potential from a control fish illustrates the interval in which slope and $I_1$ were determined. b Changes in the occurrence of delayed potentials (DPs) due to backfiring (see Fig. 1b) after bisphenol exposition indicate an impact on synaptic transmission in the CNS. BPA (but not BPS) increased the occurrence of DPs in exposed fish. Low conc.: = 10 µg L$^{-1}$; high conc.: = 1 mg L$^{-1}$; $N_{(Control)} = 13$ independent samples; $N_{(10\mu gL^{-1}BPA)} = 12$ independent samples; $N_{(1ngL^{-1}BPA)} = 12$ independent samples; $N_{(10\mu gL^{-1}BPS)} = 11$ independent samples; $N_{(1ngL^{-1}BPS)} = 11$ independent samples; differently treated groups are indicated by colour; whiskers show the minimum and the maximum value, respectively; significant differences between groups and control are indicated by asterisk(s); * indicates $P \leq 0.05$; ** indicates $P \leq 0.01$; **** indicates $P \leq 0.0001$.
well as in that exposed to 10 µg L\(^{-1}\) BPA the first delayed potential occurred in 75% (9 of 12) (Wilcoxon test for difference from control: \(P = 0.009\)). An additional second DP occurred in 58% (7 of 12) of fish exposed to 1 mg L\(^{-1}\) BPA (Wilcoxon test for difference from control: \(P = 0.086\)) and in 33% (4 of 12) of fish exposed to 10 µg L\(^{-1}\) BPA (Wilcoxon test for difference from control: \(P = 0.13\)). BPA thus strongly increased neuronal backfiring. In light of the findings below, this is a likely consequence of increased transmission at the glutamatergic mixed synapses and increased spreading of the action potential to presynaptic sites.
**Bisphenols affect acoustic processing**
One month of exposure to BPA or BPS had striking and uncompensated effects on the PSPs that were elicited by our broadband acoustic pulse. The experimental setting and an exemplary PSP of a control animal are shown in Figure 3a,b. Strikingly, the bisphenols affected basically all aspects of the acoustic PSP. BPA and BPS both increased the amplitude, the temporal integral and its longtime decay. Maximum amplitude of the PSPs was increased from 7.1 ± 1.4 mV (\(N = 13\) independent animal samples; between \(n = 8\) to 29 measurements per fish) in the controls to 11.2 ± 3.0 mV (\(N = 11\) independent animal samples; 16 ≤ \(n\) ≤ 49) with 10 µg L\(^{-1}\) BPS and to 10.4 ± 2.3 mV (\(N = 11\) independent animal samples; 9 ≤ \(n\) ≤ 46) with 1 mg L\(^{-1}\). 10 µg L\(^{-1}\) BPA increased the maximum amplitude to 10.2 ± 2.1 mV (\(N = 12\) independent animal samples; 10 ≤ \(n\) ≤ 52) and 1 mg L\(^{-1}\) to 11.4 ± 1.9 mV (\(N = 12\) independent animal samples; 11 ≤ \(n\) ≤ 23; Fig. 3c; one-way ANOVA: \(F = 6.994\); \(R^2 = 0.3569\); \(P < 0.0001\); Dunnett test: \(P \leq 0.0032\)). To assay the concentration of the changes in membrane potential, we considered the temporal integral in four consecutive intervals, 50 ms each (Fig. 3b; integrals I\(_1\) to I\(_4\)). This analysis showed a clear increase of the first integral (Fig. 3c; one-way ANOVA: \(F = 6.479\); \(R^2 = 0.3396\); \(P < 0.0001\)) from 117.5 ± 32.1 mV*ms (\(N = 13\) independent animal samples; 8 ≤ \(n\) ≤ 29) in the controls to 173.6 ± 32.6 mV*ms (\(N = 11\) independent animal samples; 16 ≤ \(n\) ≤ 49) with 10 µg L\(^{-1}\) BPS (Dunnett test: mean diff.: −53.74; confidence interval of diff.: −91.16 to −16.32; \(P = 0.002\)) and to 188.9 ± 47.2 mV*ms (\(N = 11\) independent animal samples; 9 ≤ \(n\) ≤ 46) with 1 mg L\(^{-1}\) BPS (Dunnett test: mean diff.: −67.47; confidence interval of diff.: −104.9 to −30.05; \(P < 0.0001\)). BPA significantly increased I\(_1\) in high (Dunnett test: mean diff.: −63.64; confidence interval of diff.: −100.20 to −27.07; \(P = 0.0001\)), but not in low concentration (Dunnett test: mean diff.: −25.96; confidence interval of diff.: −62.53 to 10.61; \(P = 0.2516\)). In fish exposed to 1 mg L\(^{-1}\) BPA, I\(_1\) was 176.4 ± 35.8 mV*ms (\(N = 12\) independent animal samples; 11 ≤ \(n\) ≤ 23). For the acoustic PSPs caused by our stimulus, the time integrals decayed
exponentially ($y = y_0 * \exp(-k * x)$) (goodness of fit: $r^2 \geq 0.54$), but with larger rate constants in bisphenol-exposed fish ($k_{\text{control}} = 0.22; k_{\text{BPS}} \geq 0.31; k_{\text{BPA}} \geq 0.30$). The increase of rate of decay from I$_1$ to I$_4$ thereby was significant in fish exposed to 1 mg L$^{-1}$ BPA (Fig. 3c; one-way ANOVA: $F = 3.357; R^2 = 0.1991; P = 0.0159$; Dunnett test: mean diff.: 0.117; confidence
interval of diff.: 0.030 to 0.203; $P = 0.0047$) and those exposed to 10 $\mu$g L$^{-1}$ BPS (Dunnett test: mean diff.: 0.095; confidence interval of diff.: 0.004 to 0.186; $P = 0.0371$). BPA and BPS significantly reduced the delay of the PSP relative to stimulus onset (Fig. 3c; one-way ANOVA: $F = 6.426; R^2 = 0.3377; P < 0.0001$; Dunnett test: $P \leq 0.0399$). Delay was 7.71 ± 0.28 ms ($N = 13$ independent animal samples; $8 \leq n \leq 29$) in controls. 10 $\mu$g L$^{-1}$ BPA reduced it to 7.62 ± 0.26 ms ($N = 12$ independent animal samples; $10 \leq n \leq 52$) and 1 mg L$^{-1}$ BPA to 7.60 ± 0.23 ms ($N = 12$ independent animal samples; $11 \leq n \leq 23$). 10 $\mu$g L$^{-1}$ BPS reduced the delay to 7.41 ± 0.14 ms ($N = 11$ independent animal samples; $16 \leq n \leq 49$) and 1 mg L$^{-1}$ BPS to 7.42 ± 0.19 ms ($N = 11$ independent animal samples; $9 \leq n \leq 46$). Finally, 1 mg L$^{-1}$ BPA significantly reduced the maximal initial slope of the PSP from 10.0 ± 2.7 mV ms$^{-1}$ ($N = 13$ independent animal samples; $8 \leq n \leq 29$) in the control group to 2.0 ± 0.7 mV ms$^{-1}$ ($N = 12$ independent animal samples; $11 \leq n \leq 23$) (one-way ANOVA: $F = 16.62; R^2 = 0.5689; P < 0.0001$; Dunnett test: mean diff.: 7.72; confidence interval of diff.: 4.55 to 10.90; $P < 0.0001$).
In conclusion both bisphenols had striking effects on almost all functionally relevant aspects of the acoustic PSP. Most remarkably they increased the efficiency at which the acoustic stimulus excited the Mauthner neuron. Because at least BPS is thought to negatively affect sensory hair cells\textsuperscript{42}, a decrease rather than an increase of the amplitude of acoustic PSPs would have been expected. Our findings therefore suggest important and unbalanced excitatory effects of BPA and BPS on (glutamatergic\textsuperscript{41}) synaptic transmission in the CNS.
**Bisphenols affect visual processing**
The bisphenols not only affected acoustic circuits but had striking effects on the visual PSP. The experimental setting and an exemplary PSP are shown in Figure 4a,b. In contrast to their effect on the acoustic PSP, BPA and BPS strongly reduced the amplitude of the visual PSPs (Fig. 4c; one-way ANOVA: $F = 17.83; R^2 = 0.6058; P < 0.0001$; Dunnett test: $P \leq 0.0046$). In controls, PSP amplitude was 10.4 ± 1.8 mV ($N = 8$ independent animal samples; $n = 7$ to 21 measurements per fish). 10 $\mu$g L$^{-1}$ BPA reduced it to 2.9 ± 1.5 mV ($N = 12$ independent animal samples; $8 \leq n \leq 27$) and 1 mg L$^{-1}$ BPA to 6.3 ± 1.5 mV ($N = 12$ independent animal samples; $10 \leq n \leq 21$). In BPS exposed fish, PSP amplitude was 2.5 ± 2.4 mV ($N = 11$ independent animal samples; $7 \leq n \leq 31$) for 10 $\mu$g L$^{-1}$ and 5.0 ± 3.4 mV ($N = 11$ independent animal samples; $11 \leq n \leq 25$) for 1 mg L$^{-1}$ BPS. In addition, 1 mg L$^{-1}$ BPA (but not the low concentration of BPA tested or BPS) also drastically reduced the maximal initial slope of the PSPs from 3.66 ± 0.82 mV ms$^{-1}$ ($N = 8$ independent animal samples; $7 \leq n \leq 21$) to only 0.32 ± 0.07 mV ms$^{-1}$ ($N = 12$
Fig. 4 Both BPA and BPS affect visual processing. **a** Sketch of experimental setting for visual stimulation to emphasize efficiency of the system: only stimulation needs to be changed, but recording is kept (cf. Fig. 2a and 3a). **b** shows an exemplary visually induced PSP from a control fish and how measurements were taken. **c** Both BPA and BPS affected the visually induced PSP. BPA and BPS significantly reduced its amplitude. BPA in high concentration (but not BPS) additionally reduced PSP slope. In contrast, after exposition to BPS and to low BPA concentration the beginning of the PSP (first 150 ms; $I_1$ and $I_2$) was reduced in area. Low conc.: 10 µg L$^{-1}$; high conc.: 1 mg L$^{-1}$; $N_{(control)} = 8$ independent samples; $N_{(10 \text{ µg L}^{-1} \text{ BPA})} = 12$ independent samples; $N_{(1 \text{ mg L}^{-1} \text{ BPA})} = 12$ independent samples; $N_{(10 \text{ µg L}^{-1} \text{ BPS})} = 11$ independent samples; $N_{(1 \text{ mg L}^{-1} \text{ BPS})} = 11$ independent samples; differently treated groups are indicated by colour; whiskers show the minimum and the maximum value, respectively; significant differences between groups and control are indicated by asterisk(s); * indicates P < 0.05; ** indicates P ≤ 0.01; *** indicates P ≤ 0.001; **** indicates P ≤ 0.0001.
independent animal samples; $10 \leq n \leq 21$; one-way ANOVA: $F = 24.51$; $R^2 = 0.6788$; $P < 0.0001$; Dunnett test: mean diff.: 3.00; confidence interval of diff.: 2.04 to 3.96; $P < 0.0001$). BPA and BPS additionally affected the temporal integral of the PSPs (Fig. 4c; one-way ANOVA: $F = 11.43$; $R^2 = 0.4964$; $P < 0.0001$) with the first integral (of 75 ms duration) strongly decreased from 398.0 ± 71.5 mV*ms ($N = 8$ independent animal samples; $7 \leq n \leq 21$) in the control group to 169.5 ± 107.8 mV*ms with 10 µg L$^{-1}$ BPA ($N = 12$ independent animal samples; $8 \leq n \leq 27$; Dunnett test: mean diff.: 205.4; confidence interval of diff.: 83.8 to 327.1; $P = 0.0003$), to 150.9 ± 82.8 mV*ms with 10 µg L$^{-1}$ BPS ($N = 11$ independent animal samples;
7 ≤ \( n \leq 31 \); Dunnett test: mean diff.: 227.1; confidence interval of diff.: 103.3 to 350.9; \( P < 0.0001 \)) and to 250.0 ± 125.4 mV*ms with 1 mg L\(^{-1}\) BPS (\( N = 11 \) independent animal samples; 11 ≤ \( n \leq 25 \); Dunnett test: mean diff.: 134.3; confidence interval of diff.: 10.5 to 258.2; \( P = 0.0293 \)).
**Effects of EE2**
For many of the varied non-neuronal effects of bisphenols their structural similarity with estrogens is crucial\(^{15,16,22}\). A series of experiments was therefore aimed at exploring whether this might also apply, to some extent, to the strong neuronal effects we describe here. We therefore ran experiments just as with BPA and BPS (Figs. 2–4) and also with one month of exposure, but with fish exposed not to any bisphenols but to ethinyl estradiol (EE2) at a concentration of 1 mg L\(^{-1}\). A full account of all results obtained in these experiments is given in Supplementary Table 1. Table 1 highlights all significant effects that we were able to detect with EE2 and compares their occurrence and direction with those we found after BPA and BPS exposition (at any concentration).
| Substance | EE2 | BPA | BPS |
|-----------|-----|-----|-----|
| Effect on antidromically induced action potential | | | |
| Amplitude | ↑ | | |
| Delay | ↓ | | |
| Slope | ↓ | ↓ | ↓ |
| Area | ↓ | ↓ | ↓ |
| 1st DPs | ↑ | ↑ | |
| Effect on auditory induced PSPs | | | |
| Amplitude | ↑ | ↑ | ↑ |
| Delay | ↓ | ↓ | |
| Slope | ↓ | | |
| Area | ↑ | ↑ | ↑ |
| Effect on visually induced PSPs | | | |
| Amplitude | ↓ | ↓ | ↓ |
| Delay | | | |
| Slope | ↓ | | |
| Area | ↓ | ↓ | ↓ |
Based on data shown in Figs. 2-4 and Supplementary Table 1.
↓ Indicate a significant decrease in comparison to control and ↑ a significant increase; free fields represent values that have not changed significantly in comparison to control.
EE2 highly significantly increased action potential amplitude and shortened the delay after which an action potential followed after spinal cord stimulation, effects that we found neither with BPA nor BPS at any concentration. However, all other effects including their direction were strikingly similar as with the bisphenols. This might suggest that at least some of the neuronal effects of the bisphenols could also result from their similarity with estrogens.
**Acute effects of BPA and BPS**
One month of exposition to BPA or BPS at concentrations of 10 µg L\(^{-1}\) or 1 mg L\(^{-1}\), caused strong effects on all aspects of neuronal function. Our final series of experiments was therefore aimed at testing whether the effects required prolonged exposition or might at least partly be seen in acute experiments. In these, the tests shown in Figs. 2–4 were run for a total of 20 min in untreated fish, to establish baseline properties. Then either BPS (\(N = 6\) independent animal samples) or BPA (\(N = 7\) independent animal samples) was added so that the fish now faced a concentration of 10 µg L\(^{-1}\). After 10 min of incubation the 20 min stimulus program was run again. Subsequently the concentration of the respective bisphenol was increased to 1 mg L\(^{-1}\) and an incubation of 10 min was allowed before the stimulus program was given. At the measurements at the higher concentration the fish had been exposed to bisphenol for a comparably brief time between 40 min (10 min at the high concentration plus 30 min at the lower concentration) and 60 min. The results of all three series (baseline, 10 µg L\(^{-1}\), 1 mg L\(^{-1}\)) for both BPA and BPS are reported in detail in Supplementary Table 2. In none of the experiments did the acute exposition cause any significant deviations from baseline (RM one-way ANOVA: \(F \leq 3.59; R^2 \leq 0.42; P \geq 0.07\)). These findings therefore suggest that the strong neuronal effects seen after one month of exposure do not establish quickly after short exposure of only about one hour.
Discussion
Our *in vivo* recordings demonstrate strikingly strong and uncompensated effects of bisphenols on all aspects of neuronal function in the adult vertebrate brain, from the action potential, the balance between excitatory and inhibitory inputs to auditory and visual sensory circuits. Our findings have been obtained in a particularly accessible identified neuron in the mature vertebrate CNS, the Mauthner neuron of the goldfish. This neuron is particularly interesting for an analysis of whether effects of bisphenols could be buffered: Buffering should be particularly strong in this neuron, because its inputs and outputs are essential for driving life-saving escapes. Although the effects of bisphenols certainly vary between individual neurons and across species, our findings clearly establish that the effects of bisphenols on the nervous system are by no means restricted to developing brains. Rather, being exposed to either BPA or BPS at the environmentally relevant concentration\(^2,43\) of 10 µg L\(^{-1}\) for one month strongly affects neuronal function in the adult brain.
On the more optimistic side, our findings demonstrate that it is possible to quickly gain sensitive information on basic neuronal functions – from generation of the action potential, synaptic transmission to auditory and visual function – by using multisensory integration in identified neurons such as the Mauthner neuron as a powerful tool. Studying the postsynaptic potentials in response to acoustic or visual stimulation showed clear effects of both bisphenols on sensory systems and on central processing. Although it has been suggested that BPA damages sensory hair cells in fish and amphibia\(^{42}\), we find that BPA – surprisingly – increased the amplitude of acoustical PSPs and that BPS acted similarly. These effects could be explained by a strong effect of both BPA and BPS on excitatory synaptic transmission. However, our findings also demonstrate that not all synapses are equally potentiated: For instance, backfiring through the mixed synapses was strongly increased by BPA, but not affected by BPS. Furthermore, the visual PSPs were clearly reduced both after exposition to BPA or BPS, which would only for BPS be attributable to an effect on retinal function\(^{44}\).
The strong effects we find here and the apparent lack of efficient buffering are alarming. The effects of bisphenols have previously been discussed mainly from a developmental point of view (causing the ban of BPA from baby products in some countries) or from its varied endocrinological effects. Now we face an additional danger whose effect on healthy humans and on patients with neurological deficits is difficult to foresee. Offsetting balances in brains is the basis of severe neurological disorders\(^6,24,27,30,35,36\) and so our findings must be taken very seriously. What is most needed, is an effort to develop a new generation of plasticizers
combined with an efficient but sufficiently broad and sensitive array of tests to quickly detect and sort out substances that bear large environmental and health risks\textsuperscript{5,11}. The tests we described here are particularly efficient and can quickly assay effects on neuronal functions. Together with similarly sensitive assays they could guide our way to the urgently needed next-generation plasticizers.
Methods
Animals and treatment. We used $N = 98$ goldfish (*Carassius auratus*, Cypriniformes) of either sex with an average standard length of $69.5 \pm 7.8$ mm (range from $56.5$ to $100$ mm) and an average body weight of $10.3 \pm 3.8$ g (range from $6.7$ to $20.8$ g). The fish were obtained from an authorized specialist retailer (Aquarium Glaser GmbH, Rodgau, Germany). Prior start of the project fish were kept for at least 4 weeks in large glass tanks ($250 \times 50 \times 50$ (cm)) filled with fresh water (water conductivity: $300$ µS cm$^{-1}$; pH $7.5$; total hardness of water: $7.7^\circ$dH; NH$_4^+$ < $10$ µg L$^{-1}$; NO$_2^-$ < $5$ µg L$^{-1}$; NO$_3^-$ < $5$ mg L$^{-1}$) at a water temperature of $20^\circ$C. Light/dark photoperiod was $12:12$ h. Fish were fed once a day with common fish food (sera goldy; sera GmbH, Heinsberg, Germany). After this period of acclimatization and quarantine, fish were checked for disorders and for responsiveness to visual and acoustic stimuli. We only chose healthy and responsive fish for the experiment. They were divided randomly into experimental groups exposed either to bisphenol A (BPA; $4,4'$-(propane-2,2-diyl)-diphenol), bisphenol S (BPS; $4,4'$-sulfonyldiphenol) or to ethinyl estradiol (EE2; $17\alpha$-ethinyl-1,3,5(10)-oestratrien-3,17$\beta$-diol). BPA and BPS were obtained in granular form from Sigma-Aldrich (Steinheim, Germany). EE2 was obtained in powder form from Merck KGaA (Darmstadt, Germany). For application, they were dissolved in dimethyl sulfoxide (DMSO), with a final DMSO concentration of $0.001\%$ and added in required concentration to the water.
Two experimental groups (7 fish each) were used to test for acute effects of BPA and BPS. Fish of these groups were not exposed to plasticizer prior to experiment. However, during Mauthner neuron intracellular recording, we added plasticizer (BPA or BPS) so that the fish acutely faced either BPA or BPS. Thereby, we were able to collect robust data for two concentrations ($10$ µg L$^{-1}$ and $1$ mg L$^{-1}$) in $N = 7$ fish of the BPA group and $N = 6$ fish of the BPS group.
In six further groups (14 fish each), we tested for effects of BPA, BPS and EE2 after a month of exposition. Fish of these groups were, respectively, exposed either to $10$ µg L$^{-1}$ BPA, $1$ mg L$^{-1}$ BPA, $10$ µg L$^{-1}$ BPS, $1$ mg L$^{-1}$ BPS, $1$ mg L$^{-1}$ EE2 or received only DMSO in the concentration used as dissolvent in the other groups. The latter group served as a control. By starting exposition at different times, experimental fish were exactly exposed to the respective chemical for $30$ to $33$ days. We were able to collect robust data in $N = 13$ fish of the control group, $N = 12$ fish of the $10$ µg L$^{-1}$ BPA group, $N = 12$ fish of the $1$ mg L$^{-1}$ BPA group, $N = 11$ fish of the $10$ µg L$^{-1}$ BPS group, $N = 11$ fish of the $1$ mg L$^{-1}$ BPS group and $N = 10$ fish of the $1$ mg L$^{-1}$ EE2 group. Two fish exposed to EE2 died prior experiment in the third week of exposition. Animal care procedures, surgical procedures and experimental procedures were in
accordance with all relevant guidelines and regulations of the German animal protection law and explicitly approved by state councils (Regierung von Unterfranken, Würzburg, Germany).
**Anesthesia and surgical procedure.** Before starting surgery, the experimental fish was anaesthetized (2-phenoxyethanol in the concentration of 0.4 ml L\(^{-1}\)) for 15 min in the water it was used to. Anesthesia was maintained also during surgery and during recording and the protocol is known not to affect neuronal functionality nor the acoustical or the visual system of goldfish\(^{45}\). To confirm sufficiency of anesthetization we carefully exerted pressure to the fish’s caudal peduncle after the fish had lost equilibrium, which normally would trigger vigorous escapes. Only when this stimulation (and subsequent handling) yielded no response, the fish was positioned in the recording chamber and given artificial respiration with aerated, anesthetic loaded water flowing via a tube through the fish’s mouth and out over the gills at a flow rate of 80 ml min\(^{-1}\). Here, we also used water of the same quality as for housing. Respiration water was delivered to the fish from a reservoir using a suitably adjusted pump (EHEIM universal 300; EHEIM GmbH & Co. KG, Deizisau, Germany; regular power: 300 L h\(^{-1}\), adjusted to 4.8 L h\(^{-1}\)).
Access to the Mauthner neurons was achieved by using a bone rongeur to open the skull from above in the area of the hindbrain. To expose the medulla oblongata containing the pair of Mauthner neurons, the cerebellum was lifted up with a piece of filter paper and fixed in place. To stimulate the axons of the two Mauthner neurons we additionally exposed a piece of the spinal column (about 5 mm in length) from the side in the region of the trunk (between 20 and 25 mm caudal from the position of the Mauthner somata) and confirmed suprathreshold stimulation of the Mauthner axons from the characteristic twitching of the experimental animal. To prepare for the intracellular *in vivo* recording the experimental animal was then immobilized by injecting d-tubocurarine (1 µg g\(^{-1}\) body weight; Sigma-Aldrich, Steinheim, Germany) in the core muscles. After finishing measurements, the experimental animal was sacrificed immediately and without recovery from anesthesia by mechanically destroying the brain. Finally, a necropsy was performed to check for any unnoticed diseases of inner organs. This confirmed that all fish of this study were healthy.
**Experimental procedure.** For intracellular recordings, we used a bridge-mode amplifier (BA-01X; npi electronic GmbH, Tamm, Germany) in current clamp mode. Recording electrodes were pulled from 3 mm-glass capillaries (G-3; Narishige Scientific Instrument Lab, Tokyo,
Japan) using a vertical electrode puller (PE-22; Narishige International Limited, London, UK). Filled with 5 M potassium acetate, they had a resistance between 4 and 7 MΩ. For moving and positioning the recording electrode, we used a motorized micromanipulator (MP-285; Sutter Instrument, Novato, CA, USA). We used established techniques to determine recording position from extracellular space and to ensure recordings are always taken in the soma of the Mauthner neuron\textsuperscript{46}. The reference electrode was positioned in muscle tissue. Recordings were filtered (Hum Bug Noise Eliminator; Quest Scientific, North Vancouver, BC, Canada) and then digitized at the sample rate of 50 kHz using an A/D converter (Micro1401; Cambridge Electronic Design Limited, Cambridge, UK) and the acquisition software package Spike2 (version 6; Cambridge Electronic Design Limited, Cambridge, UK). For data analysis, we used custom-made software written in Python. After localization and identification of one of the two Mauthner neurons using well-established techniques\textsuperscript{37,46} and after establishing a stable intracellular recording of the Mauthner neuron we applied a set of stereotyped stimuli to elicit Mauthner neuron responses. A set of stimuli, as designed for the present study, contained repeated antidromic activation of the Mauthner neuron and repeated acoustic and visual stimulation of the fish. Each of the stereotyped stimuli was consecutively presented to the fish at least 40 times per set. In total, presentation took about 20 min. To ensure stable intracellular recording, we continuously monitored the resting potential of the Mauthner neuron. In all cases, deviations were far less than our criterion (5%). We used electrical pulses (pulse duration: 10 µs; stimulation rate: 2 Hz) applied to the spinal cord to activate the Mauthner neuron antidromically. The electric pulses were delivered by a constant-voltage isolated stimulator (DS2A2 – Mk.II; Digitimer Ltd., Hertfordshire, UK). The desired pulse amplitude for antidromic stimulation was determined by first reducing amplitude until antidromic stimulation did not activate the Mauthner neuron anymore. Then amplitude was increased by 5 V above threshold. In the current study pulse amplitude for antidromic stimulation ranged from 15 to 40 V. Next, we tested the processing of sensory information in the Mauthner neuron. For acoustic stimulation, we used a multifunctional active loudspeaker (The box pro Achat 115 MA; Thomann GmbH, Burgebrach, Germany). The loudspeaker generated a short acoustical broadband pulse (duration: 1 ms; frequency distribution from 25 to 1000 Hz; peak amplitude at 300 Hz) with a sound pressure level (SPL) of 145 dB re 1 µPa. We measured SPL under water at the position of the fish in the recording chamber with a hydrophone (Type 8106; Brüel & Kjær, Nærum, Denmark). For visual stimulation, we used a light emitting diode (LED; RS Components GmbH, Mörenfelden-Walldorf, Germany), which was positioned directly in front of the ipsilateral eye. The light flash used for visual stimulation had a duration of 7 ms. LED
peak radiation at 569 nm was 700 µW m$^{-2}$ nm$^{-1}$ and the width at 100 µW m$^{-2}$ nm$^{-1}$ was 56 nm (range: 543 to 599 nm).
In experiments on the acute effect of plasticizers, each fish was given the set of stimuli three times. The first set of stimuli was presented 10 min after establishing intracellular Mauthner neuron recording and before adding any plasticizer and served to establish a baseline. Next, we added plasticizer (either BPA or BPS) to the water to reach a concentration of 10 µg L$^{-1}$. After an incubation period of 10 min we recorded Mauthner neuron responses to our set of stimuli again. Then, we increased the concentration to 1 mg L$^{-1}$, again gave 10 min for incubation before taking the final measurement. In total, all measurements were completed within 90 min of intracellular recording, and the maximum time any bisphenol could have acted in our acute experiments was 60 min. In fish exposed for a month to either BPA, BPS or EE2 we presented our set of stimuli 10 min after establishing intracellular Mauthner neuron recording only once. Per fish we needed 30 min of intracellular recording.
**Statistics and Reproducibility.** Statistical tests were run using the software package GraphPad Prism 8.2.1 (GraphPad Software, Inc., La Jolla, CA, USA) and performed two-tailed with $\alpha = 0.05$. Averages are reported as median ± standard deviation. $N$ denotes the number of independent animal samples, $n$ the number of measurements per animal. When data from animals were pooled, we never used the measurement repetitions ($n$) taken from the individual animals, but a single averaged value for each animal. To determine whether there are acute effects of BPA and BPS, we used RM one-way ANOVAs. To determine whether there is an effect of one month exposure to BPA or BPS in comparison to the control group, we performed one-way ANOVAs and the Dunnett test for comparing each group with control. To determine whether there is an effect of one month exposure to EE2 in comparison to the control group, we performed unpaired t tests. Rate constants of exponential decay were compared using one-way ANOVA and Dunnett test. Differences in occurrence (in %) were compared using the Wilcoxon test with occurrence for control set as hypothetical value. To test whether there are correlations between action potential amplitude and DP amplitude and between DP amplitudes, we used Spearman tests. To test whether data is distributed normally, we used the Shapiro-Wilk test.
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Acknowledgements
The study was funded by a Reinhart Koselleck-project (Schu1470/8) of the Deutsche Forschungsgemeinschaft (German Research Foundation). We would like to thank Dr. Wolfram Schulze for help and for writing software, Antje Halwas for excellent technical support and Mercedes Hildebrandt, Florian Gerstner, Elisa Mendez-Montilla, Nastaran Biazar and Carina Weigel for assistance in electrophysiological measurements and data analysis.
Author Contributions
E.S., S.S. and P.M. designed experimental procedures. E.S. and P.M. performed and analyzed experiments; E.S., S.S. and P.M. wrote the manuscript.
Supplementary Fig. 1 Effects of BPA and BPS on neuronal backfiring. **a** shows an exemplary action potential accompanied by delayed potentials (DPs) with illustration of how measurements were taken. **b** In controls, first DPs had on average an amplitude of $10.3 \pm 3.8$ mV ($N = 5$ independent samples; $n = 9$ to 31 measurements per fish) and followed $0.86 \pm 0.06$ ms after onset of the action potential. Second DPs had on average an amplitude of $4.9 \pm 1.9$ mV ($N = 4$ independent samples; $n = 9$ to 31) and followed $1.44 \pm 0.05$ ms after action potential onset.
**(c)** The amplitude of the 2nd DP correlates with the amplitude of the first ($N = 20$ independent samples; $9 \leq n \leq 114$; Spearman correlation: $P = 0.01$), the amplitude of the 1st DP and the amplitude of the action potential do not correlate ($N = 33$ independent samples; $9 \leq n \leq 114$; Spearman correlation: $P = 0.45$). **(d)** Both BPA and BPS (in any concentration) did not affect the amplitude of the DPs (one-way ANOVA: $F \leq 1.54$; $R^2 \leq 0.18$; $P \geq 0.22$). Whiskers show the minimum and the maximum value, respectively.
## Supplementary Table 1: Comparison of EE2 group and control
| | Median ± SD | Unpaired t test |
|----------------------|----------------------|-----------------|
| | Control | EE2 | t | P |
| **Action potential** | | | | |
| Amplitude (mV) | 41.4 ± 4.9 | 44.7 ± 2.7 | 2.453 | **0.0240** |
| Delay (ms) | 0.20 ± 0.03 | 0.15 ± 0.02 | 4.813 | **0.0001** |
| Slope (V ms⁻¹) | 2.13 ± 0.33 | 0.82 ± 0.32 | 8.388 | **<0.0001** |
| Area I₁ (mV*ms) | 23.8 ± 3.1 | 23.1 ± 1.1 | 0.339 | 0.7384 |
| | \(N = 13\) | \(N = 10\) | | |
| | 9 ≤ \(n\) ≤ 31 | 81 ≤ \(n\) ≤ 110 | | |
| **Acoustically induced PSP** | | | | |
| Amplitude (mV) | 7.1 ± 1.4 | 11.5 ± 2.5 | 5.128 | **<0.0001** |
| Delay (ms) | 7.71 ± 0.28 | 7.76 ± 0.30 | 0.437 | 0.6664 |
| Slope (mV ms⁻¹) | 10.01 ± 2.66 | 10.76 ± 3.26 | 0.899 | 0.3787 |
| Area I₁ (mV*ms) | 117.5 ± 32.1 | 160.4 ± 38.4 | 2.543 | **0.0189** |
| Area I₂ (mV*ms) | 104.7 ± 20.2 | 111.6 ± 21.7 | 1.427 | 0.1683 |
| | \(N = 13\) | \(N = 10\) | | |
| | 8 ≤ \(n\) ≤ 29 | 33 ≤ \(n\) ≤ 56 | | |
| **Visually induced PSP** | | | | |
| Amplitude (mV) | 10.4 ± 1.8 | 2.1 ± 1.4 | 10.22 | **<0.0001** |
| Delay (ms) | 30.0 ± 4.9 | 30.69 ± 5.3 | 0.276 | 0.7865 |
| Slope (mV ms⁻¹) | 3.66 ± 0.82 | 2.52 ± 0.69 | 1.926 | 0.0710 |
| Area I₁ (mV*ms) | 398.0 ± 71.5 | 131.4 ± 47.6 | 10.33 | **<0.0001** |
| Area I₂ (mV*ms) | 357.1 ± 95.6 | 90.3 ± 68.0 | 7.173 | **<0.0001** |
| | \(N = 8\) | \(N = 10\) | | |
| | 7 ≤ \(n\) ≤ 21 | 9 ≤ \(n\) ≤ 26 | | |
Bold type highlights significant results. \(N\) denotes the number of independent animal samples, \(n\) the number of measurements per animal.
## Supplementary Table 2: Data suggesting that the strong effects of BPA and BPS do not occur after short exposition of less than 1 hour.
| BPA | Median ± SD | RM one-way ANOVA |
|-----|-------------|------------------|
| | 0 µg L\(^{-1}\) | 10 µg L\(^{-1}\) | 1000 µg L\(^{-1}\) | F | R² | P |
| Action potential | | | | | | |
| Amplitude (mV) | 43.9 ± 5.6 | 42.8 ± 3.8 | 42.6 ± 4.7 | 1.55 | 0.21 | 0.25 |
| Delay (ms) | 0.22 ± 0.03 | 0.21 ± 0.02 | 0.22 ± 0.02 | 1.16 | 0.16 | 0.35 |
| Slope (V ms\(^{-1}\)) | 1.80 ± 0.49 | 1.81 ± 0.51 | 1.80 ± 0.55 | 1.35 | 0.18 | 0.30 |
| Area I\(_1\) (mV*ms) | 21.7 ± 2.9 | 21.6 ± 2.2 | 21.8 ± 2.2 | 1.18 | 0.16 | 0.34 |
| Acoustically induced PSP | | | | | | |
| Amplitude (mV) | 9.0 ± 2.5 | 9.1 ± 2.5 | 8.6 ± 2.6 | 3.35 | 0.40 | 0.09 |
| Delay (ms) | 7.50 ± 0.11 | 7.52 ± 0.12 | 7.49 ± 0.12 | 0.22 | 0.04 | 0.81 |
| Slope (mV ms\(^{-1}\)) | 9.23 ± 2.55 | 8.53 ± 2.45 | 8.95 ± 2.17 | 3.59 | 0.42 | 0.07 |
| Area I\(_1\) (mV*ms) | 132.4 ± 35.8 | 126.3 ± 35.9 | 125.7 ± 38.9 | 2.04 | 0.25 | 0.20 |
| Area I\(_2\) (mV*ms) | 109.7 ± 26.1 | 102.8 ± 26.5 | 100.0 ± 30.8 | 3.30 | 0.35 | 0.11 |
| Visually induced PSP | | | | | | |
| Amplitude (mV) | 8.5 ± 4.2 | 8.8 ± 2.9 | 7.1 ± 2.6 | 0.93 | 0.16 | 0.43 |
| Delay (ms) | 28.28 ± 4.59 | 29.24 ± 4.84 | 29.48 ± 4.47 | 2.90 | 0.33 | 0.09 |
| Slope (mV ms\(^{-1}\)) | 2.85 ± 2.28 | 3.14 ± 2.06 | 2.95 ± 2.12 | 1.58 | 0.24 | 0.25 |
| Area I\(_1\) (mV*ms) | 325.4 ± 73.1 | 312.0 ± 75.1 | 299.9 ± 66.7 | 2.37 | 0.28 | 0.14 |
| Area I\(_2\) (mV*ms) | 190.8 ± 147.4 | 190.7 ± 98.4 | 189.0 ± 65.1 | 2.20 | 0.31 | 0.16 |
| BPS | Median ± SD | RM one-way ANOVA |
|-----|-------------|------------------|
| | 0 µg L\(^{-1}\) | 10 µg L\(^{-1}\) | 1000 µg L\(^{-1}\) | F | R² | P |
| Action potential | | | | | | |
| Amplitude (mV) | 43.7 ± 5.4 | 43.3 ± 4.5 | 42.4 ± 4.5 | 0.57 | 0.10 | 0.58 |
| Delay (ms) | 0.20 ± 0.04 | 0.20 ± 0.04 | 0.20 ± 0.03 | 0.17 | 0.03 | 0.84 |
| Slope (V ms\(^{-1}\)) | 1.95 ± 0.36 | 1.99 ± 0.29 | 1.99 ± 0.25 | 0.48 | 0.09 | 0.63 |
| Area I\(_1\) (mV*ms) | 21.3 ± 3.2 | 21.0 ± 2.9 | 21.1 ± 2.5 | 0.13 | 0.02 | 0.88 |
| Acoustically induced PSP | | | | | | |
| Amplitude (mV) | 9.6 ± 2.7 | 9.3 ± 2.8 | 9.7 ± 2.7 | 0.97 | 0.16 | 0.41 |
| Delay (ms) | 8.4 ± 1.6 | 7.9 ± 0.8 | 7.9 ± 0.4 | 0.73 | 0.16 | 0.48 |
| | 1 | 2 | 3 | 4 | 5 | 6 |
|----------------------|---------|---------|---------|---------|---------|---------|
| **Slope (mV ms⁻¹)** | 9.40 ± 3.80 | 9.03 ± 3.13 | 9.33 ± 3.04 | 2.29 | 0.31 | 0.15 |
| **Area I₁ (mV*ms)** | 125.6 ± 44.2 | 122.3 ± 35.4 | 117.5 ± 31.8 | 0.49 | 0.09 | 0.62 |
| **Area I₂ (mV*ms)** | 108.5 ± 23.7 | 108.8 ± 19.2 | 112.7 ± 22.1 | 0.15 | 0.03 | 0.86 |
| **Visually induced PSP** | | | | | | |
| **Amplitude (mV)** | 8.1 ± 2.6 | 9.3 ± 2.2 | 8.7 ± 2.5 | 0.03 | 0.01 | 0.96 |
| **Delay (ms)** | 27.84 ± 2.61 | 28.20 ± 2.47 | 28.26 ± 1.74 | 0.09 | 0.01 | 0.92 |
| **Slope (mV ms⁻¹)** | 3.29 ± 0.65 | 3.32 ± 0.64 | 3.26 ± 0.61 | 1.57 | 0.28 | 0.27 |
| **Area I₁ (mV*ms)** | 319.1 ± 118.6 | 324.7 ± 104.5 | 330.1 ± 102.2 | 0.43 | 0.08 | 0.66 |
| **Area I₂ (mV*ms)** | 247.9 ± 140.2 | 255.7 ± 155.2 | 290.0 ± 160.1 | 2.36 | 0.37 | 0.16 |
9.1 Histology-linked MALDI mass spectrometry imaging workflow for *Danio rerio* and *Daphnia magna*
Elisabeth Schirmer, Sven Ritschar, Christian Laforsch, Stefan Schuster and Andreas Römpp
**Abstract**
Lipids play various essential roles in the function of animals. It is therefore crucial to understand to which extent animals can stabilize their lipid composition in the presence of external stressors, such as environmental chemicals. Here, we combine MALDI mass spectrometry imaging and spatially highly resolved histology, down to subcellular resolution, to examine if changes in the lipid content and distribution can be used as potential assay to detect effects of environmental chemicals. Specifically, we present a histology directed MALDI MSI workflow for two aquatic model organisms, the zebrafish *Danio rerio* and waterflea *Daphnia magna*. In zebrafish we demonstrate that a detailed mapping between histology and simultaneously determined lipid composition is possible at various scales, from extended structures such as the brain or gills down to subcellular structures such as a single axon in the central nervous system. For *D. magna* we present a MALDI MSI workflow, that demonstrably maintains tissue integrity during cryosectioning of non-preserved samples, and further provides a spatial resolution of lipids in the entire body and the brood chamber inside the carapace. In conclusion, the observed lipid signatures are an ideal basis to analyse changes caused by pollutants in two key aquatic model organisms.
Introduction
The pollution not only in marine but also in freshwater ecosystems rises due to increasing amount of chemicals in use today\textsuperscript{1}. On particular concern are lipophilic substances affecting the physiological homeostasis of aquatic organisms, mainly by disruption of the lipid content\textsuperscript{2}. Considering, that lipids are one of the fundamental compounds necessary for the tissue architecture and its function\textsuperscript{3} it is not surprising that changes in lipid pattern are often correlated with pathological processes\textsuperscript{4,5}. Hence, there is a need to understand how the lipid content and distribution reacts to chemical stressors. This requires not only the identification but also the localization of the referring compounds. Moreover, the lipid signature gained in normal healthy tissue could thereby function as a marker\textsuperscript{6,7} for comparison with pollutant-exposed tissue by detecting changes and the resulting physiological outcomes. MALDI mass spectrometry imaging is an analytical tool to compete with the challenging task of analyzing the molecular content of complex biological samples. This technique is capable of visualizing the distribution of lipids in thin tissue sections. Moreover, due to technological improvements like high-resolution mass spectrometers and increased spatial resolution\textsuperscript{8,9}, even challenging tasks like the investigation of single cells were successfully overcome\textsuperscript{10,11}. Compared to traditional biochemical methods including histochemistry or immunohistochemistry, MSI generates a similar, compound-specific distribution map\textsuperscript{12}. In contrast, MSI can detect a broad range of unknown compounds even without prior knowledge and is not limited to a specific number\textsuperscript{12}. MALDI MSI offers the possibility to obtain molecular and spatial resolution of a wide range of compounds in one tissue section, which can further be compared with anatomical features delivering a more detailed view\textsuperscript{13,14}. The advantage of a histology directed MSI workflow could be already demonstrated in mice brain tissue. Its complex morphology could be clearly visualized by different lipid distributions and paved the way for studies evaluating the outcomes of lipid changes in specific brain structures\textsuperscript{15}. Furthermore, rodent models were used to demonstrate that some environmental contaminants (e.g. bisphenols) not only affect neuronal but also non-neuronal compartments\textsuperscript{6}. However, information about the impact on the detailed spatial lipid distribution in aquatic organisms is still lacking (Fig. 1), although aquatic ecosystems are highly affected natural systems. Environmental chemicals are released by industry, agriculture and even household and can enter aquatic ecosystems in different ways. The zebrafish (\textit{Danio rerio}) and the waterflea \textit{Daphnia magna} are two widely used aquatic model organism in the field of environmental science and ecotoxicology\textsuperscript{16,17,18}. The use of \textit{D. rerio} represents an excellent compromise between complexity and practical simplicity and further allows also conclusions for both, animal and human health\textsuperscript{19}.
Beside its high availability, easy handling and husbandry, the small size offers the opportunity to investigate the lipid distribution in neuronal and non-neuronal compartments in one measurement. Further, *D. rerio* offers the unique possibility to examine the lipid distribution next to a central command neuron. This can be clearly identified due to its morphological characteristics as its soma and axon exceed in size compared to other neurons in the vertebrate central nervous system\textsuperscript{20}. Studies within this neuron already enabled the investigation of neuronal key functions under exposure of environmental contaminants\textsuperscript{40} and its spatial localization within a tissue section could be further function to examine the spatial distribution of those contaminants, allowing further conclusion about the neuronal impact. The filter feeder *Daphnia* on the other hand is a key-stone species in the food web of nearly every lentic aquatic habitat, as it serves as a link between autotrophic algae and consumers of higher trophic levels, such as fish\textsuperscript{21}. Due to its global distribution, easy cultivation and its clonal reproduction, the genus *Daphnia* is frequently used for research in environmental toxicology. Especially *D. magna* is a well-established organism for eco-toxicological testing (OECD, 2012) and was added by the American National Institute of Health (NIH) to their list of model organisms for biomedical research\textsuperscript{17,18}. *D. magna* provides a biological system with a high sensitivity for the detection of even weak effects to a wide range of pollutants on various levels reaching from life-history\textsuperscript{22} to physiology and molecular effects\textsuperscript{23,24}. For Daphnia, it is already described, that the lipidome is impacted by environmental factors like food quality\textsuperscript{24} or pollutants\textsuperscript{25}. However,
to date it is not known how environmental stressors affect lipid composition and spatial distribution of lipids in different tissues.
Here, we used technological improvements in MALDI MSI to establish a histology directed sample preparation workflow for correlating lipid patterns with anatomical features of neuronal and non-neuronal compartments in two model organisms, *D. rerio* and *D. magna*. For *D. rerio*, we could thereby overcome limitations of solely localizing different compartments within tissue sections by adding a more detailed view for the analyzed regions. Additionally, we expanded our workflow from the fine analysis of organs to cellular resolution by localizing the command neuron. Cryosectioning of non-preserved *D. magna* individuals remained until now a challenging task due to the calcified exoskeleton\textsuperscript{26}. In our study, we show for the first time a suitable workflow inter alia for ensuring tissue integrity during cryosectioning for the visualization of the lipid distribution within different tissues of *D. magna* by MALDI MSI. The observed lipid pattern in *D. magna* and *D. rerio* may serve as marker for future analysis of changes in lipid signatures after exposure to environmental contaminants.
Results and Discussion
Adjusted histology-directed MALDI MSI workflow for *D. rerio* and *D. magna*.
MALDI MSI is a molecular imaging technique capable of identifying and localizing lipids within biological tissue\textsuperscript{13}. Spatial resolution of the compounds visualizing precise structures of different compartments allows a deeper insight in the molecular network, its dynamic interaction and will in future function to analyze the reaction to chemical stressors like environmental chemicals. The clear differentiation of anatomical features within different tissue types thereby puts an emphasis on the sample preparation and handling to maintain equal lipid distribution in the tissue section \textit{in vitro}, as it was \textit{in vivo}.
\textit{Workflow for the precise analysis of (non)-neuronal compartments in D. rerio:}
Fig. 2 a shows the histology directed MALDI MSI workflow for the precise analysis of neuronal and non-neuronal compartments in *D. rerio*. As this paper should function as basis for future studies evaluating the effect of environmental contaminants, focus was put on compartments contributing either as the main route of exposure (e.g. gills, eye) or being dependent on blood perfusion and transport to be potentially affected (e.g. brain, liver). Prior sample preparation we recommend the use of 2-phenoxyethanol for euthanizing, as it reduces stress response in the animal. This could otherwise in turn affect the lipid content, which may differ from normal conditions observed \textit{in vivo}. To maintain the fine anatomical structures in the neuronal and non-neuronal anatomical compartments, tissue embedding using CMC was sufficient to clearly correlate lipid signatures with anatomical features in the sagittal prepared sections and will be discussed in detail below (Fig. 3). Matrix application for MALDI imaging experiments were carried out by applying para-nitroaniline (pNA) on the sample. The matrix was chosen for its superior performance in lipid imaging\textsuperscript{27}, especially in retinal tissue parts. MALDI MSI experiments for those sagittal cryosections were carried out at 25 µm step size.
\textit{Workflow for the spatial localization of a central command neuron in D. rerio:}
In contrast to the sagittal fish sections, sample preparation for brain slices required a more precise and careful handling (Fig. 2 b). Maintaining the delicate neuronal structure of a command neuron within the brain section thereby required two essential fixation steps. Sucrose was used to prevent cell swelling during the freezing process. As this has to be done overnight the prior step of tissue fixation in paraformaldehyde was necessary. Euthanizing and embedding
was equal to the prior *D. rerio* workflow. In contrast, coronal brain sections were prepared due to the contralateral arrangement of the Mauthner axons within the central nervous system, allowing the precise detection of the Mauthner soma. Details will be discussed below (Fig. 4 b-d). The localization of the Mauthner soma was further confirmed by fluorescence microscopy (for details see methods section). Furthermore, to detect the small neuronal structures, high spatial resolution using a step size of 5 µm was necessary.
**Workflow enabling the first spatial resolution of lipid patterns in thin-sections of *D. magna*:**
In comparison to *D. rerio* as an important vertebrate model system, *D. magna* is a common invertebrate model organism for freshwater ecosystems and one of the most frequently used ones in aquatic toxicology\(^{28,29}\). To our knowledge, we are the first to apply a sample preparation workflow examining the spatial lipid distribution in different tissue compartments in thin sections of *D. magna* (Fig. 2 c). Relating to maintain tissue integrity due to the bone structures in *D. rerio*, cryosectioning of *D. magna* is even more difficult. *D. magna* are small in size (about 1-2 mm) and have a carapace, consisting of two opposing integuments that encapsulate the body\(^{21}\). The carapace of *D. magna* consists of amorphous calcium carbonate, which contributes to its stability\(^{26}\). During cryosectioning it often fractures, which results in a disruption body integrity. To overcome this challenge, whole body *D. magna* were embedded in 8 % gelatine. Thereby the body cavity within the carapace and appendices of the animal were filled, keeping the fragile thoracic legs from fractioning during cryosectioning (for details see Fig. 5). Sections of 18 µm sample thickness were prepared maintaining tissue integrity. Matrix application was carried out using pNA. MALDI MSI experiments showed a detailed spatial distribution of lipids in different compartments at 10 µm step size.
Figure 2. Histology-linked MALDI MSI workflow in *D. rerio* and *D. magna*. (a) Workflow for the precise analysis of lipid pattern visualizing anatomical features within neuronal and non-neuronal compartments. For sample preprocessing the adult zebrafish was cut cranial to the anal fin. The prepared sample was embedded in carboxymethylcellulose (CMC) and sagittal cryosections were prepared as indicated by the yellow line. Section were covered with pNA matrix and MALDI MSI experiments were carried out in positive ion mode with 25 µm step size. Ion images were generated using the open source interface MSiReader. (b) Workflow for the spatial localization of a command neuron in brain sections. Adult zebrafish were cut cranial to the anal fin and fixated in PFA. After removal of the brain, it was fixated in sucrose. Prepared brain sample was embedded in CMC and coronal cryosections were prepared indicated by the yellow line. Brain sections (70 µm) were coated with pNA matrix and MALDI MSI measurements were carried out in positive ion mode with 5 µm step size. Prior matrix application the sections were investigated by fluorescene microscopy to ensure the presence of the soma of the command neuron. Data analysis was performed as described for the sagittal zebrafish sections. (c) Workflow revealing the spatial distribution of lipid pattern in sections of *D. magna*. The sample was directly embedded in gelatin solution and sections (18 µm) were prepared and coated with pNA matrix. MALDI MSI experiments (10 µm step size) were performed as described before.
Lipid signatures visualize detailed anatomical features in different compartments of *D. rerio*.
Understanding the contribution of lipids for tissue structure or function and their spatial connection is the basis to evaluate future changes occurring after exposure of chemical stressors. This required improved sample preparation strategies, which could be seen in Fig. 2. The results of the improved histology directed MALDI MSI workflow are shown in Fig. 3. We focused on visualizing the lipid distribution in characteristic structures of selected compartments that belong to the main routes for exposure (Fig. 3 a-d) and selected compartments being dependent on blood perfusion and transport to be potentially affected by environmental pollutants (Fig. 3 e-i). For the first time, we were not only able to distinguish between different compartments\textsuperscript{30} but also show characteristic details of the compartments of interest. H&E staining results of the sections highlighting the regions of interest are shown in Fig. 3 a, e. The gills, the respiratory compartments of *D. rerio*, are one of the main routes for exposure of environmental contaminants. The fine analysis of the filaments structure could be visualized by the distribution of the lipid PC (O-32:0) [M+H]\textsuperscript{+} (\textit{m/z} 720.5902; RMSE 1.3078 ppm, 24773 spectra) (Fig. 3 c). Furthermore, we could distinguish between different layers of the eye, including the retina and the lens. The distribution of PC (30:0) [M+K]\textsuperscript{+} (\textit{m/z} 744.4940; RMSE 1.2396 ppm, 26056 spectra) (Fig. 3 d) thereby clearly distinguished between those two anatomical features. Fig. 3 b shows an RGB overlay of these two lipids in the section with PC (O-32:0) [M+H]\textsuperscript{+} given in red and PC (30:0) [M+K]\textsuperscript{+} given in green. Thereby the visualized lipid signature matches the anatomical features seen in the H&E stained section.
The eye is originally defined as a part of the central nervous system\textsuperscript{31}. Thereby the retina and the optic nerve are an outgrowth of the developing vertebrate brain. This is of special interest, as we could show in the next sagittal section, which includes parts of the brain, that the lipid PC (40:6) [M+H]\textsuperscript{+} (\textit{m/z} 834.6007; RMSE 1.1319 ppm, 57101 spectra) is distributed within the brain tissue but also within the retina (Fig. 3 i). As the \textit{tectum opticum} receives mainly visual input, changes in the lipid signature due to environmental contaminants could thereby function as marker for the impact on the visual function. Beside the \textit{tectum opticum} the lipid PC (40:6) [M+H]\textsuperscript{+} also visualizes parts of the cerebellum and the \textit{telencephalon}. A more detailed view of the \textit{tectum opticum} is given in Fig. 3 h by the distribution of PC (O-36:1) [M+K]\textsuperscript{+} (\textit{m/z} 812.5930; RMSE 1.1146 ppm, 21713 spectra), which showed high intensity in this region. In contrast to the neuronal region, non-neuronal tissue of this section was again visualized by the distribution of PC (O-32:0) [M+H]\textsuperscript{+} (\textit{m/z} 720.5902; RMSE 0.8647 ppm, 33686 spectra), as in the section before (Fig. 3 g). Additionally, the liver could be localized and the distribution of
the lipid PC 40:6 [M+H]$^+$ matches the homogenous consistence of this organ (Fig. 3 i). Fig. 3 f shows an RGB overlay of the lipids highlighting compartments that can be affected through secondary exposure occurring due to blood perfusion and transport.
**Figure 3. Lipid signatures visualizing anatomical features of neuronal and non-neuronal compartments.**
(a,e) H&E staining of the sagittal cryosections in adult zebrafish showing detailed structures within the gills’ filaments, eye (retina, lens), brain (telencephalon, tectum opticum, cerebellum) and liver. (b) RGB Overlay of PC (O-32:0) [M-H]$^-$ (red colored) and PC (30:0) [M+K]$^+$ (green colored). (c-d), (g-i) Positive-ion MS images. c. Ion image of PC (O-32:0) [M-H]$^-$ showing high intensity in the region of the gills’ filaments (white arrow). d. Ion image of PC (30:0) [M+K]$^+$ showing visualizing the lens and the retina of the eye (white arrows). (f) RGB Overlay of PC (O-32:0) [M+H]$^+$ (red colored), PC (O-36:1) [M+K]$^+$ (blue colored) and PC (40:6) [M+H]$^+$ (green colored). (g) Ion image of PC (O-32:0) [M-H]$^-$ showed distribution with high intensity in non-neuronal tissue, exemplarily shown for muscle tissue (white arrow). (h) Ion image of PC (O-36:1) [M+K]$^+$, visualized the structural differentiation within the tectum opticum and parts of the cerebellum. (i) Ion image of PC (40:6) [M+H]$^+$ showed a distribution within the brain and eye and presents the liver as relative homogenous tissue (white arrows).
The distribution of PC (O-32:0) [M+H]$^+$ given in red, PC (O-36:1) [M+K]$^+$ given in blue and PC (40:6) [M+H]$^-$ given in green matches the anatomical features observed in the H&E staining (Fig. 3 f).
**Spatial localization of a central command neuron in *D. rerio*.**
After we succeeded in the finer spatial resolution of selected compartments of interest, we tried to further improve our workflow to localize a central command neuron within a tissue section. The soma of the neuron can be located in the *medulla oblongata* and its axons cross the midline and exceed contralaterally down the spinal cord (Fig. 4 a). Coronal sections facilitate the sample preparation as one can follow the symmetric orientated axons upstream from the spinal cord (Fig. 4 b) to the point where they cross the midline (Fig. 4 c). Afterwards using a sample thickness of 70 µm, the next section includes parts of the soma (Fig. 4 d). Before the crossover, both axons converge (Fig. 4 b) and then align themselves atop each other (Fig. 4 c). This progression can be visualized by the distribution of PC (36:1) [M+H]$^-$ (Fig. 4 b: $m/z$ 788.6164; RMSE 0.8182 ppm, 42069 spectra; Fig. 4 c: RMSE 1.0264 ppm, 51363 spectra). In this context axonal membranes can be identified, because lipids are key components of cell membranes and further contribute in information transmission. In contrast, there is no lipid distribution within the axons as the axoplasma does not contain any lipids. The soma could be visualized by the distribution of the lipid PC (38:6) [M+H]$^-$ ($m/z$ 806.5694; RMSE 1.8184 ppm, 33076 spectra). As the MS image solely shows two round spots, the localization of the neuron was verified by fluorescence microscopy. This clearly shows, that the axon origin from the soma is at first thin. This is in comparison to the morphological structure of this command neuron, as the thicker part indicates the start of the myelination. The soma outgrowths, indicating the two main dendrites, are visualized by fluorescence microscopy but couldn’t be visualized by any lipid distribution so far (Fig. 4 e). This workflow shows, for the first time in a vertebrate model organism, the spatial localization of a well identified command neuron. In electrophysiological studies this neuron is used to examine neuronal key functions as this neuron integrates information from all sensory system. Thereby it takes part in a network triggering life-saving behavior response. As many chemical stressors are lipophilic, it is likely that they affect the lipid structures next to the neuron, resulting in neurological effects.
Figure 4. Spatial localization of a central command neuron within tissue sections of zebrafish using MALDI MSI. (a) Illustrated zebrafish brain is fixated on a sample plate, with the central command neurons (the pair of Mauthner neurons) colored in green. On the right side the Mauthner neurons are magnified and the serial sections (70 µm sample thickness) are presented by dotted lines. (b-d) Positive-ion MS images. (b-c) MSI image visualizing the axon arrangement before (b) and at (c) the crossover. Axons are labeled with green arrows and a schematic illustration of the axon region is shown on the right side of the MS image. PC (36:1) [M+H]+ localizes the axon and its morphological orientation by visualizing the surrounding lipid distribution. (d) MS image of the Mauthner soma (labelled with green arrows), visualized by the distribution of PC (38:6) [M+H]+. Orientation of the soma within the section is verified by the fluorescence image of GFP, which is expressed within the neuron.
First-time spatial resolution of lipids in tissue sections of *D. magna*.
The sample preparation workflow examining the lipid distribution within different compartments of *D. magna* by MALDI MSI was successfully developed for the first time. Anatomical features like the intestine, integuments and the thoracic legs as well as embryos within the brood pouch could be successfully obtained during cryosectioning. Anatomical presentation of whole *D. magna* is shown in Fig. 5a with the cutting plane indicated by a red line. The intestine could be visualized by the distribution of PC (36:0) [M+Na]+ (*m/z* 812.6140; RMSE 1.2381 ppm, 20844 spectra) (Fig. 5 c). In contrast, structures characterized as embryos and eggs could be visualized by the distribution of the lipid HexCer (41:1;O2) [M+2Na-H]+ (*m/z* 842.6456; RMSE 0.8426 ppm, 5173 spectra) (Fig. 5 d). Surrounding structures like the body wall and parts of the thoracic legs could be visualized due to the distribution of SM (38:1;O2) [M+Na]+ (*m/z* 781.6194; RMSE 0.6500 ppm, 31188 spectra) (Fig. 5 e). An RGB
overlay of the three lipids within this section is shown in Fig. 5 b with HexCer (41:1;O2) [M+2Na-H]$^+$ colored in red, SM (38:1;O2) [M+Na]$^+$ colored in green and PC (36:0) [M+Na]$^+$ colored in blue.
**Figure 5. MALDI MSI workflow visualizing the lipid distribution in *D. magna*.** (a) Light microscopic presentation of *D. magna*. **b.** RGB Overlay of PC (36:0) (blue colored), HexCer (41:1;O2) [M+2Na-H]$^+$ (red colored) and SM (38:1;O2) [M+Na]$^+$ (green colored) visualizing different anatomical regions (thoracic legs, egg/embryo, intestine, body wall). **(b-d)** Positive-ion MS images. **c.** Ion image of PC (36:0) [M+Na]$^+$, highlighting the intestine region (labelled by a white arrow). **(d)** Ion image of HexCer (41:1;O2) [M+2N-H]$^+$, highlighting the lipid distribution within the egg/embryo (labelled by a white arrow). **(e)** Ion image of SM (38:1;O2) [M+Na]$^+$, showing the lipid distribution in the surrounding tissue, including body wall (labelled by a white arrow) and thoracic legs.
Analyzing the lipid distribution of daphnids can be of special interest regarding the assessment of environmental impact on organism level. For instance, Scanlan et al.,\textsuperscript{32} were able to show that various toxicants like e.g. octabromodiphenyl ether or tetrabromophthalate influence the glycosphingolipid biosynthesis, analyzed via NMR-based lipidomic profiling. MALDI-MSI might offer the possibility to map and thereby visualize the areas of impact of toxicants directly within a tissue section, adding another perspective for understanding the mechanism of action of substances of interest. The gut of *Daphnia* as well as the embryos carried by the animals pose one of the first contact zones with pollutants within these animals. Studies already showed the damage that can be inflicted to *Daphnia* gut wall, as an example Heinlaan et al.\textsuperscript{33}, evidenced changes in the gut wall of Daphnia exposed to copper oxide nanoparticles with
transmission electron microscopy (TEM). This is especially interesting given the fact, that alterations of cell walls might also coincide with changes in lipid distribution or appearance. Summarizing, the presented enabling the analysis of lipid distribution in different anatomical compartments in *D. magna* is promising for future spatial analysis of the lipidome of Daphnia.
Conclusion
The goal of the study was the implementation of a histology directed MALDI MSI workflow for the lipid analysis in two important aquatic model organisms, *D. rerio* and *D. magna*. In *D. rerio*, we were able to overcome previous limitations by demonstrating a fine structure analysis of selected compartments. This is of high importance as different anatomical parts of an organ can be affected in a different manner. Further, in regard to future studies including environmental contaminants, it is necessary to establish a workflow being able to visualize the different neuronal and non-neuronal compartments with clear borders. We succeeded in the fine analysis for fish samples, concentrating on compartments being the main route of exposure (e.g. eye, gills) and compartments relying on blood perfusion and transport to be affected (e.g. brain, liver). Thereby we could identify and localize lipids with high intensity in those compartments in one measurement using one tissue section. We further asked if it is possible to even extend this workflow by localizing even neuronal structures. Thereby we took advantage of *D. rerio*, as it consists of a central command neuron, which is the largest one in the central nervous system of vertebrates. The so-called Mauthner neuron is part of a network triggering life-saving behavior response, like the escape response due to a suddenly appearing predator\textsuperscript{20}. Thereby it integrates information from all sensory systems, which could be already used in electrophysiological studies to investigate several neuronal key functions. Further, this neuron was already used as a model system evaluating the effects of bisphenols\textsuperscript{40}, highly discussed environmental contaminants, on the mature vertebrate brain. Localizing this neuron with MALDI MSI within a tissue section could extend the gained knowledge by adding information about the distribution of bisphenols next to the neuron. Indeed, we were able to localize parts of the axon and the soma. The presented results function as part of the feasibility study and will be improved in future studies.
For *D. magna*, we were the first to show a suitable sample preparation workflow enabling the application of MALDI-MSI on Daphnia sections. Thereby, we could overcome challenges like maintaining tissue integrity during cryosectioning of non-preserved whole-mount samples of Daphnia. We further present the first spatial mapping of compartment specific lipids with a high spatial resolution.
Lipid pattern highlight characteristic structures of body compartments and are therefore an ideal basis for the analysis of molecular changes in aquatic organisms. With regards to this, the developed working procedures in this study might enable the analysis of e.g. the effects of environmental pollutants from a different, non-invasive, histochemical perspective.
Methods
Experimental Animals.
Adult zebrafish (*D. rerio*) lines used in this study were of the Bt line (wild type) and Casper-Tol-056 line (mutant type). The Casper-Tol-056 line was generated by crossing the pigmentless casper [mitfa\textsuperscript{w2/w2},mpv17\textsuperscript{a9/a9}]\textsuperscript{34} strain with the Tol-056 enhancer\textsuperscript{35} trap line, in which the Mauthner neurons, among others, express GFP. All fish used in this study were kept at the Chair of Animal Physiology at the University of Bayreuth. Juvenile fish were raised at 28 °C on a 12:12 h light/dark photoperiod in E3-medium (5 mM NaCl, 0.17 mM KCl, 0.33 mM CaCl2, 0.33 mM MgSO4 x 7H2O, 10-5 % Methylene Blue in dH2O). Adult fish were kept in groups of about 15 animals in commercial fish tanks (Stand-alone unit V60, Aqua Schwarz; Göttingen, Germany; size: 137 x 60 x 231 cm (width, depth, height)) at 28 °C. Water quality parameters were controlled daily (salt content: 0.1 g/L; pH 7.2; water conductivity: 400 µS). Adult fish were fed with commercial fish food (Tetramin; Tatra GmbH; Melle, Germany). Experiments were conducted with adult animals. Animal experiments were in accordance with the relevant guidelines and regulations of the German animal protection law and approved by state councils (Regierung von Unterfranken, Würzburg, Germany).
Adult female *D. magna* (clone: K34J) were cultivated in a climate chamber (20 °C + 1 °C) with a 15:9 h light/dark photoperiod at the Chair of Animal Ecology I at the University of Bayreuth. The daphnids were held on artificial M4 medium\textsuperscript{36} and were fed daily with the green algae *Acutodesmus obliquus*.
Sample preparation for cryosectioning.
Euthanasia of all experimental fish was applied by an overdose of the anaesthetic agent 2-phenoxyethanol. Sectioning of embedded *D. rerio* and *D. magna* samples were performed on a cryomicrotome (CM 3050 S cryostat, Leica Microsystems; Nussloch, Germany). For the wild-type *D. rerio*, 20 µm sagittal sections were prepared at a chamber temperature of -15 °C. Coronal brain sections of Casper-Tol-056 *D. rerio* were prepared at -17 °C and 70 µm thickness. Whole-body sections of *D. magna* were prepared at -27 °C chamber temperature and a thickness of 18 µm.
Preparation of sections from wild-type *D. rerio*:
Animals were dissected cranial to the anal fin and immediately embedded in 3 % carboxymethyl cellulose (CMC; (Sigma-Aldrich, Taufkirche, Germany)). The embedding
medium was prepared by dissolving 750 mg CMC (Sigma-Aldrich, Taufkirche, Germany) in pre-warmed 25 mL Milli-Q water and subsequently cooled to room temperature for further use. For embedding, the cryomold (Science Services, Munich, Germany) was filled with a thin uniform layer of embedding medium and stored at -20 °C. The prepared *D. rerio* was transferred onto the frozen CMC layer, completely coated by additional CMC medium and immediately stored at -80 °C until cryosectioning.
**Preparation of brain sections from the Casper-Tol-056 line:**
The skull of the fish was opened and the head placed overnight in 4 % paraformaldehyde (PFA) in PBS. Next day the brain was extracted from the scull and transferred to 30 % sucrose (Sigma-Aldrich, Taufkirche, Germany), diluted in 4 % PFA in PBS. After overnight incubation, the brain was embedded in 3 % CMC as it is described before and stored at -80 °C until cryosectioning.
**Preparation of *D. magna* sections:**
Gelatin embedding solution was prepared by dissolving 800 mg gelatin powder (VWR, Darmstadt, Germany) in 10 mL ultrapure water and the suspension was heated to 55 °C to dissolve the gelatin. The embedding medium was poured in a cryomold and given time to cool down to approximately room temperature. After cooling, a daphnid was placed in a glass bowl filled with embedding medium for approximately one minute so that the movement of the thoracic legs spread the embedding medium within the carapace and appendices of *D. magna*. Afterwards, the individual was placed in a cryomold filled with embedding medium and transferred to a brass plate cooled with dry ice. During the freezing process the daphnids were aligned with tweezers. Frozen samples were stored at -80 °C until cryosectioning.
**Matrix application.**
Prior to matrix application, *D. rerio* and *D. magna* sections were placed in a desiccator for 1 hour to avoid condensation on the sample surface. Matrix application was carried out using a semi-automatic pneumatic sprayer system built in house. All sections were coated with 4-nitroanilin matrix (pNA, ≥ 99 %, Sigma Aldrich Chemie, Taufkirche, Germany) at 5 mg/mL in 3:1 acetone / water.
MALDI MSI measurements.
MALDI MSI measurements were performed on a QExactive™ HF Hybrid-Quadrupole-Orbitrap mass spectrometer (Thermo Fisher Scientific GmbH, Bremen, Germany), coupled to an AP-SMALDI5 source (TransMIT GmbH, Gießen, Germany) equipped with a $\lambda = 343$ nm solid state laser operating at a repetition rate of 100 Hz. Measurements were carried out in positive ion mode with a mass range of 600-1000 with one scanning event per pixel at a mass resolution of 240k @ $m/z$ 200 full width at half maximum (FWHM). All measurements were performed with a fixed C-trap injection time of 500 ms. Step sizes were set to 25 µm for the sagittal wild-type zebrafish line sections, 10 µm for *D. magna* sections and 5 µm for the coronal Casper-Tol-056 *D. rerio* line sections. Tentatively identification of lipids from *D. rerio* sections was based on online data base search\textsuperscript{37} and on tissue MS/MS of lipids with a precursor isolation window width of ± 0.2 $m/z$. Tentatively identification of lipids in *D. magna* sections was based on online data base search\textsuperscript{37}.
Data processing and image generation.
Conversion of proprietary Thermo RAW files to imzML was performed using the java based open access software ‘jimzML’ Converter\textsuperscript{38}. Ion images and RGB composite images were generated in the open source software MSiReader Version 1.0.\textsuperscript{39}. Images were generated using a bin width ± 2.5 ppm. Mass deviations across imaging datasets are given as the root mean square error (RMSE) of the $\Delta m$ values in ppm of each individual spectrum containing the targeted ion within a ± 4 ppm window of the exact mass.
H&E staining.
*D. rerio* sections were used for H&E staining after MALDI MSI experiments. Prior staining, the matrix layer was removed with acetone. The sections were then rehydrated with decreasing ethanol concentrations (2 min in 100 %, 70 %, 40 %), rinsed in 100 % distilled water and stained with Mayers Hematoxylin Solution for 12 minutes, before sections were submerged in tab water and rinsed again in distilled water. 0.5 % acidified Eosin Y was used for counterstaining. Stained sections were fixated in xylol and mounted with Eukitt mounting medium and coverslips.
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28. Barata, C., Baird, D. & Markich, S. Influence of genetic and environmental factors on the tolerance of *Daphnia magna* Straus to essential and non-essential metals. (1998) doi:10.1016/S0166-445X(98)00039-3.
29. Miner, B. E., De Meester, L., Pfrender, M. E., Lampert, W. & Hairston, N. G. Linking genes to communities and ecosystems: *Daphnia* as an ecogenomic model. Proc. R. Soc. B Biol. Sci. 279, 1873–1882 (2012).
30. Stutts, W. L. et al. Methods for Cryosectioning and Mass Spectrometry Imaging of Whole-Body Zebrafish. J. Am. Soc. Mass Spectrom. 31, 768–772 (2020).
31. Purves, D. et al. The Retina. Neurosci. 2nd Ed. (2001).
32. Scanlan, L. D. et al. Gene Transcription, Metabolite and Lipid Profiling in Eco-Indicator *Daphnia magna* Indicate Diverse Mechanisms of Toxicity by Legacy and Emerging Flame-Retardants. Environ. Sci. Technol. 49, 7400–7410 (2015).
33. Heinlaan, M. et al. Changes in the *Daphnia magna* midgut upon ingestion of copper oxide nanoparticles: A transmission electron microscopy study. Water Res. 45, 179–190 (2011).
34. White, R. M. et al. Transparent adult zebrafish as a tool for in vivo transplantation analysis. Cell Stem Cell 2, 183–189 (2008).
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37. Sud, M. et al. LMSD: LIPID MAPS structure database. Nucleic Acids Res. 35, D527-532 (2007).
38. Race, A. M., Styles, I. B. & Bunch, J. Inclusive sharing of mass spectrometry imaging data requires a converter for all. J. Proteomics 75, 5111–5112 (2012).
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40. Schirmer, E., Schuster, S. & Machnik, P. Bisphenols exert detrimental effects on neuronal signaling in mature vertebrate brains. https://doi.org/10.1038/s42003-021-01966-w (2021).
Acknowledgements
The current study was supported by the Deutsche Forschungsgemeinschaft (DFG, German Research Foundation), Project Number 391977956 – SFB 1357.
Author contributions
E.S., S.R., S.S., C.L. and A.R. designed and supervised experimental procedure; E.S. and S.R. performed and analyzed experiments. E.S., S.R., S.S. and A.R. wrote the manuscript.
10. Conference participations
Parts of this thesis were presented at the following international conferences:
Machnik, P., Schirmer, E., Glück, L. and Schuster, S. Recordings in an integrating neuron provide a quick way for achieving appropriate anaesthetic use in fish. 13th Göttingen Meeting of the German Neuroscience Society, 2019. (poster presentation)
Schirmer, E., Ritschar, S., Laforsch, S., Schuster, S. and Römpp, A. MALDI mass spectrometry imaging in aquatic model systems. OurCon, Saint-Malo, France, 2020. (poster presentation)
Schirmer, E., Ritschar, S., Laforsch, S., Schuster, S. and Römpp, A. MALDI mass spectrometry imaging in aquatic model systems. ASMS, 2020. (online poster presentation)
Schirmer, E., Ritschar, S., Laforsch, S., Schuster, S. and Römpp, A. MALDI mass spectrometry imaging in aquatic model systems. Micro2020, 2020. (online poster presentation)
11. Acknowledgements
The last four years were a hard time in which one develops, fails, rebuilds and gets to know oneself in a new way. These experiences have shaped and strengthened me, they positively surprised and encouraged me. First and foremost, I would like to express my gratitude to Prof. Dr. Stefan Schuster at the Department of Animal Physiology, for shaking my hand four years ago on the last day of my master's thesis, because on that day you handed me the opportunity to decide and to grow. Since then, you encouraged and supported me in every way. You were a mentor, a team member and a friend and although there were good and tough times I just want to say – thank you.
Furthermore, I would like to express great thanks to Prof. Dr. Andreas Römpp at the Department of Bioanalytics and Food Chemistry. You gave me the chance to dive into an incredible interesting topic and handed me the opportunity to hold on to my dreams.
Next, I have a big smile on my face, while I want to thank my dear friend and college – Dr. Peter Machnik. There are many things to be grateful for, but I just want to say one thing: thank you for still being around – as a friend after all these years and surely even beyond.
I would have never dreamed of to have so many heart-warming and supportive people around me as I had the last years. A big thanks to my room colleagues Kathrin Leupolz, Sabine Blum, Jasmin Kniese and Axel Treu – each of you is incredible, made me laugh, had always handkerchiefs and we always supported each other to hold on. Beyond, I am grateful for all the time and conversations I had with Thomas Liebenstein, Dr. Alex Hecker, Dr. Georg Welzel, Martin Schulze, Dr. David Richter, Oliver Wittek, Bastian Jahreis, Matthias Ochs, Julia Kokesch-Himmelreich, Alan Race and Sven Ritschar and for all the hot chocolate and time I spend with Antje Halwas. A really big ‘thank you’ also belongs to Dr. Wolfram Schulze. You did not only rescue my laptop and my hard drives but it is what it is – you rescued my life. Moreover, a special thanks to Monika Painter and Gudrun Brauner, the heroes of administration.
I also want to thank PD Dr. Heinar Schmidt for all his helpful advices and that he encouraged me to stick to my principles.
Finally, without all the support of my beloved family, I would not have been that brave, purposeful and optimistic and it would not have been such a pleasure to finally end this chapter of life.
12. (Eidesstattliche) Versicherungen und Erklärungen
(§ 8 Satz 2 Nr. 3 PromO Fakultät)
Hiermit versichere ich eidesstattlich, dass ich die Arbeit selbstständig verfasst und keine anderen als die von mir angegebenen Quellen und Hilfsmittel benutzt habe (vgl. Art. 64 Abs. 1 Satz 6 BayHSchG).
(§ 8 Satz 2 Nr. 3 PromO Fakultät)
Hiermit erkläre ich, dass ich die Dissertation nicht bereits zur Erlangung eines akademischen Grades eingereicht habe und dass ich nicht bereits diese oder eine gleichartige Doktorprüfung endgültig nicht bestanden habe.
(§ 8 Satz 2 Nr. 4 PromO Fakultät)
Hiermit erkläre ich, dass ich Hilfe von gewerblichen Promotionsberatern bzw. –vermittlern oder ähnlichen Dienstleistern weder bisher in Anspruch genommen habe noch künftig in Anspruch nehmen werde.
(§ 8 Satz 2 Nr. 7 PromO Fakultät)
Hiermit erkläre ich mein Einverständnis, dass die elektronische Fassung der Dissertation unter Wahrung meiner Urheberrechte und des Datenschutzes einer gesonderten Überprüfung unterzogen werden kann.
(§ 8 Satz 2 Nr. 8 PromO Fakultät)
Hiermit erkläre ich mein Einverständnis, dass bei Verdacht wissenschaftlichen Fehlverhaltens Ermittlungen durch universitätsinterne Organe der wissenschaftlichen Selbstkontrolle stattfinden können.
...........................................................................................................
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Effective Use of Linguistic and Contextual Information for Statistical Machine Translation
Libin Shen and Jinxi Xu and Bing Zhang and Spyros Matsoukas and Ralph Weischedel BBN Technologies
{lshen,jxu,bzhang,smatsouk,[email protected]
Cambridge, MA 02138, USA
Abstract
1.1 Previous Work
Current methods of using lexical features in machine translation have difficulty in scaling up to realistic MT tasks due to a prohibitively large number of parameters involved. In this paper, we propose methods of using new linguistic and contextual features that do not suffer from this problem and apply them in a state-ofthe-art hierarchical MT system. The features used in this work are non-terminal labels, non-terminal length distribution, source string context and source dependency LM scores. The effectiveness of our techniques is demonstrated by significant improvements over a strong baseline. On Arabic-to-English translation, improvements in lower-cased BLEU are 2.0 on NIST MT06 and 1.7 on MT08 newswire data on decoding output. On Chinese-to-English translation, the improvements are 1.0 on MT06 and 0.8 on MT08 newswire data.
1 Introduction
Linguistic and context features, especially sparse lexical features, have been widely used in recent machine translation (MT) research. Unfortunately, existing methods of using such features are not ideal for large-scale, practical translation tasks.
In this paper, we will propose several probabilistic models to effectively exploit linguistic and contextual information for MT decoding, and these new features do not suffer from the scalability problem. Our new models are tested on NIST MT06 and MT08 data, and they provide significant improvement over a strong baseline system.
The ideas of using labels, length preference and source side context in MT decoding were explored previously. Broadly speaking, two approaches were commonly used in existing work.
One is to use a stochastic gradient descent (SGD) or Perceptron like online learning algorithm to optimize the weights of these features directly for MT (Shen et al., 2004; Liang et al., 2006; Tillmann and Zhang, 2006). This method is very attractive, since it opens the door to rich lexical features. However, in order to robustly optimize the feature weights, one has to use a substantially large development set, which results in significantly slower tuning. Alternatively, one needs to carefully select a development set that simulates the test set to reduce the risk of over-fitting, which however is not always realistic for practical use.
A remedy is to aggressively limit the feature space, e.g. to syntactic labels or a small fraction of the bi-lingual features available, as in (Chiang et al., 2008; Chiang et al., 2009), but that reduces the benefit of lexical features. A possible generic solution is to cluster the lexical features in some way. However, how to make it work on such a large space of bi-lingual features is still an open question.
The other approach is to estimate a single score or likelihood of a translation with rich features, for example, with the maximum entropy (MaxEnt) method as in (Carpuat and Wu, 2007; Ittycheriah and Roukos, 2007; He et al., 2008). This method avoids the over-fitting problem, at the expense of losing the benefit of discriminative training of rich features directly for MT. However, the feature space problem still exists in these published models.
He et al. (2008) extended the WSD-like approached proposed in (Carpuat and Wu, 2007) to hierarchical decoders. In (He et al., 2008), lexical
features were limited on each single side due to the feature space problem. In order to further reduce the complexity of MaxEnt training, they "trained a MaxEnt model for each ambiguous hierarchical LHS" (left-hand side or source side) of translation rules. Different target sides were treated as possible labels. Therefore, the sample sets of each individual MaxEnt model were very small, while the number of features could easily exceed the number of samples. Furthermore, optimizing individual MaxEnt models in this way does not lead to global maximum. In addition, MaxEnt models trained on small sets are unstable.
The MaxEnt model in (Ittycheriah and Roukos, 2007) was optimized globally, so that it could better employ the distribution of the training data. However, one has to filter the training data according to the test data to get competitive performance with this model 1 . In addition, the filtering method causes some practical issues. First, such methods are not suitable for real MT tasks, especially for applications with streamed input, since the model has to be retrained with each new input sentence or document and training is slow. Furthermore, the model is ill-posed. The translation of a source sentence depends on other source sentences in the same batch with which the MaxEnt model is trained. If we add one more sentence to the batch, translations of other sentences may become different due to the change of the MaxEnt model.
To sum up, the existing models of employing rich bi-lingual lexical information in MT are imperfect. Many of them are not ideal for practical translation tasks.
1.2 Our Approach
As for our approach, we mainly use simple probabilistic models, i.e. Gaussian and n-gram models, which are more robust and suitable for large-scale training of real data, as manifested in state-of-theart systems of speech recognition. The unique contribution of our work is to design effective and efficient statistical models to capture useful linguistic and context information for MT decoding. Feature functions defined in this way are robust and ideal for practical translation tasks.
1According to footnote 2 of (Ittycheriah and Roukos, 2007), test set adaptation by test set sampling of the training corpus showed an advantage of more than 2 BLEU points over a general system trained on all data.
1.2.1 Features
In this paper, we will introduce four new linguistic and contextual feature functions. Here, we first provide a high-level description of these features. Details of the features are discussed in Section 2.
The first feature is based on non-terminal labels, i.e. POS tags of the head words of target nonterminals in transfer rules. This feature reduces the ambiguity of translation rules. The other benefit is that POS tags help to weed out bad target side tree structures, as an enhancement to the target dependency language model.
The second feature is based on the length distribution of non-terminals. In English as well as in other languages, the same deep structure can be represented in different syntactic structures depending on the complexity of its constituents. We model such preferences by associating each nonterminal of a transfer rule with a probability distribution over its length. Similar ideas were explored in (He et al., 2008). However their length features only provided insignificant improvement of 0.1 BLEU point. A crucial difference of our approach is how the length preference is modeled. We approximate the length distribution of non-terminals with a smoothed Gaussian, which is more robust and gives rise to much larger improvement consistently.
The third feature utilizes source side context information, i.e. the neighboring words of an input span, to influence the selection of the target translation for a span. While the use of context information has been explored in MT, e.g. (Carpuat and Wu, 2007) and (He et al., 2008), the specific technique we used by means of a context language model is rather different. Our model is trained on the whole training data, and it is not limited by the constraint of MaxEnt training.
The fourth feature exploits structural information on the source side. Specifically, the decoder simultaneously generates both the source and target side dependency trees, and employs two dependency LMs, one for the source and the other for the target, for scoring translation hypotheses. Our intuition is that the likelihood of source structures provides another piece of evidence about the plausibility of a translation hypothesis and as such would help weed out bad ones.
1.2.2 Baseline System and Experimental Setup
We take BBN's HierDec, a string-to-dependency decoder as described in (Shen et al., 2008), as our baseline for the following two reasons:
* It provides a strong baseline, which ensures the validity of the improvement we would obtain. The baseline model used in this paper showed state-of-the-art performance at NIST 2008 MT evaluation.
* The baseline algorithm can be easily extended to incorporate the features proposed in this paper. The use of source dependency structures is a natural extension of the stringto-tree model to a tree-to-tree model.
To ensure the generality of our results, we tested the features on two rather different language pairs, Arabic-to-English and Chinese-to-English, using two metrics, IBM BLEU (Papineni et al., 2001) and TER (Snover et al., 2006). Our experiments show that each of the first three features: nonterminal labels, length distribution and source side context, improves MT performance. Surprisingly, the source dependency feature does not produce an improvement.
2 Linguistic and Context Features
2.1 Non-terminal Labels
In the original string-to-dependency model (Shen et al., 2008), a translation rule is composed of a string of words and non-terminals on the source side and a well-formed dependency structure on the target side. A well-formed dependency structure could be either a single-rooted dependency tree or a set of sibling trees. As in the Hiero system (Chiang, 2007), there is only one non-terminal X in the string-to-dependency model. Any sub dependency structure can be used to replace a nonterminal in a rule.
For example, we have a source sentence in Chinese as follows.
* jiantao zhuyao baohan liang fangmian
The literal translation for individual words is
* 'review' 'mainly' 'to consist of' 'two' 'part' The reference translation is
* the review mainly consists of two parts
A single source word can be translated into many English words. For example, jiantao can be translated into a review, the review, reviews, the reviews, reviewing, reviewed, etc. Suppose we have source-string-to-target-dependency translation rules as shown in Figure 1. Since there is no constraint on substitution, any translation for jiantao could replace the X-1 slot.
One way to alleviate this problem is to limit the search space by using a label system. We could assign a label to each non-terminal on the target side of the rules. Furthermore, we could assign a label to the whole target dependency structure, as shown in Figure 2. In decoding, each target dependency sub-structure would be associated with a label. Whenever substitution happens, we would check whether the label of the sub-structure and the label of the slot are the same. Substitutions with unmatched labels would be prohibited.
In practice, we use a soft constraint by penalizing substitutions with unmatched labels. We introduce a new feature: the number of times substitutions with unmatched labels appear in the derivation of a translation hypothesis.
Obviously, to implement this feature we need to associate a label with each non-terminal in the target side of a translation rule. The labels are generated during rule extraction. When we create a rule from a training example, we replace a subtree or dependency structure with a non-terminal and associate it with the POS tag of the head word if the non-terminal corresponds to a single-rooted tree on the target side. Otherwise, it is assigned the generic label X. (In decoding, all substitutions of X are considered unmatched ones and incur a penalty.)
2.2 Length Distribution
In English, the length of a phrase may determine the syntactic structure of a sentence. For example, possessive relations can be represented either as "A's B" or "B of A". The former is preferred if A is a short phrase (e.g. "the boy's mother") while the latter is preferred if A is a complex structure (e.g. "the mother of the boy who is sick").
Our solution is to build a model of length preference for each non-terminal in each translation rule. To address data sparseness, we assume the length distribution of each non-terminal in a transfer rule is a Gaussian, whose mean and variance can be estimated from the training data. In rule extraction, each time a translation rule is generated from a training example, we can record the length of the source span corresponding to a non-terminal. In the end, we have a frequency histogram for each non-terminal in each translation rule. From the histogram, a Gaussian distribution can be easily computed.
In practice, we do not need to collect the frequency histogram. Since all we need to know are the mean and the variance, it is sufficient to collect the sum of the length and the sum of squared length.
Let r be a translation rule that occurs Nr times in training. Let x be a specific non-terminal in that rule. Let l(r, x, i) denote the length of the source span corresponding to non-terminal x in the i-th occurrence of rule r in training. Then, we can compute the following quantities.
which can be subsequently used to estimate the mean µr,x and variance σ 2 r,x of x 's length distribution in rule r as follows.
Since many of the translation rules have few occurrences in training, smoothing of the above estimates is necessary. A common smoothing method is based on maximum a posteriori (MAP) estimation as in (Gauvain and Lee, 1994).
where ˆ stands for an MAP distribution and ˜ represents a prior distribution. ˜ mr,x and ˜ sr,x can be obtained from a prior Gaussian distribution N (˜ µr,x, ˜ σr,x) via equations (3) and (4), and τ is a weight of smoothing.
In this way, we do not change the mean, but relax the variance with sr,x. We tried different smoothing methods, but the performance did not change much, therefore we kept this simplest setup. We also tried the Poisson distribution, and the performance is similar to Gaussian distribution, which is about 0.1 point lower in BLEU.
There are many ways to approximate the prior distribution. For example, we can have one prior for all the non-terminals or one for individual nonterminal type. In practice, we assume ˜ µr,x = µr,x, and approximate ˜ σr,x as (σ 2 r,x + s r,x ) 1 2 .
When a rule r is applied during decoding, we compute a penalty for each non-terminal x in r according to
where l is length of source span corresponding to x.
Our method to address the problem of length bias in rule selection is very different from the maximum entropy method used in existing studies, e.g. (He et al., 2008).
2.3 Context Language Model
In the baseline string-to-dependency system, the probability a translation rule is selected in decoding does not depend on the sentence context. In reality, translation is highly context dependent. To address this defect, we introduce a new feature, called context language model. The motivation of this feature is to exploit surrounding words to influence the selection of the desired transfer rule for a given input span.
To illustrate the problem, we use the same example mentioned in Section 2.1. Suppose the source span for rule selection is zhuyao baohan, whose literal translation is mainly and to consist of. There are many candidate translations for this phrase, for example, mainly consist of, mainly consists of, mainly including, mainly includes, etc. The surrounding words can help to decide which translation is more appropriate for zhuyao baohan. We compare the following two context-based probabilities:
* P ( jiantao | mainly consist )
* P ( jiantao | mainly consists )
Here, jiantao is the source word preceding the source span zhuyao baohan.
Now we introduce context LM formally. Let the source words be f1f2..fi..fj..fn. Suppose source sub-string fi..fj is translated into ep..eq. We can define tri-gram probabilities on the left and right sides of the source span:
In the training data, jiantao is usually translated into the review, third-person singular, then the probability P ( jiantao | mainly consists ) will be higher than P ( jiantao | mainly consist ), since we have seen more context events like the former in the training data.
* left : P L ( f i − 1 | e p , e p +1 )
* right : P R ( f j +1 | e q , e q − 1 )
In our implementation, the left and right context LMs are estimated from the training data as part of the rule extraction procedure. When we exact a rule, we collect two 3-gram events, one for the left side and the other for the right side.
In decoding, whenever a partial hypothesis is generated, we calculate the context LM scores based on the leftmost two words and the rightmost two words of the hypothesis as well as the source context. The product of the left and right context
LM scores is used as a new feature in the scoring function.
The benefit is two fold. The estimation of the context LMs is very efficient. It adds only one new weight to the scoring function.
Please note that our approach is very different from other approaches to context dependent rule selection such as (Ittycheriah and Roukos, 2007) and (He et al., 2008). Instead of using a large number of fine grained features with weights optimized using the maximum entropy method, we treat context dependency as an ngram LM problem, and it is smoothed with Witten-Bell discounting. The estimation of the context LMs is very efficient and robust.
2.4 Source Dependency Language Model
The context LM proposed in the previous section only employs source words immediately before and after the current source span in decoding. To exploit more source context, we use a source side dependency language model as another feature. The motivation is to take advantage of the long distance dependency relations between source words in scoring a translation theory.
We extended the string-to-dependency decoding algorithm in the baseline to accommodate dependency-to-dependency theories. In decoding, we build both the source and the target dependency structures simultaneously in chart parsing over the source string. Thus, we can compute the source dependency LM score in the same way we compute the target side score, using a procedure described in (Shen et al., 2008).
We extended string-to-dependency rules in the baseline system to dependency-to-dependency rules. In each dependency-to-dependency rule, we keep record of the source string as well as the source dependency structure. Figure 3 shows examples of dependency-to-dependency rules.
We introduce two new features for the source side dependency LM as follows, in a way similar to the target side.
* Source dependency LM score
* Discount on ill-formed source dependency structures
The source dependency LM is trained on the source side of the bi-lingual training data with Witten-Bell smoothing. The source dependency LM score represents the likelihood of the source
dependency tree generated by the decoder. The source dependency tree with the highest score is the one that is most likely to be generated by the dependency model that created the source side of the training data.
TER. The motivation is to detect if an improvement is artificial, i.e., specific to the tuning metric. For both Arabic-to-English and Chinese-toEnglish MT, we tuned on NIST MT02-05 and tested on MT06 and MT08 newswire sets.
However, unlike source context LMs, the structural context information is used only when two partial dependency structures are combined, while source context LMs work as a look-ahead feature.
Source dependency trees are composed of fragments embedded in the translation rules. Therefore, a source dependency LM score can be viewed as a measure whether the translation rules are put together in a way similar to the training data. Therefore, a source dependency LM score serves as a feature to represent structural context information that is capable of modeling longdistance relations.
3 Experiments
We designed our experiments to show the impact of each feature separately as well as their cumulative impact:
* BASE: baseline string-to-dependency system
* SLM: baseline + source dependency LM
* CLM: baseline + context LM
* LEN: baseline + length distribution
* LBL: baseline + syntactic labels
* LBL+LEN: baseline + syntactic labels + length distribution
* LBL+LEN+CLM: baseline + syntactic labels + length distribution + context LM
All the models were optimized on lower-cased IBM BLEU with Powell's method (Powell, 1964; Brent, 1973) on n-best translations (Ostendorf et al., 1991), but evaluated on both IBM BLEU and
The training data are different from what was usd at MT06 or MT08. Our Arabic-to-English data contain 29M Arabic words and 38M English words from 11 corpora: LDC2004T17, LDC2004T18, LDC2005E46, LDC2006E25, LDC2006G05, LDC2005E85, LDC2006E36, LDC2006E82, LDC2006E95, Sakhr-A2E and Sakhr-E2A. The Chinese-to-English data contain 107M Chinese words and 132M English words from eight corpora: LDC2002E18, LDC2005T06, LDC2005T10, LDC2006E26, LDC2006G05, LDC2002L27, LDC2005T34 and LDC2003E07. They are available under the DARPA GALE program. Traditional 3-gram and 5-gram string LMs were trained on the English side of the parallel data plus the English Gigaword corpus V3.0 in a way described in (Bulyko et al., 2007).
The target dependency LMs were trained on the English side of the parallel training data. For that purpose, we parsed the English side of the parallel data. Two separate models were trained: one for Arabic from the Arabic training data and the other for Chinese from the Chinese training data.
To compute the source dependency LM for Chinese-to-English MT, we parsed the Chinese side of the Chinese-to-English parallel data. Due to the lack of a good Arabic parser compatible with the Sakhr tokenization that we used on the source side, we did not test the source dependency LM for Arabic-to-English MT.
When extracting rules with source dependency structures, we applied the same well-formedness constraint on the source side as we did on the target side, using a procedure described by (Shen et al., 2008). Some candidate rules were thrown away due to the source side constraint. On the
Table 1: BLEU and TER percentage scores on MT06 and MT08 Arabic-to-English newswire sets.
other hand, one string-to-dependency rule may split into several dependency-to-dependency rules due to different source dependency structures. The size of the dependency-to-dependency rule set is slightly smaller than the size of the string-todependency rule set.
Tables 1 and 2 show the BLEU and TER percentage scores on MT06 and MT08 for Arabicto-English and Chinese-to-English translation respectively. The context LM feature, the length feature and the syntax label feature all produce a small improvement for most of the conditions. When we combined the three features, we observed significant improvements over the baseline. For Arabic-to-English MT, the LBL+LEN+CLM system improved lower-cased BLEU by 2.0 on MT06 and 1.7 on MT08 on decoding output. For Chinese-to-English MT, the improvements in lower-cased BLEU were 1.0 on MT06 and 0.8 on MT08. After re-scoring, the improvements became smaller, but still noticeable, ranging from 0.7 to 1.4. TER scores were also improved noticeably for all conditions, suggesting there was no metric specific over-tuning.
Surprisingly, source dependency LM did not provide any improvement over the baseline. There are two possible reasons for this. One is that the source and target parse trees were generated by two stand-alone parsers, which may cause incompatible structures on the source and target sides. By applying the well-formed constraints on both sides, a lot of useful transfer rules are discarded. A bi-lingual parser, trained on parallel treebanks recently made available to the NLP community, may overcome this problem. The other is that the search space of dependency-todependency decoding is much larger, since we need to add source dependency information into the chart parsing states. We will explore techniques to address these problems in the future.
4 Discussion
Linguistic information has been widely used in SMT. For example, in (Wang et al., 2007), syntactic structures were employed to reorder the source language as a pre-processing step for phrase-based decoding. In (Koehn and Hoang, 2007), shallow syntactic analysis such as POS tagging and morphological analysis were incorporated in a phrasal decoder.
In ISI's syntax-based system (Galley et al., 2006) and CMU's Hiero extension (Venugopal et al., 2007), non-terminals in translation rules have labels, which must be respected by substitutions during decoding. In (Post and Gildea, 2008; Shen et al., 2008), target trees were employed to improve the scoring of translation theories. Marton and Resnik (2008) introduced features defined on constituent labels to improve the Hiero system (Chiang, 2005). However, due to the limitation of MER training, only part of the feature space could used in the system. This problem was fixed by
Table 2: BLEU and TER percentage scores on MT06 and MT08 Chinese-to-English newswire sets.
Chiang et al. (2008), which used an online learning method (Crammer and Singer, 2003) to handle a large set of features.
In future, we will continue this work in two directions. We will employ a Gaussian model to unify various linguistic and contextual features. We will also improve the dependency-todependency method with a better bi-lingual parser.
dependency baseline. Unlike previous work, we employed robust probabilistic models to capture useful linguistic and contextual information. Our methods are more suitable for practical translation tasks.
Acknowledgments
This work was supported by DARPA/IPTO Contract No. HR0011-06-C-0022 under the GALE program.
Most SMT systems assume that translation rules can be applied without paying attention to the sentence context. A few studies (Carpuat and Wu, 2007; Ittycheriah and Roukos, 2007; He et al., 2008; Hasan et al., 2008) addressed this defect by selecting the appropriate translation rules for an input span based on its context in the input sentence. The direct translation model in (Ittycheriah and Roukos, 2007) employed syntactic (POS tags) and context information (neighboring words) within a maximum entropy model to predict the correct transfer rules. A similar technique was applied by He et al. (2008) to improve the Hiero system.
References
R. P. Brent. 1973. Algorithms for Minimization Without Derivatives. Prentice-Hall.
I. Bulyko, S. Matsoukas, R. Schwartz, L. Nguyen, and J. Makhoul. 2007. Language model adaptation in machine translation from speech. In Proceedings of the 32nd IEEE International Conference on Acoustics, Speech, and Signal Processing (ICASSP).
M. Carpuat and D. Wu. 2007. Context-dependent phrasal translation lexicons for statistical machine translation. In Proceedings of Machine Translation Summit XI.
Our model differs from previous work on the way in which linguistic and contextual information is used.
5 Conclusions and Future Work
In this paper, we proposed four new linguistic and contextual features for hierarchical decoding. The use of non-terminal labels, length distribution and context LM features gave rise to significant improvement on Arabic-to-English and Chineseto-English translation on NIST MT06 and MT08 newswire data over a state-of-the-art string-toD. Chiang, Y. Marton, and P. Resnik. 2008. Online large-margin training of syntactic and structural translation features. In Proceedings of the 2008 Conference of Empirical Methods in Natural Language Processing.
D. Chiang, K. Knight, and W. Wang. 2009. 11,001 new features for statistical machine translation. In Proceedings of the 2009 Human Language Technology Conference of the North American Chapter of the Association for Computational Linguistics.
D. Chiang. 2005. A hierarchical phrase-based model for statistical machine translation. In Proceedings of the 43th Annual Meeting of the Association for Computational Linguistics (ACL).
D. Chiang. 2007. Hierarchical phrase-based translation. Computational Linguistics, 33(2).
K. Crammer and Y. Singer. 2003. Ultraconservative online algorithms for multiclass problems. Journal of Machine Learning Research, 3:951–991.
M. Galley, J. Graehl, K. Knight, D. Marcu, S. DeNeefe, W. Wang, and I. Thayer. 2006. Scalable inference and training of context-rich syntactic models. In COLING-ACL '06: Proceedings of 44th Annual Meeting of the Association for Computational Linguistics and 21st Int. Conf. on Computational Linguistics.
J.-L. Gauvain and Chin-Hui Lee. 1994. Maximum a posteriori estimation for multivariate gaussian mixtureobservations of markov chains. IEEE Transactions on Speech and Audio Processing, 2(2).
S. Hasan, J. Ganitkevitch, H. Ney, and J. Andr´es-Ferrer. 2008. Triplet lexicon models for statistical machine translation. In Proceedings of the 2008 Conference of Empirical Methods in Natural Language Processing.
Z. He, Q. Liu, and S. Lin. 2008. Improving statistical machine translation using lexicalized rule selection. In Proceedings of COLING '08: The 22nd Int. Conf. on Computational Linguistics.
A. Ittycheriah and S. Roukos. 2007. Direct translation model 2. In Proceedings of the 2007 Human Language Technology Conference of the North American Chapter of the Association for Computational Linguistics.
P. Koehn and H. Hoang. 2007. Factored translation models. In Proceedings of the 2007 Conference of Empirical Methods in Natural Language Processing.
P. Liang, A. Bouchard-Cˆot´e, D. Klein, and B. Taskar. 2006. An end-to-end discriminative approach to machine translation. In COLING-ACL '06: Proceedings of 44th Annual Meeting of the Association for Computational Linguistics and 21st Int. Conf. on Computational Linguistics.
Y. Marton and P. Resnik. 2008. Soft syntactic constraints for hierarchical phrased-based translation. In Proceedings of the 46th Annual Meeting of the Association for Computational Linguistics (ACL).
M. Ostendorf, A. Kannan, S. Austin, O. Kimball, R. Schwartz, and J. R. Rohlicek. 1991. Integration of diverse recognition methodologies through reevaluation of nbest sentence hypotheses. In Proceedings of the DARPA Workshop on Speech and
Natural Language.
K. Papineni, S. Roukos, and T. Ward. 2001. Bleu: a method for automatic evaluation of machine translation. IBM Research Report, RC22176.
M. Post and D. Gildea. 2008. Parsers as language models for statistical machine translation. In The Eighth Conference of the Association for Machine Translation in the Americas.
M. J. D. Powell. 1964. An efficient method for finding the minimum of a function of several variables without calculating derivatives. The Computer Journal, 7(2).
L. Shen, A. Sarkar, and F. J. Och. 2004. Discriminative reranking for machine translation. In Proceedings of the 2004 Human Language Technology Conference of the North American Chapter of the Association for Computational Linguistics.
L. Shen, J. Xu, and R. Weischedel. 2008. A New String-to-Dependency Machine Translation Algorithm with a Target Dependency Language Model. In Proceedings of the 46th Annual Meeting of the Association for Computational Linguistics (ACL).
M. Snover, B. Dorr, R. Schwartz, L. Micciulla, and J. Makhoul. 2006. A study of translation edit rate with targeted human annotation. In Proceedings of Association for Machine Translation in the Americas.
C. Tillmann and T. Zhang. 2006. A discriminative global training algorithm for statistical mt. In COLING-ACL '06: Proceedings of 44th Annual Meeting of the Association for Computational Linguistics and 21st Int. Conf. on Computational Linguistics.
A. Venugopal, A. Zollmann, and S. Vogel. 2007. An efficient two-pass approach to synchronous-cfg driven statistical mt. In Proceedings of the 2007 Human Language Technology Conference of the North American Chapter of the Association for Computational Linguistics.
C. Wang, M. Collins, and P. Koehn. 2007. Chinese syntactic reordering for statistical machine translation. In Proceedings of the 2007 Conference of Empirical Methods in Natural Language Processing.
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1. CALL TO ORDER
Mayor Pro Tem Jil Littlejohn
2. INVOCATION
Councilmember Lillian Flemming
3. PLEDGE OF ALLEGIANCE
4. ROLL CALL
The following members of City Council were in attendance: Amy Doyle, Lillian Flemming, Jil Littlejohn, Wil Brasington, Russell Stall, and George Fletcher
Absent: Mayor Knox White
5. APPROVAL OF THE MINUTES
April 8, 2019; Approved as submitted
6. COMMUNICATIONS / ANNOUNCEMENTS FROM THE MAYOR AND COUNCIL
None
7. CITIZENS WISHING TO ADDRESS COUNCIL
Refer to Item 15a
8. PRESENTATION
None
9. PUBLIC HEARING
None
10. APPOINTMENTS – Boards and Commissions
a. Public Safety Citizen Review Board
Councilmember Flemming recommended Carlo White to fill an unexpired term ending December 31, 2019. There being no further nominations, Mr. White was appointed by unanimous consent.
b. Youth Commission
Councilmember Brasington recommended Mac Ridgeway, a sophomore at Christ Church Episcopal School. There being no further nominations, Mr. Ridgeway was appointed by unanimous consent.
CONSENT AGENDA
There will be no discussion of Consent Agenda items unless a Council member so requests in which event the item in question will be considered separately.
Councilmember Brasington moved, seconded by Councilmember Stall, to approve second and final reading of agenda items 11a, 11b, and 11c of the Consent Agenda. The motion carried unanimously.
11. UNFINISHED BUSINESS – (Ordinances -- Second and Final Reading)
a. Ordinance to annex approximately 0.37 acre of real property and approximately 0.08 acre of right of way located on Ridge Street and to provide the zoning designation of RM-1, Single-family and Multifamily Residential District (Tax Map Number 0106000201000) (AX-2-2019)
b. Ordinance to appropriate $25,000 in the Miscellaneous Grant Fund to Engage Youth in Science, Technology, Engineering Arts and Math (STEAM) related activities throughout the City and City Community Centers
c. Ordinance to appropriate an additional $251,000 in the General Fund and the Capital Projects Fund for the Comprehensive Plan
12. NEW BUSINESS – (Ordinance – First Reading)
None
13. NEW BUSINESS – (Resolutions – First and Final Reading)
None
REGULAR AGENDA
14. UNFINISHED BUSINESS – (Ordinances – Second and Final Reading)
None
15. NEW BUSINESS – (Ordinances – First Reading)
a. Ordinance to rezone approximately 19.388 acres of real property located on Haywood Road and Pelham Road from R-6, Single-Family Residential District, to PD, Planned Development District (Tax Map Numbers 0278000200300 and 0278000200301) (Z-26-2018)
Councilmember Doyle moved, seconded by Councilmember Stall, to approve first reading.
Allen Hopkins, 119 Continental Drive, spoke in opposition to Item 15a stating the traffic density in this location is horrendous, there is a gas station already located in this area, and there is too much loss of greenspace due to development.
Dan Rigby, 5 Micasa Court, spoke in opposition to Item 15a stating the community costs far outweighs any community gain. Mr. Rigby stated safety, environment, and community development will each be negatively impacted and shared information to support the negative impact.
Marianne Wunderlin, 17 Rivoli Lane, spoke in opposition to Item 15a referring to her prior concerns shared with Councilmember Doyle about pedestrian safety on Villa Road and an increase of traffic in the area. Ms. Wunderlin asked for the same diligence to be given to this project that has been given to downtown projects.
Kenn Sparks, 103 Rivoli Lane, spoke in opposition to Item 15a referring to the current F-rating at Haywood Road and Pelham Road and stating the proposed project will make the traffic situation worse. Mr. Sparks referred to a national reporter’s first impression of Greenville as “an attractive mid-size city with horrendous traffic problems” and requested Council deny the rezoning request especially the commercial aspect.
Pat Ferro, 220 Ingleside Way, spoke in opposition to Item 15a referring to the water runoff from Pelham Road onto Ingleside Way and the environmental problems in the area. Ms. Ferro stated if the rezoning is approved, the quality of her life and the value of her house will deteriorate.
Charlotte Rigby, 5 Micasa Court, spoke in opposition to Item 15a referring to a recent accident backup during a low volume traffic time and to the Pelham Road corridor being one of the most important gateways into the City. Ms. Rigby stated the developer has an opportunity to create a lasting first impression of the City, however, the current proposal is not exceptional, aesthetically pleasing or necessary.
Roger Labas, 7 Faraway Place, spoke in opposition to Item 15a and stated the traffic impact study reviewed by the Planning Commission showed an increase of nearly 40% percent of traffic, providing a risk shortfall for an F- rating intersection. Mr. Labas suggested considering a residential only plan that would include a less long term traffic impact improving the traffic safety in the area instead of degrading it.
Andy Sherard, 800 E. Washington Street, spoke in support of Item 15a advising he serves as Civil Engineer on the project and acknowledging the concerns expressed by residents. Mr. Sherard referred to the challenges of the development and the developer's improvements addressing traffic issues. Mr. Sherard stated the traffic level is at an E-level of service and will remain an E-level after the development is completed. Mr. Sherard also stated the improvements will affect the traffic situations, with the exceptions of peak hour traffic, and there will be updates to the signalization on Haywood Road and Pelham Road. Regarding stormwater, Mr. Sherard stated the developer will be controlling its stormwater and reducing the impact from its site.
Councilmember Doyle requested Planning Division staff share its perspective on the rezoning. Development Planner Michael Frixen stated the future land use map from the 2009 Comprehensive Plan is a mixed-use neighborhood which indicates a move towards a commercial component at this property. Mr. Frixen also stated the PD classification is the only option available for this development and its density.
Mr. Frixen shared the concerns of the Planning Commission which included traffic, a zoning change, an addition of a gas station, stormwater and retaining walls planned for the site. Mr. Frixen stated there was also significant discussion about the architecture proposed for the multi-family component. Mr. Frixen advised the Planning Commission voted 5-2 in favor of the project.
Councilmember Brasington affirmed the motion on the floor to approve to rezone with the conditions required by the Planning Commission and requested clarification of the first condition for the proposed usage and what the condition is intended to accomplish. Assistant Planning and Development Manager Shannon Lavrin responded the condition is to insure the unidentified commercial lot for a neighborhood use and stated if the developer wanted to include something that was not a neighborhood use, it would have to come back to the Planning Commission and City Council because it would be considered a major modification.
Councilmember Stall shared his concerns involving traffic, the development being too big and having no affordable housing component, and there being limited green space and a lot of asphalt. Councilmember Flemming shared her concern against the development involving traffic.
Councilmember Doyle stated the initial recommendation from the Traffic Engineer was denial and requested comments. Engineering Services Manager Dwayne Cooper addressed the process of examining the project and stated the traffic impact study suggested, even with all mitigation efforts, will continue to be impacted during peak times and make it worse. Mr. Cooper also stated this intersection is on the Department of Transportation's long range transportation plan for 2024.
Councilmember Fletcher asked for an explanation of an F grade at the intersection. Mr. Cooper responded the grade means the level of delay is above a certain threshold and the ordinance says if the level is below a D grade, the development has to mitigate to keep the service the same. Mr. Cooper stated they consider peak hour traffic in guiding developments and in this case, the project is making some of the issues better while some are made worse.
Regarding the City Engineer’s comments in the staff report, Councilmember Brasington’s requested clarification regarding adaptive signal controls on the Haywood corridor and asked if it is a viable option. Mr. Cooper responded because they are looking at peak times, adaptive systems do not offer any benefit over a time system because they look at the traffic and assess the situation real time while adaptive does not benefit the corridor. Councilmember Brasington asked for an explanation of the Traffic Engineering comment “operations will break down.” Mr. Cooper stated as to a Traffic Engineer, once you are at a service F that means the intersection operations have broken down meaning the delays get longer and longer. Councilmember Brasington asked if it is common for this type of item to come to City Council with a denial from Traffic Engineering, and Mr. Cooper responded it is not that common, however this situation is unique. Mr. Cooper affirmed his recommendation to approve while Traffic Engineering recommended denial.
Mr. Cooper confirmed the only improvements being planned for the intersection of Haywood Road and Pelham Road are those presented by the developer and that the City will assist with signal timings. Regarding adaptive traffic lights, Mr. Cooper stated there is a possibility of lights on Haywood Road in the future which would help with non-peak times.
Councilmember Flemming shared her concerns including insufficient land to widen the road, approvals versus denials in the staff report, lack of sufficient curb cuts, and stormwater issues. Councilmember Flemming stated we cannot continue to place
developments in locations and hope they work. Councilmember Flemming also stated she does not want this area to be another Woodruff Road and that Council needs to think about the safety, the people and the traffic.
Councilmember Doyle stated she is in favor of the project because area employers need housing for employees. Councilmember Doyle also stated the City needs senior housing and more supply in the market. Councilmember Doyle commented that the project is good land use and that she hears the concerns about traffic and suggested another traffic survey or further improvements on the intersection before second and final reading.
Councilmember Flemming responded commenting that the employees working in the area businesses are not going to be able to afford the housing because it will be high end and it will impact other surrounding areas. Councilmember Flemming expressed concerns regarding the large number of conditions placed on the development.
Councilmember Brasington stated he is troubled by the proposal and is sensitive to the concerns expressed, especially for traffic. Councilmember Brasington referred to a PD carrying a higher standard and asked if it goes back to the Planning Commission if additional improvements can be made to the plan. Regarding traffic, Ms. Lavrin stated there is not much more that can be done by sending it back. Regarding development improvements, Ms. Lavrin responded she believes there are potential improvements from a design perspective.
*Councilmember Doyle moved, seconded by Councilmember Fletcher, to table the item and refer it back to the Planning Commission for additional changes.*
In response to the motion to table, Ms. Lavrin stated she recommends taking the following issues to the Planning Commission for review: traffic, access points, density, land use and perhaps getting tighter on the land use for the parcel not currently identified in the plan.
Mr. Sherard stated the developer has been working for four or five months to comply with staff’s recommendations and concerns. Mr. Sherard also stated this is approval of the zoning and the developer still has to go back to the Planning Commission with the final development plans and all of the conditions must be met. Regarding traffic, Mr. Sherard advised they are willing to look at additional changes and feel they have thoroughly vetted that process already. Mr. Sherard reiterated the developer is doing all that has been requested of them by the SCDOT and the City.
Councilmember Flemming asked if the proposed traffic conditions have to be approved by SCDOT, and Mr. Cooper responded SCDOT has seen the proposed improvements and they are generally in agreement.
Ms. Lavrin stated if the property received a rezoning prior to the final redevelopment plan, it would go to the Design Review Board for advice and comment prior to going to the Planning Commission for approval of the final development plan. Ms. Lavrin stated this plan is the regulating plan as part of the zoning.
As a part of the motion to table, Councilmember Doyle asked to incorporate the Planning Division's comments on recommendation for further study of the intersection and land use.
Interim City Manager Nancy Whitworth reiterated the further study is to include traffic, access points, density, land use and perhaps getting tighter on the land use for the parcel not currently identified in the plan. Councilmember Brasington asked that emphasis be added to traffic, and Councilmember Fletcher asked that stormwater be reviewed as well. Ms. Lavrin affirmed that staff would go back to the Planning Commission with a revised plan and will be subject to a public hearing.
Councilmember Stall questioned the merits of returning the plan to the Planning Commission. Councilmember Fletcher responded that suggested improvements have been presented. Councilmember Doyle responded while she believes this is a good project, she also believes from the comments presented that this project could be further vetted. Mayor Pro Tem Littlejohn suggested considering some type of affordable housing as part of the review as well.
After discussion, the motion to table the item and refer it back to the Planning Commission carried 4-2, with Councilmembers Flemming and Stall opposing.
b. Ordinance to rezone a portion of real property located at 1909 Laurens Road (1.219 acres) from R-6, Single-Family Residential District, to C-3, Regional Commercial District (Tax Map Number 0257000700300) (Z-3-2019)
Councilmember Stall moved, seconded by Councilmember Fletcher, to approve first reading. The motion carried unanimously.
c. Ordinance authorizing a sublease and license agreement between the City of Greenville and Sutera USA, LLC for the purpose of locating trash receptacles in the vicinity of Boggs Street
Councilmember Fletcher moved, seconded by Councilmember Brasington, to approve first reading.
Public Works Director Mike Murphy explained the trash receptacles are permanently underground with only a visible hatchway requiring no screening. Mr. Murphy stated the City is leasing the property from Hughes Investments and providing the space for Sutera to locate their trash receptacles.
Councilmember Doyle asked if the City was getting back into commercial trash, and Mr. Murphy responded no. Mr. Murphy stated the trash issue has become part of the permitting process and every new development in the city limits has to be reviewed by the Solid Waste Division.
After discussion, the motion carried unanimously.
d. Ordinance to appropriate $425,021 in the General Fund for the FY2019 Greenville Health Authority ("GHA") funding in support of Greenlink Transit Operations
Councilmember Flemming moved, seconded by Councilmember Fletcher, to approve first reading.
Director of Public Transportation Gary Shepard stated $300,000 will be used as a grant match to obtain Proterra buses and the remaining $125,000 will be used to improve connectivity and ADA access to the facilities near PRISMA Healthcare locations.
After discussion, the motion carried unanimously.
16. NEW BUSINESS – (Resolution – First and Final Reading)
a. Resolution to certify 515 Buncombe Street as an abandoned building site (Tax Map Number 0014000300101)
Councilmember Brasington moved, seconded by Councilmember Fletcher, to approve first and final reading. The motion carried unanimously.
b. Resolution to certify 600 Buncombe Street as an abandoned building site (Tax Map Number 0011000301100)
Councilmember Brasington moved, seconded by Councilmember Stall, to approve first and final reading. The motion carried unanimously.
c. Resolution to certify 600 Buncombe Street as an abandoned building site (Tax Map Number 0011000301800)
Councilmember Stall moved, seconded by Councilmember Flemming, to approve first and final reading. The motion carried unanimously.
17. ADJOURN. There being no further business, the meeting adjourned at 6:44 p.m.
KNOX H. WHITE, MAYOR
CAMILLA G. PITMAN, MMC, Certified PLS
CITY CLERK
MEETING NOTICE POSTED AND MEDIA NOTIFIED ON APRIL 19, 2019.
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Building Permits BCA Submittal Monthly Report
Issued From: May 8, 2023 To: May 12, 2023
Issued
Builder Name
Building
Building
Permit
Date
May 8, 2023
May 8, 2023
May 8, 2023
May 8, 2023
May 8, 2023
May 9, 2023
Value
0.00
0.00
0.00
0.00
0.00
400,000.00
Issued From: May 8, 2023 To: May 12, 2023
Issued
Builder Name
Building
Building
Permit
Date
May 9, 2023
May 9, 2023
May 9, 2023
May 9, 2023
May 9, 2023
May 9, 2023
Value
550,000.00
60,000.00
0.00
0.00
0.00
0.00
Issued From: May 8, 2023 To: May 12, 2023
Issued
Builder Name
Building
Building
Permit
Date
May 9, 2023
May 9, 2023
May 10, 2023
May 10, 2023
May 10, 2023
May 10, 2023
Value
0.00
0.00
37,765.00
0.00
0.00
0.00
Building Permits BCA Submittal Monthly Report
Issued From: May 8, 2023 To: May 12, 2023
Issued
Date
May 10, 2023
May 11, 2023
May 11, 2023
May 11, 2023
May 11, 2023
May 11, 2023
Permit
Builder Name
Building
Building
Value
0.00
643,779.90
0.00
0.00
0.00
0.00
Building Permits BCA Submittal Monthly Report
Issued From: May 8, 2023 To: May 12, 2023
Issued
Date
May 12, 2023
May 12, 2023
May 12, 2023
May 12, 2023
May 12, 2023
May 12, 2023
Permit
Builder Name
Building
Building
Value
723,520.00
723,400.00
656,240.00
0.00
0.00
0.00
0.00
Issued
Permit
Date
Number
Purpose
Folio:
Building Permits BCA Submittal Monthly Report
Issued From: May 8, 2023 To: May 12, 2023
Builder Name
To install a plumbing system with 37 fixtures and HWH system
311-109-00-0
Civic Address:
BEVERLY DR
11123
*** END OF REPORT ***
Building
Area (m2)
Building
Value
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In search for a new vaccine against the salmon louse (*Lepeophtheirus salmonis*)
Christiane Eichner¹, Heidi Kongshaug¹, Michael Dondrup², Erna Irene Heggland¹, Frank Nilsen¹
(1) Department of Biological Sciences, University of Bergen, Norway
(2) Department of Informatics, University of Bergen, Norway
[email protected]
**Lepeophtheirus salmonis**
The salmon louse is an ectoparasitic copepod, feeding on salmonid fish. Its life cycle is characterized by a high reproduction rate required for the low density of natural occurring hosts. However, the introduction of fish farming in the northern hemisphere with high densities of Atlantic salmon standing in coastal regions all year round has changed the host availability leading to an increased number of reproductive lice making *L. salmonis* a threat for wild salmon and sea trout and a major problem to the fish farming industry.
**Introduction**
Today both chemical and mechanical delousing methods against the salmon louse are used, which resulted in both resistance against common delousing agents as well as shows negative impact on the environment and fish welfare. The demand for the development of new solutions is high. Use of fish vaccines against bacteria and virus diseases has lead to strong reduction of medicine use in aquaculture. Also a vaccine against the ectoparasitic salmon louse would be the best preventive measure to combat the parasite. However, to develop vaccines against parasites, especially ectoparasites is challenging. Until now there is only one commercial available vaccine against an metazoan ectoparasite.
**Identification of suitable antigenic targets**
**Problem**
Generally demanding to develop vaccines against ectoparasites
- **Limited contact area** between parasite and the immune system of its host compared to bacteria, virus or enteroparasites
- Mechanism for **suppression of hosts immune defence** (e.g. antigenic variation; secreted bioactive molecules counteracting the host’s haemostatic, inflammatory and immune mechanisms) have to be bypassed
**Requirement**
- associated with some **vital function** of the louse
- Antilice effects expressed as lice or egg/offspring mortality, decreased engorgement or egg string length, or inhibition of moulting
- Type of antigen:
- **Exposed antigens** that are secreted in saliva during attachment and feeding on a host (proteins or peptides synthesized in the salivary glands, taken up at feeding site by host dendritic cells)
- **Concealed antigens** that are normally hidden from host immune mechanisms (encounters immunoglobulins, typically found on the gut wall and interact with specific immunoglobulins taken up in the blood meal)
- Has to **trigger the host immune defence**
**Approaches**
**Investigating the site of expression**
- Gene expression data as source for candidate choice (LiceBase², earlier RNA seq- and microarray experiments, e.g. time series³, microarray tissue⁴, microarray maturation and egg production⁵)
- Confirmation with in situ
**Importance**
- RNA interference studies⁶,⁷
- Gene knock-down of target gene and evaluation of fitness of the louse
**Conclusions**
- Targets were chosen which fulfilled the ad hoc requirements.
- Test vaccines were investigated in vaccine trials.
- However, none of the targets showed the desired effect on lice survival or reproduction of the salmon louse under given circumstances.
- High variability in lice numbers lead to low power of the experimental set-up.
**ACKNOWLEDGEMENTS**
This project was funded by the Norwegian Seafood Research Fund (project number 901510) and carried out in collaboration with the SFI-Sea Lice Research Centre (grant number 203513, Research Council Norway).
**REFERENCES**
1. Mølles RM. Journal of Biology 2008; 8:71-82.
2. Liu B, Eichner C, Dondrup M. Parasitology 2016; 143(1):1093-1099.
3. Eichner C, Dondrup M, Hafer F. Journal of Fish Diseases 2018; 41(5):1093-1099.
4. Eichner C, Dondrup M, Hafer F, Kjeldsen T, Malte K, Maehle S, Vosmaer BD, Skretting R. Mar Genomics 2018; 42:101-108.
5. Eichner C, Frost P, Dyvik B, Branset J, Kristiansen B, Nilson F. BMC Genomics 2019;19(1):120; 10.1186/s12864-018-5004-6.
6. Dondrup M, Eichner C, Hafer F, Kjeldsen T, Malte K, Vosmaer BD. International Journal for Parasitology 2009; 39(13):1407-1415.
7. Eichner C, Dondrup M, Hafer F, Kjeldsen T, Malte K, Vosmaer BD. Experimental Parasitology 2014; 149 44-51.
8. Heggland E.I., L.C. Tolte, G. Eichner, et al., 2019a, Molecular and Biochemical Parasitology, 232, 111107.
9. Heggland E.I., L.C. Tolte, G. Eichner, et al., 2019b, Molecular and Biochemical Parasitology, 232, 111107.
10. Dondrup M, Eichner C, Hafer F, et al. 2019, Comparative Biochemistry and Physiology Part A: Molecular & Integrative Physiology, 245, 113400.
11. Phipps, L.A., K.A. Oliver and F. Nilson. 2009. Parasitology International 58(4), 451-460.
|
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|
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The Customs and Excise Directorate General of Indonesia announced the adoption of blockchain technology for information sharing, in an effort to reduce shipping costs and eliminate inefficiency resulting from paper-based processes.
Indonesia Customs become the 11th governmental entity to join TradeLens , a blockchain based shipping consortium of supply chain actors connected through a global trade platform jointly developed in August 2018 by IBM and Maersk and that aims at simplifying shipping operations and goods discharge procedures in seaports, in view to improve cargo clearance. Customs plan to use Tradelens as part of a system called CEISA 4.0 (Customs Excise Information System and Automation) to connect importers, exporters, and logistics providers.
Other members of TradeLens' group include the customs agencies of Azerbaijan, Canada, and Thailand. Jordan Customs also recently announced the launching of a pilot project for handling information exchanges between the different actors in the supply chain through the TradeLens system.
The TradeLens platform offers Application Program Interfaces (APIs) allowing supply chain data to be effectively tracked and recorded on an immutable (permanent) ledger, after being broadcasted using a private (permissioned) blockchain. The objective is to accelerate inspection processes while reducing the dependency on paper-based procedures.
At the beginning of February 2020, the US Federal Maritime Commission awarded an anti-trust exemption to five American members of the TradeLens consortium to share information about US supply chain events and collaborate on further developing the platform without the risk of antitrust exposure under the U.S. Shipping Act of 1984.
1 / 2
Thursday, 27 February 2020 15:36
2 / 2
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|
2020-04-01T13:10:33+00:00
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2022 CONFERENCE AT A GLANCE
INFINITE POSSIBILITIES
CREATING A GLOBAL IMPACT: SCHOLARSHIP, LEADERSHIP, AND EXCELLENCE IN THE 21
ST
CENTURY
Note: Portions of the entire conference may be videotaped or photographed and images may be used.
THURSDAY, MARCH 17, 2022
12:00 p.m.–5:00 p.m.
REGISTRATION
Conference Registration Desk
Main Concourse
1:00 p.m.–2:30 p.m.
SELF GUIDED CAMPUS WALKING TOUR & CAMPUS DEPARTMENT VISITATIONS
(Please arrange your own individual or group department visitations)
Walk to the main campus to explore the University of Maryland. Visit the main campus, academic and administrative buildings, and campus attractions.
University of Maryland Academic Departments and Programs Contact Info https://go.umd.edu/umddeptprog
University of Maryland Virtual Campus Research & Cultural Tour https://go.umd.edu/ogdiumdtour
African-American History and the University of Maryland: A Campus Landmark Tour https://go.umd.edu/umdaahisttour
OPENING SESSION
Chesapeake Room A, B, & C
CULTURAL PERFORMANCE
Josanne Francis
Steelpan Performer and Music Educator
Ph.D. Music Education (in progress)
University of Maryland, College Park https://www.josannefrancis.com
WELCOME FROM THE UNIVERSITY OF MARYLAND MCNAIR SCHOLARS PROGRAM
Dr. Rhea Roper Nedd
Director, McNair Scholars Program
University of Maryland, College Park
INTRODUCTION OF EXECUTIVE DIRECTOR
Jared Bennett
McNair Scholar, History Major
University of Maryland, College Park
OPENING REMARKS
Dr. Jerry L. Lewis
Executive Director, Academic Achievement Programs
Director, McNair Scholars Program
University of Maryland, College Park
INTRODUCTION OF DEAN
Jared Bennett
McNair Scholar, History Major
University of Maryland, College Park
DEAN OF UNDERGRADUATE STUDIES
Dr. William Cohen
Associate Provost and Dean for Undergraduate Studies
University of Maryland, College Park
INTRODUCTION OF SPEAKER
Shane Querubin
McNair Scholar, Environmental Science & Technology, Major
University of Maryland, College Park
OPENING SPEAKER
Dr. Kalisa Villafana
Yield Analysis Engineer, Intel Corporation
First Black Woman to Obtain a Ph.D. in Physics from Florida State University
7:30 p.m. – 10:00 p.m.
MCNAIR SCHOLARS PLEDGE
Shane Querubin
McNair Scholar, Environmental Science & Technology
University of Maryland, College Park
The Pledge is in the front of the Conference Proceedings Book. Please stand.
TRANSITION AND ANNOUNCEMENTS
Dr. Rhea Roper Nedd
Director, McNair Scholars Program
University of Maryland, College Park
SCHOLARS' RECEPTION
General Vessey Ballroom
CULTURAL PERFORMANCE
Josanne Francis
Steelpan Performer and Music Educator
Ph.D. Music Education (in progress)
University of Maryland, College Park
WELCOME FROM THE UNIVERSITY OF MARYLAND OFFICE OF DIVERSITY AND INCLUSION
Dr. Georgina Dodge
Vice President, Office of Diversity and Inclusion
University of Maryland, College Park
WELCOME FROM THE UNIVERSITY OF MARYLAND GRADUATE SCHOOL
Dr. Evelyn E. Cooper
Assistant Dean, Graduate School
University of Maryland, College Park
TERPZONE: NETWORKING SOCIAL ACTIVITIES STAMP STUDENT UNION
Enjoy a night of bowling, basketball games on big screen tvs, fellowship, music & light refreshments!
FRIDAY, MARCH 18, 2022
7:30 a.m.–5:00 p.m.
REGISTRATION
Conference Registration Desk Main Concourse
7:30 a.m. – 8:00 a.m.
POSTER PRESENTATION SET-UP
Gladys Goldstein Gallery (Lower Level)
Poster set-up 7:30 a.m. – 8:00 a.m. and displayed through 4:15 p.m. Posters will be critiqued by an evaluator. Please breakdown poster presentations at 4:15 p.m. Poster boards and binder clips are available on each presentation table on the Lower Level.
8:00 a.m.–9:20 a.m.
9:30 a.m.–11:30 a.m.
9:30 a.m.–10:30 a.m.
GENERAL SESSION AND BREAKFAST
Chesapeake Room A, B, & C
CALL TO ORDER AND INTRODUCTION OF KEYNOTE SPEAKER
Rayhaun Pettit
McNair Scholar, Biology Major
University of Maryland, College Park
KEYNOTE SPEAKER
Dr. Marisa Franco
Assistant Clinical Professor
University of Maryland, College Park
McNair Alumna, New York University
@DrMarisaGFranco http://www.drmarisagfranco.com
TRANSITION AND ANNOUNCEMENTS
Dr. Rhea Roper Nedd
Director, McNair Scholars Program
University of Maryland, College Park
ROUNDTABLE DISCUSSION
with US Department of Education's TRIO Office
Patuxent Ballroom
**For McNair Staff Only**
MODERATOR
Dr. Jerry L. Lewis
Executive Director, Academic Achievement Programs
Director, McNair Scholars Program
University of Maryland, College Park
PANELISTS
U.S. Department of Education's Office of Federal TRiO Programs
WORKSHOP SERIES
Graduate Student Panel: Real Stories of Transition, Challenges, & Accomplishments
Room 2115
MODERATOR
Dr. Melanie Hayden Glover
Director, Student Support Services
University of Maryland, College Park
10:30 a.m.–12:30 p.m.
12:30 p.m.–2:30 p.m.
PANELISTS
Ray Shimry Garatsa
Ph.D. Student, Aerospace Engineering
University of Maryland, College Park
McNair Alumnus, University of Maryland, College Park
Adrian Johnston
Ph.D. Candidate, Chemical & Biomolecular Engineering
Johns Hopkins University
McNair Alumnus, University of Maryland, College Park
Shue Kei Joanna Mok
Ph.D. Student, International Education Policy
Dean's Fellow
University of Maryland, College Park
GRE Prep: Highly Effective Strategies for Success on the GREs
Room 2101 & 2102
PRESENTER
Steven Shotts
Co-Founder & Chief Executive Officer
Education Testing Consultants
"Reclaim Your Life and Career: I Would Rather Die Dancing than Sitting at My Desk"
Room 2104
PRESENTER
Dr. Marcal Graham
Director, Educational Opportunity Center
University of Maryland, College Park
Ten Commandments for Student Success
Room 2106
PRESENTER
Carol Tonge Mack
Assistant Dean, University of Cincinnati
Founder & CEO, Tonge Mack Enterprises
GRADUATE SCHOOL FAIR
General Vessey Ballroom & Foyer
GENERAL SESSION AND LUNCHEON
Chesapeake Room A, B, & C
AFRICAN DRUM PERFORMANCE (Virtual)
Mr. Edwin Akwei Brown Senior Performing Artist Department of Dance Studies University of Ghana, Legon [email protected]
WELCOME AND REMARKS
Dr. Jerry L. Lewis
Executive Director, Academic Achievement Programs
Director, McNair Scholars Program
University of Maryland, College Park
DEAN'S PANEL
MODERATOR
Dr. Gregory Ball
Vice President for Research
University of Maryland, College Park
University of Maryland, Baltimore
PANELISTS
Miriam Okine Davies Assistant Dean, Graduate Student Affairs & Enrollment Management Graduate School Howard University, Washington, D.C.
Dr. Bertrand Garcia-Moreno
Vice Dean, Natural Sciences Krieger School of Arts and Sciences Professor, Jenkins Department of Biophysics Johns Hopkins University
Dr. Samuel Graham, Jr. Dean, A. James Clark School of Engineering University of Maryland, College Park
Dr. Chad Heap Associate Dean for Graduate Studies Columbian College of Arts & Sciences George Washington University
TRANSITION AND ANNOUNCEMENTS
Dr. Rhea Roper Nedd Director, McNair Scholars Program University of Maryland, College Park
4:30 p.m.–5:30 p.m.
STUDENT RESEARCH POSTER PRESENTATIONS
Gladys Goldstein Gallery (Lower Level)
Poster set-up 7:30 a.m. – 8:00 a.m. and displayed through 4:15 p.m. Posters will be critiqued by an evaluator. Please breakdown poster presentations at 4:15 p.m. Poster boards and binder clips are available on each presentation table on the Lower Level.
Schedule by Last Name
WORKSHOP SERIES
Strategies for Developing the Most Competitive Graduate Application Room 2110 & 2111
PRESENTER
Christopher Perez
Director, Office of Graduate Diversity and Inclusion
McNair Alumnus, New Mexico State University
Graduate Student Panel: Real Stories of Transition, Challenges, & Accomplishments
Room 2115
MODERATOR
Dr. Melanie Hayden Glover
Director, Student Support Services
University of Maryland, College Park
PANELISTS
Ray Shimry Garatsa
Ph.D. Student, Aerospace Engineering
University of Maryland, College Park
McNair Alumnus, University of Maryland, College Park
Adrian Johnston
Ph.D. Candidate, Chemical & Biomolecular Engineering
Johns Hopkins University
McNair Alumnus, University of Maryland, College Park
Yanel Perez
Ph.D. Student,Ecology
University of Maryland, College Park
McNair Scholar, University of California, Santa Barbara
9:00 p.m.–12:00 a.m.
9:00 p.m.–10:30 p.m.
GRE Prep: Highly Effective Strategies for Success on the GREs
Room 2101 & 2102
PRESENTER
Steven Shotts
Co-Founder & Chief Executive Officer
Education Testing Consultants
"Reclaim Your Life and Career: I Would Rather Die Dancing than Sitting at My Desk"
Room 2104
PRESENTER
Dr. Marcal Graham
Director, Educational Opportunity Center
University of Maryland, College Park
Ten Commandments for Student Success
Room 2106
PRESENTER
Carol Tonge Mack
Assistant Dean, University of Cincinnati
Founder & CEO, Tonge Mack Enterprises
THE SCHOLARS' BANQUET
Chesapeake Room A, B, & C
Elegant Attire: Suit/Tie/Cocktail Dress/Pantsuit
PRESIDING & INTRODUCTION OF KEYNOTE SPEAKER
Dr. Rhea Roper Nedd
Director, McNair Scholars Program
University of Maryland, College Park
KEYNOTE SPEAKER
Dr. Chelsey Green
Associate Professor at Berklee College of Music
Multi-instrumentalist, Vocalist, Entrepreneur & Educator https://www.chelseygreen.com
CLOSING REMARKS & TRANSITION
Dr. Rhea Roper Nedd
Director, McNair Scholars Program
University of Maryland, College Park
SCHOLARS PARTY with DJ
Patuxent Ballroom
Light Refreshments Provided
McNAIR STAFF FELLOWSHIP(Special Refreshments)
Concierge Lounge (Hotel Registration/Check-in Side – 5 th Floor)
SATURDAY, MARCH 19, 2022
7:30 a.m.–3:30 p.m.
REGISTRATION
Conference Registration Desk
Main Concourse
7:30 a.m.–8:50 a.m.
GENERAL SESSION AND BREAKFAST
Chesapeake Room A, B, & C
CALL TO ORDER & INTRODUCTION OF MODERATOR
MODERATOR
Michael Hunt
Director, McNair Scholars Program
University of Maryland, Baltimore County
THE PROOF IS IN THE PANEL: SUCCESS STORIES OF MCNAIR SCHOLARS AND 1ST GENERATION STUDENTS
Dr. Kameron Van Patterson
Director of Programs
-The Judge Alexander Williams, Jr. Center for Education, Justice & Ethics
Faculty Specialist
-Department of African American Studies
University of Maryland, College Park
Dr. Chryl Laird
Assistant Professor, Government and Politics
University of Maryland, College Park
Dr. Noorudin Gulbahar Shah
Education Specialist
Global Partnership for Education, Washington, D.C.
ORAL RESEARCH PRESENTATIONS SPONSORED BY THE UNIVERSITY OF ROCHESTER
(Student Room Assignment in Conference Proceedings Book)
Schedule by last name
Schedule by room number
9:15 a.m.–12:45 p.m.
GENERAL SESSION AND LUNCHEON
Chesapeake Room A, B, & C
KEYNOTE SPEAKER
Dr. Ronald Williams II
Assistant Professor
African, African American, and Diaspora Studies
College of Arts and Sciences
The University of North Carolina at Chapel Hill
SCHOLARLY DISCOURSE
Q&A with Keynote Speaker
REFLECTIONS
Leon Stevenson
McNair Scholar, Engineering Major University of Maryland, College Park
Whitney Clarke
McNair Scholar, Psychology Major
University of Maryland, College Park
EVALUATIONS
ROLL CALL
TRANSITION AND ANNOUNCEMENTS
Dr. Rhea Roper Nedd Director, McNair Scholars Program University of Maryland, College Park
3:30 p.m.– 9:30 p.m.
DINNER ON YOUR OWN
SUNDAY, MARCH 20, 2022
9:00 a.m.–11:00 a.m.
CLOSING SESSION AND BREAKFAST
Chesapeake Room A & B
CALL TO ORDER AND PRESIDING
Dr. Rhea Roper Nedd Director, McNair Scholars Program University of Maryland, College Park
SPONSORS & CO-SPONSORS RECOGNITION
OPEN MIC: CONFERENCE REFLECTIONS
Conference Attendees
OPEN MIC: CONFERENCE REFLECTIONS & ENCOURAGEMENT
McNair Scholars Directors
SPECIAL PRESENTATION Electronics GIVE-A-WAY
CLOSING REMARKS
Dr. Jerry L. Lewis
Executive Director, Academic Achievement Programs
Director, McNair Scholars Program
University of Maryland, College Park
|
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The University of the State of New York THE STATE EDUCATION DEPARTMENT Office of State Assessment Albany, New York 12234
EXAMINATION SCHEDULE: JUNE 2022
| JUNE 15 WEDNESDAY | JUNE 16 THURSDAY | JUNE 17 FRIDAY | JUNE 20 MONDAY | JUNE 21 TUESDAY ɸ | JUNE 22 WEDNESDAY | JUNE 23 THURSDAY |
|---|---|---|---|---|---|---|
| 8:00AM | 8:00AM | 8:00AM | 8:00AM | 8:00AM | 8:00AM | 8:00AM |
| English Language Arts | Algebra I | Global History & Geography II | JUNETEENTH HOLIDAY OBSERVED | Geometry ɸ World Language Assessment suggested date/time: Locally developed Checkpoint A Exam | Algebra II | Physical Setting / Physics |
| 12:00PM | 12:00PM | 12:00PM | | 12:00PM | | |
| Living Environment | Physical Setting / Chemistry | Physical Setting / Earth Science | | ɸ World Language Assessment suggested date/time: Locally developed Checkpoint B Exam | | |
* The conversion chart for this exam will be available no later than June 24, 2022.
|
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PRESENTS
Wildlife Service Award 2022
Panchami Manoo Ukil
Birder, author and conservationist extraordinaire
You began 'The Bhubaneswar Bird Walks' in 2012, and later co-founded the NGO 'Song of the Wild'. With the first ever birdwalks in Odisha, you helped create a culture of birdwatching in the state and the initiative's success enhanced avian studies and field work. Your work with young and old promotes knowledge, compassion and coexistence with nature and as an educator, you introduce children to nature and explain how the intricate web of life links us all.
A part of your heart belongs to the Mangalajodi wetland on the northeastern fringe of Chilika Lake, where working with local bird guides and boatmen down the years, you successfully managed to get corporate CSR and community leaders to support and inspire former poachers so that they continue to be protectors of local biodiversity. Your writing and lobbying opened up Mangalajodi to the outside world and helped turn local boatmen into expert bird guides, who now find their economic and social circumstances greatly improved! You are undoubtedly one of Odisha's finest bird ambassadors with a deep commitment and belief that the youth in the fishing community are destined to be the most effective conservationists of tomorrow.
For this, we honour you.
Bittu Sahgal Editor, Sanctuary Asia
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|
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Environments to Support Collaborative Software Engineering
Cornelia Boldyreff David Nutter Stephen Rank
Mike Smith Pauline Wilcox Rick Dewar
Dawid Weiss Institute of Computing Science Poznan University of Technology
Dept of Computer Science University of Durham
Dept of Computing Heriot-Watt University
Abstract
With increasing globalisation of software production, widespread use of software components, and the need to maintain software systems over long periods of time, there has been a recognition that better support for collaborative working is needed by software engineers. In this paper, two approaches to developing improved system support for collaborative software engineering are described: GENESIS and OPHELIA. As both project are moving towards industrial trials and eventual public releases of their systems, this exercise of comparing and contrasting our approaches has provided the basis for future collaboration between our projects particularly in carrying out comparative studies of our approaches in practical use.
Pierluigi Ritrovato CRMPA University of Salerno nal. All of these developments have focused on supporting software engineering activities throughout the lifecycle for individuals and co-located teams. Only recently has there been much attention given to supporting collaborative software engineering where the team members are distributed both in their locations and in time.
1 Introduction
From the advent of programming support environments such as UNIX Programmer's Workbench in the late 70s, through to the development of CASE tools and the Integrated Project Support Environments of the 80s, and more recent Integrated Development Environments, there has been a trend for the software industry to develop systems to support their own activities throughout the software lifecycle from development through to maintenance. Many research projects such as the Portable Common Tool Environment (PCTE) and Eureka Software Factory (ESF), and more specific projects such as PACT, REDO, AMES, ASPIS, EAST and AIMS have all developed prototype support environments. In addition, there have been language specific projects such as the Common Ada Programming Support Environments and object-oriented design and development toolsets, both from the research community and from commercial tool suppliers, the most prominent being Ratio-
Three important factors have driven recent developments in improved system support for collaborative software engineering. With increasing globalisation of the software industry, cross organisational multi-company projects are becoming commonplace. Most large software projects are undertaken by teams of software staff working across a number of organisations. This is typical within the open source software community where projects are undertaken by variably sized teams of individuals from around the world. In both cases, the composition of the teams varies over time as members join and leave the team throughout the projects; and in some instances as one project takes over the work of another as happens when a system passes from the development team to the maintenance team and thus the nature of the work and associated support changes.
Thirdly the long life enjoyed by many large software systems means that over time large numbers of people are involved in their evolution as the composition of the support team itself changes. Thus, there is a recognised need for more flexible environments to support these diverse approaches to software engineering. It can no longer be assumed that all the members of a project will be following the same software process models, nor can it be assumed that they will be all be employing the same methods and associated software tools, nor can it be assumed that important project knowledge and expertise will be preserved
Secondly, the trend towards component based software engineering means that few projects rely entirely on their own development and maintenance efforts and consequently are forced to work in collaboration with component suppliers.
over time as the project team changes, or persist along with the software system. Preservation of relevant software artefacts, i.e. all relevant work products and documentation, both formal and informal records, is of critical importance. Much of Reverse Engineering is focused on rectifying situations where the system code is the only reliable source of documentation. However, preservation of software artefacts while necessary is insufficient to support software evolution if they are disorganised and inaccessible both in the physical sense and the intellectual sense.
GENESIS intends to develop an Open Source platform that supports co-operation and communication among software engineers belonging to distributed development teams involved in modeling, controlling, and measuring software development and maintenance processes. Moreover, it includes an artifact management module to store and manage software artifacts produced by different teams in the course of their work.
At present, there are two complementary projects working on the development of support for collaborative software engineering: GENESIS - GEneralised eNvironment for procEsS management in cooperative Software Engineering and OPHELIA - Open Platform and metHodologies for devELopment tools IntegrAtion in a distributed environment.
The OPHELIA project has a similar aim of developing an open source platform to support software engineering in a distributed environment. Its primary product is a set of core interfaces that support interoperability between a range of tool categories: project management, requirements capture, modelling and software design, code generation and bug tracking accompanied by a methodology appropriate to working in a distributed manner.
The remainder of the paper will consist of the following: more detailed overviews of both GENESIS and OPHELIA. A discussion of their key differences, similarities, and complementary points; and finally an outline of areas where future collaboration is planned.
2 GENESIS Overview
The GENESIS project's focus is multi-site projects where each site is able to execute instances of a software process or subprocess that accept software artefacts as process inputs and produce software artefacts as process outputs. These artefacts form the basis for inter-site interaction. Co-ordination of software engineering activities at each site is supported by a workflow management system [1] , a notification engine, and a communication engine following an Event/Condition/Action paradigm. These components, together with an active artefact management system, OSCAR [2], allow the management of both formal and informal communication among software engineers. The whole platform will be released under an Open Source software licence and it has been conceived following a service oriented approach facilitating extensibility and simplifying its tailoring to any specific organisation's software process needs. These services form a layer sandwiched between a resource management system and the artefact management system. An overview of the GENESIS platform is given in Figure 1; while Figure 2 gives an overview of the GENESIS site architecture.
One of the key project objectives is to keep the level of invasiveness as low as possible. Each site is free to choose whatever tools are appropriate to their processes, varying from generic tools such as word processors, to more specific software engineering tools such as design tools or compil- ers. The only requirement being that the tool output should be locatable by the artefact management system, e.g. in a file system, on a web server, accessible from a document management system, etc. Once submitted to the artefact management system, an artefact's primary content remains unchanged but is augmented by metadata to facilitate its future use within the current project and potential reuse by other projects. The artefact management system also holds process descriptions and personnel profiles as artefacts to assist project managers.
Two novel aspects of the GENESIS project are particularly relevant to our vision of collaborative software engineering. First, the provision, through an integrated and Open Source platform, of services supporting three key software engineering aspects, namely the software process enactment and management, the active artefacts management, and the software engineers' ability to communicate and collaborate through these. Second, the choice of events as a mechanism for achieving loosely coupled interoperability of software services by delegating the management of these events to specific components such as software agents acting as global co-ordinators.
Version control of artefacts is achieved through an abstraction over core configuration management system functionalities. At any particular site's instance of OSCAR, these are mapped to an underlying SCM server, for example, in the present prototype to CVS. In this way, conventional configuration management discipline can be applied to all artefacts, but the choice of system employed is left to each site.
3 OPHELIA Overview
The main goal of OPHELIA [9, 7] project is to unify various types of software development tools into an abstract, transparent platform, where access to project elements and relationships among these elements is seamless with regard to the underlying software used to create and maintain them.
The novelty of the OPHELIA project thus lies in bridging tools from different vendors into one project workspace. This integration is achieved using a set of CORBA [3] interfaces, responsible for exposing a uniform view of elements and services available in a certain area of software development process. In case of OPHELIA these include: requirements management, (UML) modelling, project management (schedules), documentation management, bug tracking and repositories of other elements of the project (such as source code).
Among the central objectives of the project are: to provide an abstract set of programming interfaces, representing types of tools used in software development; to define how existing software can be adopted to those interfaces and to develop a prototype implementation.
Having established an abstraction of all available project elements, OPHELIA utilises them to provide other projectwide valuable services, such as knowledge management, semi-automatic conversion between project elements (i.e. generation of template schedules or code from an UML model), traceability (relationships among project elements), change notifications and others.
The main product of the OPHELIA project is the specification of the interfaces mentioned above called Module Interface Specifications (MIS). This architecture will therefore support the integration of a set of tools that the users choose to work with, specific tools are not mandatory (however, all the integrated tools must implement their corresponding MIS). Another product of the OPHELIA project is a prototype implementation of this architecture, called Orpheus, involving several Open Source development tools available on the market together with a deployment environment. Orpheus is a proof of concept to test the interface definitions and the platform architecture. An illustration of the OPHELIA platform architecture is provided in Figure 3.
4 Key differences, similarities and complementary points
Although the two projects are addressing the common goal of developing an environment to support collaborative software engineering, it has been instructive at recent joint meetings of staff from both projects to compare the two approaches. The two projects have taken different approaches to their support for software evolution. This is reflected in their approaches to tool integration, software process support, more significantly in the design of their repositories.
The OPHELIA project's strategy is more focused on the uniform integration of project management and system de- velopment tools through a common set of abstract tool services. Every kind of activity in project development is represented in a form of a Module Interface Specification interface, which constitutes a bridge between some particular tool and the rest of the platform. It is only with respect to configuration management that GENESIS has taken this strategy.
The model of relationships in OPHELIA seems to be fairly similar to that found in the GENESIS project's OSCAR, though it stores relationships as intrinsic parts of the artefacts they link while OPHELIA has a separate service for managing them, which utilises object abstraction (the links only point to where an element can be found and are stored separately).
There are no requirements for artefact repositories for tools working as part of OPHELIA platform - every tool may have its own repository (i.e. CVS), some tools may share a repository (instance of a database), some types of tools may not even hold a repository at all (such as dynamically-generated metrics). What joins these all together is solely implementations of CORBA interfaces specified by the platform. Project elements are acquired not from a common repository, but via requests made to each individual module (type of tool). This also applies to meta-data, such as version information, events generated by objects and others.
To the user, the two systems will appear very similar although the efficiency and dependability of the two approaches is an area for further investigation once both platforms are in use.
OPHELIA is a very generic architecture - the event types and notifications can be bound to any of the pre-existing, or defined types of events. In GENESIS, event notification is realised through a notification engine which provides a similarly generic service.
Rather than the GENESIS approach of explicit coordination of activities via Work Flow Management, one of key concepts for OPHELIA is traceability. This is determined by events at the application tool level and predefined or automatically determined relationships amongst objects, i.e. outputs of application tools. For example, from the relationships established by a conversion utility from project model to source code (and possibly documentation), a change to the requirement will result in notifications sent to people responsible for source code and documentation maintenance. In GENESIS, changes to artefacts give rise to events which can be notified to co-workers, but events are also raised from within the work flow management system.
The focus on configuration management differs slightly. For OSCAR, configuration management is an essential part of the environment and the system will not work without access to some form of SCM system. By contrast, OPHELIA treats SCM as another client module exposing objects to the rest of the integrated tools. Indeed one possible avenue for future collaboration is that OSCAR could be integrated with relative ease into the OPHELIA platform to provide artefact management functionality!
Unlike the GENESIS project, the OPHELIA project has actually undertaken specific tool development. An open source requirements management tool has been developed and integrated (via MIS) with ORPHEUS. Initial work has also been done in integrating different types of development tools using MIS specifications. For example, an integration of metrics generation based on data acquired from modelling MIS (with underlying Argo/UML), or an integration of modelling MIS with project management MIS (Argo/UML with MS Project). Work on higher level services such as documentation generation and cross-module object traceability has been started as well.
OPHELIA also differs from GENESIS in the level of integration. Tools integrated with OPHELIA need to be in contact the system when performing any operation on the data (such as load/save). Tools used to create data for use in GENESIS do not need to be modified 1 , nor to have contact with OSCAR when working on the data. Much of OSCAR's integration will rely on internal transformation of data to extract appropriate meta-data from files under its control whilst OPHELIA relies on modification of the client tools.
Both projects introduce unique object addresses (in the form of URLs). In GENESIS these addresses may point to any artefact, as well as any specific version of an artefact. In OPHELIA only elements (objects) can be addressed. Versioning is therefore not part of the generic object definition in OPHELIA.
5 Identified areas for GENESIS/OPHELIA collaboration
Currently both projects are completing the first releases of their platforms; and as these undergo further development, they will be also be trialled by the respective projects' industrial partners and possibly within the open source development community. Both projects intent to instrument their developments and collect usage and performance data. In order to make comparisons between these platforms in use, a common set of basic measures and monitoring procedures will be agreed and implemented. It is intended that these will allow joint studies on efficiency and dependability. The two projects also intend to investigate the potential for uniting both platforms in a multi-organisation project.
1As long as they operate on standard files, if they do not then they must be integrated with OSCAR.
Acknowledgements
We would like to acknowledge our colleagues who have contributed to the development of the research discussed here and in the development of the GENESIS and OPHELIA research programmes.
References
[1] Aversano, Lerina; Cimitile, Aniello; Gallucci, Pierpaolo; Villani, Maria Luisa (2002), "FlowManager: a workflow management system based on Petrie nets", in the Proceedings of the 26th Annual International Computer Software and Applications Conference, COMPSAC02, IEEE Computer Press, pp. 1054-1059.
[2] Boldyreff, Cornelia; Nutter, David and Rank, Stephen (2002), "Active Artefact Management for Distributed Software Engineering", in the Proceedings of the 26th Annual International Computer Software and Applications Conference, COMPSAC02, IEEE Computer Press, pp. 1081-1086.
[3] CORBA (2002) [@:] http://www.corba.org
[4] Dewar, RG; MacKinnon, LM; Pooley, RJ; Smith, AD; Smith, MJ & Wilcox, PA (2002); "The OPHELIA Project: Supporting Software Development in a Distributed Environment", IADIS WWW/Internet 2002
[5] Gaeta, Matteo & Ritrovato, Pierluigi (2002), "Generalised Environment for Process Management in Cooperative Software Engineering", Proceedings of the Workshop on Cooperative Supports for Distributed Software Engineering Processes, in the Proceedings of the 26th IEEE Annual International Computer Software and Application Conference, August 2002, pp. 10491053.
[6] Genesis project website (2002) [@:] http://www.genesis-ist.org/
[7] Hapke, M.; Jaszkiewicz, A. & Perani, S. (2001); "OPHELIA – Open Platform and metHodologies for devELopment tools IntegrAtion in a distributed environment", Proceedings of 3rd National Conference on Software Engineering, Otwock/Warsaw, pp. 189-198.
[8] Kowalczykiewicz K., Weiss D. (2002) "Traceability: Taming uncontrolled change in software development", Proceedings of IV National Software Engineering Conference, Tarnowo Podgorne, Poland, 10 pages.
[9] Ophelia project website (2002) [@:] http://www.opheliadev.org
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NACo PRESCRIPTION DISCOUNT CARD PROGRAM FACT SHEET
What It Is:
The NACo drug discount card program helps consumers save money on their prescription medications any time their prescriptions are not covered by insurance. The free cards are distributed in the sponsoring county and may be used at any participating retail pharmacy. The discount card is not insurance.
Savings:
Savings average 20 percent; some discounts may be more, and some less, depending on the drug and quantity purchased. Cardholders are eligible for higher discounts on a three-month supply of some medications through mail service. Cardholders also can save on pet prescriptions at participating retail pharmacies.
Who It's For:
The cards may be used by all county residents, regardless of age, income or existing health coverage. There is no enrollment form, no membership fee and no restrictions or limits on frequency of use. Cardholders and their family members may use the card any time their prescriptions are not covered by insurance.
What It Costs:
Unlike many other card programs, there is no enrollment cost or membership fee. The cardholder pays the negotiated discount price or the pharmacy's retail price, whichever is lower. The average discount is 20 percent.
Participating Pharmacies:
More than 59,000 pharmacies nationwide accept the card, including most chain pharmacies and many independents. Wal-Mart pharmacies participate in the program.
Additional Benefits:
The program has a safety feature that alerts pharmacists when one drug may conflict with another medication the cardholder is taking, if the prescriptions were obtained with the NACo discount card.
The NACo discount card program remains a useful option now that Medicare Part D has been implemented. For example, the card can be used when a Medicare Part D plan doesn't cover a drug.
About Caremark:
The program is administered by Caremark Rx, Inc., a leading pharmaceutical services company with broad experience in managing drug discount card programs for sponsoring clients. Caremark negotiates with pharmacies to offer a discount off their retail prices. Most pharmacies contract to participate because it draws customers to their stores. Caremark derives revenue from the program in the form of a small fee that the pharmacy pays on each transaction. The fee is a small fraction of the total transaction amount.
Discount Card Details
Rebates: Few manufacturers pay rebates on the discount card program. Caremark shares a portion of the rebate with the consumer at the point of sale via an increased discount. The retail pharmacy is reimbursed for this additional discount.
Data Collection: Cardholder information remains confidential and is not resold to a third-party for any reason.
Drug Distribution: Caremark negotiates with retail pharmacies to offer discounts off retail prices at the point of purchase. Some news reports have incorrectly stated that Caremark purchases prescription drugs and distributes them to retail pharmacies.
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Powered by TCPDF (www.tcpdf.org)
Is Algae The New Solution To Fuel/Oil Production?
Published on Chem.Info (http://www.chem.info)
Is Algae The New Solution To Fuel/Oil Production?
OriginOil Inc. [1] has been developing a breakthrough technology to transform algae-a promising source of renewable oil-into a true competitor to petroleum. The company recently announced that prominent algae scientist Takaaki Maekawa has made a positive evaluation of the technology. Maekawa is professor emeritus at Japan's University of Tsukuba's Graduate School of Life and Environmental Sciences, and his recent research includes the "Development of Controlled Ecological Life Support Systems with Carbon Dioxide Fixation, Algae and Solid Fermentation." Production figures in the algae industry vary widely. According to the company, some sources say that in open ponds a daily growth rate of 2.0 grams of dry mass per liter (g-dm/L) is considered excellent, and that Professor Makoto Watanabe at the University of Tsukuba reported achieving 3.5 g-dm/L in the laboratory. These sources also indicate that in special cases, researchers at the Fraunhofer Institute in Stuttgart have reported a maximum concentration of 10 g-dm/L. Founded on meetings between Maekawa and the OriginOil team (after Maekawa reviewed the initial algae production metrics from the company's first Helix BioReactor™ prototype), Maekawa comments, "OriginOil did a good job of producing 13.5 g-dm/L of algae. "Based on my initial calculations, 20.0 g-dm/L per a 36-hour period meets the threshold for an optimal return on investment for large-scale algae refineries we are studying in Japan. It appears that OriginOil's Helix Bioreactor and its carbon dioxide supply techniques will help to reach this goal." OriginOil Co-Founder Nicholas Eckelberry reports, "With our first prototype, we attained approximately 13.5 g-dm/L of algae mass in a 36-hour period and more as time progressed. The early prototype has since been optimized, and we expect to attain 20 to 25 g-dm/L within a 24- to 36-hour period. "Due to the laboratory scale of the prototype, our encouraging results should be considered projections. Nonetheless, we are excited about the extraordinary algae growth rates in the Helix BioReactor." The company says much of the world's oil and gas is made up of ancient algae deposits, and its technology aims to produce new oil from this algae through a cost-effective, highspeed manufacturing process-all the while without disrupting the environment or food supplies. The company believes this endless supply of new oil can be used for many products, such as diesel, gasoline, jet fuel, plastics and solvents without the global warming effects of petroleum.
Source URL (retrieved on 03/11/2014 - 10:56am):
http://www.chem.info/news/2008/10/algae-new-solution-fuel/oil-production
Links:
[1] http://www.originoil.com
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Last Date of Application: 31 st March, 2021
Common Law Admission Test (CLAT)
Common Law Admission Test (CLAT) is conducted for the students seeking admission to various National Law Universities in the country. An entrance test is conducted to provide a list of candidates on the basis of 'merit-cum- preference' to each University for admission to their Under-Graduate (UG)/Post-Graduate (PG) programmes, as per the eligibility, reservation and other criteria laid down under the respective statutes of the participating Universities.
The Common Law Admission Test (CLAT), is an all India common entrance examination, conducted on rotational basis by 22 National Law Universities (NLUs) for admissions to their UG and PG degree programmes.
Date of Examination: 13
th
June, 2021
Eligibility –
- For Bachelor's Program, 12th Pass from CBSE/ ICSE/NIOS /State Board with a minimum aggregate of 45%.
- Those appearing in 10+2 or equivalent exam can also appear for Entrance exam on provisional basis.
- Candidates seeking admission in LLM programme need to possess a LLB degree from any recognized university recognized by Bar Council of India with at least 55% marks in the qualifying degree.
- There is no upper age limit bar for any aspirant.
- For reserved categories (SC/ST/PwD), the university gives 5 percent relaxation and which stands to be 50%.
Steps for Application –
- To Apply: https://consortiumofnlus.ac.in/clat-2021/
- Law aspirants will have to register first in order to get a provisional Registration ID and Password
- Login with the provisional ID and Password, and upload the following documents –
Photograph: 20KB – 50KB in JPEG format only.
Signature: 10KB – 20KB in JPEG format only.
Certificates, in pdf format only: Category Certificate (SC/ ST/ OBC), Pwd Certificate, BPL Certificate, if applicable.
- Proceed to fill in the personal details, qualification details and preferred NLU in the application form.
- Pay the fee via online (Debit/Credit or Net Banking) or offline (Bank Challan).
For General/ OBC/ PWD /NRI /PIO /OCI Category: Rs. 4000/-
For SC/ST/ BPLCategory: Rs. 3500/-
Other Information –
- Carry a valid photo ID proof (Aadhaar Card/Voter ID/ Passport/Driving license) along with CLAT Admit Card at the examination center.
- Visit the official website to download the Hall Ticket/Admit Card.
- The national law entrance exam will be of two hours duration. The offline mode exam will have objective type questions for LLB and objective + subjective type questions for LLM. Exam pattern of CLAT is as follows:
a. Mode of Examination: Offline
b. Number of Sections: In LLB- 5 Sections and In LLM – 3 sections
c. Nature of Questions: Objective type (MCQs)
d. Total Questions: 200 Questions in LLB and 150 Questions in LLM
e. Marking Scheme: 1 mark of each question
f. Negative Marking: 0.25 marks deducted for a wrong answer
Note: NLU Delhi does not accept CLAT Scores as they have their own admission procedure.
Official Website: http://www.clat.ac.in/Helpline: [email protected] Mobile: 08047162020
Disclaimer: The information furnished above is created with an intent to create general awareness about the admission process of Common
Law Admission Test (CLAT), 2021. Freedom English Academy plays no role in the admission process.
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## Appendix J.1
### Capacity Needs Worksheet: Pregnant Women and Infants Workgroup
Note: Blue text denotes summaries of Capacity Needs Worksheet comments submitted by the Pregnant Women and Infants group at meeting #3.
| Capacity Need | Have | Need | Instrumental Stakeholders |
|-------------------------------------------------------------------------------|------|------|---------------------------------------------------------------|
| **Structural Resources** | | | |
| 1) Authority and funding sufficient for functioning at the desired level of performance
- Statutory change to allow data monitoring system (e.g. PRAMS [Pregnancy Risk Assessment Monitoring System])
- Secure private funding sources
- Secure funding to provide prenatal care to undocumented clients | | X | Biostatisticians, Legislators |
| 2) Routine, two-way communication channels or mechanisms with relevant constituencies
- Improve communication with business, marketing, private providers | | X | Providers, Business/Chamber, KS Nutrition Network, Media |
| 3) Access to up-to-date science, policy, and programmatic information
- Continue to improve link to academics | X | X | University/Colleges/Tech, Perinatal Association of Kansas |
| 4) Partnership mechanisms (e.g., collaborative planning processes and community advisory structures)
- Continue to build/strengthen coalitions | X | X | La Leche, March of Dimes, KALHD (Kansas Association of Local Health Departments), Kansas Commission on Disability Concerns |
| 5) Workforce capacity institutionalized through job descriptions, contract language about skills and credentials, training programs, and routine assessments of capacity and training plans
- Promote board certified registered lactation consultant at state level | | X | KALHD, Consumers, Hospitals |
| 6) Mechanisms for accountability and quality improvement
- Improve data monitoring systems
- Improve analysis, interpretation and dissemination
- Formalize accountability and quality improvement | | X | Health Care Data Governing Board |
| 7) Formal protocols and guidance for all aspects of assessment, planning, and evaluation cycle
- Formalize plans to disseminate: Blue Book (guidelines for perinatal care put out by American Academy of Pediatrics and American College of Obstetricians), Baby Friendly Hospital Initiative, Rep. Tech. | | X | |
| **Data/Information Systems** | | | |
| 8) Access to timely program and population data from relevant public and private sources | | X | |
| 9) Supportive environment for data sharing | | X | |
| 10) Adequate data infrastructure | | X | |
| **Organizational Relationships** | | | |
| 11) State health department/agencies/programs
- Need access-FIMR (Fetal and Infant Mortality Review) | | X | Kansas Perinatal Council |
| 12) Other relevant state agencies
- Incorporate breastfeeding initiative into Hunger Plan & Physical Activity/Obesity Plan
- Continue to work with SRS to insure access for all (i.e. some counties don’t have office for transportation issues) | | X | |
| Capacity Need | Have | Need | Instrumental Stakeholders |
|------------------------------------------------------------------------------|------|------|--------------------------|
| 13) Insurers and insurance oversight stakeholders | | X | |
| • Increase HealthWave participants by raising coverage and outreach and eligibility | | | |
| 14) Local providers of health and other services | X | X | |
| • Train the Trainer Model (breast feeding comprehensive care) | | | |
| • Use new technology more | | | |
| 15) Superstructure of local health operations and state-local linkages | | X | |
| • Strengthen accountability to document measure/outcome from local to state | | | |
| 16) State and national entities enhancing analytical and programmatic capacity| | X | |
| • Support accreditation for local health dept. (MCH programs) | | | |
| 17) National governmental sources of data | X | X | |
| • Need help with interpretation and application of data | | | |
| • Need to understand work force capacity R/T MCH providers (state level) | | | |
| 18) State and local policymakers | X | | KALHD |
| • State is excellent | | | |
| • Local is inconsistent | | | |
| 19) Non-governmental advocates, funders, and resources for state and local public health activities | X | X | |
| • Cultivate more funding and other resources | | | |
| 20) Businesses | | X | |
| • Work with K.H.O. | | | |
| • Work with insurers and providers to cover prenatal, health promotion, breastfeeding, prematurity | | | |
**Competencies/Skills**
| Competency | Have | Need | Instrumental Stakeholders |
|---------------------------------------------------------------------------|------|------|--------------------------|
| 21) Communication and data translation skills | X | X | |
| • Increase capacity and skills with non-English speaking and health literacy | | | |
| 22) Ability to work effectively with public and private organizations/agencies and constituencies | X | | |
| 23) Ability to influence the policymaking process | X | X | |
| • Present at coalition level | | | |
| • Work with Business Health Policy Committee (MCH must be at the table) | | | |
| 24) Experience and expertise in working with and in communities | | X | |
| • Utilize experience w ith bioterrorism in public health to build MCH programs | | | |
| 25) Management and organizational development skills | | X | |
| 26) Knowledge and understanding of the state context | | | |
| 27) Data and analytic skills | | X | |
| • Analyze, interpret, and disseminate data at local and all levels | | | |
| 28) Knowledge of MCH and related content areas | | | |
## Appendix J.2
### Capacity Needs Worksheet: Children and Adolescents
**Note:** Blue text denotes summaries of Capacity Needs Worksheet comments submitted by the Children and Adolescents group at meeting #3.
| Capacity Need | Have | Need | Importance (low, med, high) | First Steps |
|-------------------------------------------------------------------------------|------|------|-----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------|
| 1) Authority and funding sufficient for functioning at the desired level of performance
- Insufficient resources, shrinking federal money due to shrinking proportion of population
- Federal programs want to fund community-based rather than state
- Better collect, utilize data to justify funding requests | | ✓ | High | • Identify resources we do have
• Look for funding sources other than federal grants |
| 2) Routine, two-way communication channels or mechanisms with relevant constituencies
- Good: newsletters, listserves
- Need: communication between consumers and high-level policy makers | ✓ | ✓ | High | • Maintain lists to improve communication between consumers and high-level policy makers, know who constituents are and who is doing what
• Use TRAIN Kansas |
| 3) Access to up-to-date science, policy, and programmatic information
- Certain issues have, others don’t
- Need implementation, utilization; lack of resources | | ✓ | High | • Contact outside organizations (e.g., American Lung Association, American Diabetes Association) and ask them to help inform agency on up-to-date science and policy |
| 4) Partnership mechanisms (e.g., collaborative planning processes and community advisory structures)
- Not a single structure, but this isn’t necessarily a weakness | ✓ | | | |
| 5) Workforce capacity institutionalized through job descriptions, contract language about skills and credentials, training programs, and routine assessments of capacity and training plans
- Do we have too much bureaucracy?
- Low capacity at local levels | | ✓ | Medium+ | • Particular to each agency or group
• Position/salary survey provided to local level; help local agencies share data about how they organize and staff positions |
| 6) Mechanisms for accountability and quality improvement
- Improving, is a need, but is already being addressed | ✓ | | | |
| 7) Formal protocols and guidance for all aspects of assessment, planning, and evaluation cycle
- There for the most part | ✓ | | | |
| 8) Access to timely program and population data from relevant public and private sources
- We need timely data and cost data | | ✓ | High | • Pursue more ways to obtain private insurance data
• Pursue ways to use preliminary data within a program to make decisions; need data faster
• Ask universities, other agencies for ideas and assistance |
| 9) Supportive environment for data sharing
- Varies. Several examples of specific problems were given. | | ✓ | High | • Better inform data users and data resources on HIPAA
• Consider changing internal KDHE policies for improved data sharing
• Build infrastructure so data can be accessed online |
| 10) Adequate data infrastructure
- Some antiquated systems | | ✓ | High | • See above
• Get ideas from other agencies and associations |
| 11) Organizational relationship with state health department/agencies/programs
- Do pretty well on this | ✓ | | | |
| Capacity Need | Have | Need | Importance (low, med, high) | First Steps |
|------------------------------------------------------------------------------|------|------|-----------------------------|---------------------------------------------------------------------------------------------------------------------------------------------|
| 12) Organizational relationships with other relevant state agencies | | ✓ | Low | • May be MOU on file, but sometimes hard to find the right contact person
• Early childhood is working well
• Some one-on-one relationships are working well, but entire agency may not be working well together |
| 13) Organizational relationships with insurers and insurance oversight stakeholders | | ✓ | Medium (data piece) | • Keep pursuing insurance data
• Work with Office of Health Care Information to use data
• Work with Kansas American Academy of Pediatrics Council (advocates for data sharing, dissemination) |
| 14) Organizational relationships with local providers of health and other services | | ✓ | Medium | • Empower local agencies to seek assistance/network with state.
• Needs to improve
• Private agencies need to take initiative |
| 15) Superstructure of local health operations and state-local linkages | ✓ | | | KALHD |
| 16) State and national entities enhancing analytical and programmatic capacity | | ✓ | Medium+ | Resource opportunities that are not tapped |
| 17) National governmental sources of data | ✓ | | | We do pretty well here |
| 18) State and local policymakers | ✓ | ✓ | Medium | Some do well; others can do better |
| 19) Non-governmental advocates, funders, and resources for state and local public health activities | ✓ | ✓ | Low | Need to do better |
| 20) Businesses | | ✓ | Medium | Not doing much here; potential funding resource |
| 21) Communication and data translation skills | ✓ | ✓ | High | • Remain diligent.
• Spend more time educating local agencies how to access data.
• Need more on the local level
• As rapidly as technology changes, this is a continuous need |
| 22) Ability to work effectively with public and private organizations/agencies and constituencies | ✓ | | | |
| 23) Ability to influence the policymaking process | ✓ | ✓ | High | • Make local communities aware of issues and process
• Widely disseminate results of this process
• Need awareness of process of communicating to legislature
• Make sure information from these three meetings is acted on |
| 24) Experience and expertise in working with and in communities | ✓ | | | |
| 25) Management and organizational development skills | | ✓ | High | • Assign staff members to develop certain areas of expertise.
• Improve continuing education and awareness of all staff (not just high level).
• Cross-training, educating state and local staff, funding issues |
| 26) Knowledge and understanding of the state context | ✓ | ✓ | High | • Maintain diligence |
| 27) Data and analytic skills | ✓ | ✓ | High | • Common MCH database: look at what is collected now, common elements, future options
• Have, but is a high need |
| 28) Knowledge of MCH and related content areas | ✓ | ✓ | High | • Comprehensive MCH database: think of local and constituent needs as it is developed
• Have some at state level, need in other areas |
## Appendix J.3
### Capacity Needs Worksheet: Children with Special Health Care Needs
Note: Blue text denotes summaries of Capacity Needs Worksheet comments submitted by the CSHCN group at meeting #3.
| Capacity Need | Have | Need | Importance (low, med, high) | Instrumental Stakeholders | First Steps |
|-------------------------------------------------------------------------------|------|------|-----------------------------|---------------------------------------------------------------|---------------------------------------------------------------------------|
| **Structural Resources** | | | | | |
| 1) Authority and funding sufficient for functioning at the desired level of performance
- Funding for communications coordinator | ✓ | ✓ | High | Federal, SRS (Social and Rehabilitation Services), KDHE, Providers | • Search for available grants
• Prioritize grant opportunities
• Submit grants |
| 2) Routine, two-way communication channels or mechanisms with relevant constituencies
- Position hired | ✓ | ✓ | High | Federal, KDHE, SRS, Providers, Clients, Public | • Quarterly meetings with stakeholders
• Identify contact in each agency who reports to a central primary agency within KDHE to coordinate (e.g., a new position of community coordinator) |
| 3) Access to up-to-date science, policy, and programmatic information
- Process of pulling team members together to begin clearinghouse services | | ✓ | High | All of the above | • Coordinator of communications |
| 4) Partnership mechanisms (e.g., collaborative planning processes and community advisory structures)
- Implement services | | ✓ | High | All of the above | • Identify key players & what |
| 5) Workforce capacity institutionalized through job descriptions, contract language about skills and credentials, training programs, and routine assessments of capacity and training plans
- Establish quality assurance and follow through | ✓ | ✓ | High | Federal, KDHE, SRS, Providers | • All data from same source
• Identify and develop key terms to be used across the board (e.g., Medical Home)
• Coordinator of Communication could be the clearinghouse for what services are available where |
| 6) Mechanisms for accountability and quality improvement | | | | | |
| 7) Formal protocols and guidance for all aspects of assessment, planning, and evaluation cycle | | | | | |
| **Data/Information Systems** | | | | | |
| 8) Access to timely program and population data from relevant public and private sources
- Establish quality assurance and follow through | | ✓ | High | KDHE and/or contractor, Information Systems, Department of Education, SRS, Infant Toddler | • Evaluate Computer Data Systems evaluation
• Develop new web-based data system
• Look at putting resources on KDHE website |
| 9) Supportive environment for data sharing | | ✓ | High | Parents, Medical Providers, Education, Insurance companies, Mental Health, Legal | • Begin discussion with Kansas Department of Education regarding what data is available
• Look at available data |
| 10) Adequate data infrastructure | | ✓ | High | Human staff support, KDHE Information Systems, Software upgrades | • Evaluate web-based data system
• Put information on web page |
| Capacity Need | Have | Need | Importance (low, med, high) | Instrumental Stakeholders | First Steps |
|------------------------------------------------------------------------------|------|------|----------------------------|------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------|
| **Organizational Relationships** | | | | | |
| 11) State health department/agencies/programs | ✓ | ✓ | | Office of Local and Rural Health, BCYF (Bureau for Children, Youth, and Families) | |
| • Needs to be stronger | | | | | |
| 12) Other relevant state agencies | | | | | |
| • For example, Kansas Department of Transportation and Area Agency on Aging | | | | | |
| • Let others look at issues to offer support | | | | | |
| 13) Insurers and insurance oversight stakeholders | | ✓ | | Use CCM (Certified Case Management) standards to develop training protocol | • Modify contract language to allow neutral or cost saving use of funds |
| • Develop stronger relationships and training capacity for consistency | | | | | • Use funds saved direct to indirect support |
| • Lack of capacity for flexibility of resource use | | | | | |
| • Lack of equal access to resources | | | | | |
| • May not have preferred provider in area | | | | | |
| 14) Local providers of health and other services | | ✓ | | American Academy of Pediatrics, Family Practice providers, Hospitals, Office of Local and Rural Health | • Telemedicine hookup for expanded specialty access and consultation |
| • Need referral acceptance to appropriate level of care | | | | | |
| 15) Superstructure of local health operations and state-local linkages | | | | Board of Healing Arts, Board of Nursing, KDHE, Kansas Health Institute, Kansas Hospital Association | • Fill positions and/or delegate authority to support locals |
| • Communication occurs but not sure if they know MCH goals | | | | | |
| • Expand the superstructure | | | | | |
| 16) State and national entities enhancing analytical and programmatic capacity| | ✓ | | | • Use grad students for development program |
| • Develop to reduce fragmentation | | | | | • Software data sharing |
| • Utilize present national technical support and university information services | | | | | |
| 17) National governmental sources of data | ✓ | | | | |
| 18) State and local policymakers | | | | | • Community leaders at the table to increase awareness, become more educated on the issues and educational opportunities |
| 19) Non-governmental advocates, funders, and resources for state and local public health activities | ✓ | | | | • One-on-one contact |
| • Strengthen | | | | | • Share data |
| • Discover common interests | | | | | |
| 20) Businesses | | | | | • Market economic impact on the community as related to academics, high school and college graduation, decreased juvenile delinquency |
| Capacity Need | Have | Need | Importance (low, med, high) | Instrumental Stakeholders | First Steps |
|-------------------------------------------------------------------------------|------|------|----------------------------|---------------------------|---------------------------------------------------------------------------------------------------------------------------------------------|
| **Competencies/Skills** | | | | | |
| 21) Communication and data translation skills | | | | | 1. State web site that reports research/data information – also post grant opportunities
2. More epidemiologists – someone you can call and request data for grants, etc. Perhaps attach a fee to this service.
3. Use telehealth system to consult/educate local areas about data development and interpretation. |
| 27) Data and analytic skills | | | | | |
| 22) Ability to work effectively with public and private organizations/agencies and constituencies | | | | | |
| 23) Ability to influence the policymaking process | | | | | |
| 24) Experience and expertise in working with and in communities | | | | | |
| 25) Management and organizational development skills | | | | | 1. Identify strengths of university and corporations and incorporate more trainings, educational experiences into MCH program development
2. Plan several (2) day trainings that include education on issues related to management and organization development. |
| 26) Knowledge and understanding of the state context | | | | | |
| 28) Knowledge of MCH and related content areas | | | | | |
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